&EPA
United States Environmental Protection Agency
Washington, DC 20460
OSWER Directive Initiation Request
Interim Directive Number
9242.2-1A
Originator Information
Name of Contact Person
Elizabeth Zeller
Mail Code
WH-548-B
Telephone Number
382-7735
.ead Office
II OERR
D OSW
D OUST
D OWPE
D AA-OSWER
Approved for Review
Signature of Office Director
Date
Title
The Emergency Response Cleanup Services (ERCS) Contracts User's Manual
Summary of Directive
Management and Operating procedures required for the use-of ERCS
contracts by emergency response personnel. Includes guidance on
coordinating activities within the Superfund-program and with other
Federal agencies and on the management plan necessary for effective
and efficient conduct of emergency cleanup activities.
(6/86 221pp)
Keywords: Removal program, removal action, ERCS contract, ERCS operations
Type of Directive (Manual. Policy Directive. Announcement, etc.)
Status
D Draft
Final
D New
LJ Revision
Does this Directive Supersede Previous Directive^)? |X| Yes
If "Yes" to Either Question, What Directive (number, title)
9242. 2-1 Same title
M No Does It Supplement Previous Directives)? II Yes | | No
Review Plan
CD AA-OSWER D OUST
D OERR D OWPE
D OSW D Regions
D OECM
D OGC
D OPPE
D
Other (Specify)
This Request Meets OSWER Directives System Format
Signatuj
Signature of OSWER Direct!
Date
-------
Emergency
Response Cleanup
Contracts
(ERCS)
USERS' MANUAL
June 1986
OSWER Directive 9242.2-1 A
EMERGENCY RESPONSE DIVISION
OFFICE OF EMERGENCY AND REMEDIAL RESPONSE
U.S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
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OSWER Directive 9242.2-1A
TABLE OF CONTENTS
Page
Number
LIST OF ACRONYMS
vii
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 Inforaation
1.1 ERGS Zone Contracts
1.2 BRCS 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-6
II-7
11-17
11-24
11-24
11-27
11-27
11-28
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 ERGS Project Officer III-5
2.2 Contracting Officer III-6
3. Contract Management Structure Within EPA Regional Offices III-7
3.1 ERCS Deputy Project Officer (DPO) III-7
3.2 Ordering Officers III-9
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OSWER Directive 9242.2-1A
TABLE OF CONTENTS
Page
Number
4. ERCS Contractor Management Structure 111-10
4.1 Program Manager 111-10
4.2 Response Manager ZII-12
IV. PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE IV-1
SERVICES
1. ERCS Contractor Selection ' ' IV-2
1.1 Initial Screening IV-4
1.2 Selection Criteria Definitions IV-5
1.3 Using the Selection Criteria IV-7
1.4 Documentation of Contractor Selection Decisions IV-24
1.5 Zone Crossovers IV-24
2. Delivery Order Preparation and Processing IV-25
2.1 Oral Delivery Orders . IV-25
2.2 Delivery Order Completion and Processing Instructions IV-27
3. Delivery Order Modifications IV-34
4. Notice of Failure to Perform or to Make Progress in IV-36
Performance ("Cure Notice")
5. Notices Regarding Work Stoppages ("Stop Work Orders*) IV-39
6. Project Site Files IV-42
V. PROJECT MONITORING AND FINANCIAL MANAGEMENT V-l
1. Daily Project Tracking V-4
1.1 Defining Contractor Activity V-4
1.2 Monitoring Contractor Progress V-5
1.3 Reviewing Project Status V-10
2. Monthly Invoice Certification V-ll
2.1 Distributing the Invoice Package V-12
2.2 Verifying Invoice Charges V-12
2.3 Documenting Questionable Charges V-14
2.4 Certifying the Invoice V-14
2.5 Submitting the Invoice for Processing V-15
ii
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OSWER Directive 9242.2-1A
TABLE OF CONTENTS
Page
Number
3. OSC and Contractor Reporting Requirements V-15
3.1 OSC Reporting Responsibilities Under ERCS V-15
3.2 ERCS Contractor Reporting Requirements V-18
VI. ERCS ZONE CONTRACTS PERFORMANCE INCENTIVE PLAN VI-1
1. Guidelines and Criteria for Nominating a Contractor for an VI-3
Incentive Award
2. Preparation of Incentive Award Nominations Vl-7
2.1 Preparing Incentive Award Nominations for Contractor VI-7
Performance of Services at Site-Specific Removal Actions
2.2 Preparing Incentive Award Nominations for Contractor Vl-15
Performance of Collective Activities on an EPA Regional
or Zone-wide Basis
3. Incentive Award Determination ' VI-16
VII. INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM VII-1
CONTRACTORS AND FEDERAL, STATE, AND LOCAL AGENCIES
1. Superfund Contractors VII-2
1.1 Technical Assistance Team (TAT) Contractor VII-2
1.2 Remedial Planning (REM) and Field Investigation VII-4
Team (FIT) Contractors
1.3 Technical Enforcement Support (TES) Contractor VII-6
1.4 Contract Laboratory Program (CLP) VI1-7
1.5 Environmental Emergency Response Unit (EERU) VII-8
2. Federal Agencies VII-8
2.1 O.S. Coast Guard (USCG) VI1-9
2.2 Other Federal Agencies VII-10
3. State and Local Government Agencies VII-10
APPENDIX A - ERCS ZONE CONTRACTS STATEMENT OF WORK A-l
iii
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OSWER Directive 9242.2-1A
TABLE OF CONTENTS
APPENDIX B - RESPONSE TIME LIMITS (ERGS ZONE CONTRACTS)
Page
Number
B-l
APPENDIX C - COST DOCUMENTATION
C-l
APPENDIX D -
RCRA CONTACTS - COMPLIANCE STATUS OP RCRA DISPOSAL
FACILITIES
D-l
APPENDIX E -
CURRENT EPA CONTRACTORS WITH WHOM ERCS CONTRACTORS
MAY INTERACT
E-l
GLOSSARY
BIBLIOGRAPHY
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OSWER Directive 9242.2-1A
INDEX OF EXHIBITS
Page
Number
1-1 Contract Management Components and Users' Manual Organization 1-3
II-l ERCS Contracting Network at a Glance II-3
I1-2 Representative Cleanup Activities at ERCS Responses II-8
II-3 ERCS Zone Contractor Professional and Technical Personnel 11-13
Requirements
I1-4 . Protective Equipment Types by Levels . 11-21
III-l ERCS Contract Management Structure III-3
IV-1 Initiation of Contractor Response Services IV-3
IV-2 ERCS Contractor Evaluation Form IV-9
IV-3 ERCS Contractor Selection: An Illustrated Example IV-13
IV-4 ERCS Contracts Delivery Order Elements IV-28
IV-5 Delivery Order for Emergency Response Cleanup Services IV-30
and Supplies
IV-6 Amendment of Solicitation/Modification of Contract (SF 30) IV-35
IV-7 Notice of Failure to Perform or to Make Progress in Performance IV-37
("Cure Notice")
IV-8 Notice Regarding Work Stoppage ("Stop Work Order") IV-40
IV-9 Removal Site File Structure IV-43
V-l Project Monitoring and Financial Management V-3
V-2a Contractor Personnel Report V-6
V-2b Contractor-Owned Equipment/Materials Report V-7
V-2c Subcontractor Report V-8
V-2d Instructions for Completing EPA Form 1900-55 V-9
V-3 Documenting Questionable Charges - Sample Memorandum V-13
V-4 ERCS Contractor Performance Summary V-l6
V-5 Information Required for CERCLA Off-site Disposal Activities V-20
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OSHER Directive 9242.2-1A
INDEX OF EXHIBITS
Page
Number
VI-1 Format for Performance Incentive Award Nominations Vl-8
VI-2 Sample Performance Incentive Award Nomination VI-9
Vl-3 Sample Performance Incentive Award Nomination Vl-12
VII-1 ERCS Contractor Interactions with Superfund Contractors VI1-3
and Other Agencies
vi
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OSWER Directive 9242.2-1A
CERCLA
CLP
CPAP
DPO
ERD
BRCS
PIT
HSCD
MSHA
NCP
NIOSH
NPL
OERR
OSC
OSHA
OWPE
PCMD
PO
POLREPS
RCRA
RBM
RSPO
SMO
TAT
TDD
TES
USCG
LIST OF ACRONYMS
Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (P.L. 96-510)
Contract Laboratory Program
Cost-Plus-Award-Pee
Regional ERCS Deputy Project Officer
Emergency Response Division
Emergency Response Cleanup Services Contracts
Pield Investigation Team Zone Contracts
Hazardous Site Control Division
Mine Safety and Health Administration
National Contingency Plan
National Institute of Occupational Safety and Health
National Priorities List
Office of Emergency and Remedial Response
On-Scene Coordinator
Occupational Safety and Health Administration
Offic4 of Waste Programs Enforcement
Procurement and Contracts Management Division
Headquarters ERCS Project Officer
Pollution Reports
Resource Conservation and Recovery Act of 1978 (P.L. 94-580)
Remedial Planning Zone Contracts
Regional Site Project Officer
Sample Management Office
Technical Assistance Team
Technical Direction Document
Technical Enforcement Support Contracts
D.S. Coast Guard
vii
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OSWER Directive 9242.2-1A
CHAPTER I
INTRODUCTION
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OSHER Directive 9242.2-lA
CHAPTER I
INTRODUCTION
The U.S. Environmental Protection Agency (EPA) has established a
contracting network of Emergency Response Cleanup Services (ERGS) contractors
to support the Super fund removal program. The ERGS contracts are used to
procure services necessary to respond to emergencies arising from hazardous
substance releases or threats of releases, including emergencies associated
with 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.
1-1
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OSWER Directive 9242.2-1A
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_m~L Scope, and JProvisions 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 Managementt rRoles and Responsibilities
highlights the organization and key management roles, responsibilities,
and interactions of Federal and contractor personnel (e.g., Project
Officer', Contracting Officer, Deputy Project '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 ERCS Zone Contracts Performance Incentive Plan describes
the procedures and criteria to be used by OSCs, Ordering Officers, Deputy
Project Officers, and EPA Headquarters personnel in evaluating and
nominating, as warranted, contractor performance for incentive awards.
1-2
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OSWER Directive 9242.2-1A
EXHIBIT 1-1
Contract Management Components
And Users' Manual Organization
CHAPTER HI
ERCS CONTRACT MANAGEMENT:
ROLES AND RESPONSIBILITIES
CHAPTER IV
PROCEDURES FOR
INITIATING CONTRACTOR
RESPONSE SERVICES
ROLES A RESPONSiaUTIES
OP FEDERAL * CONTRACTOR PERSONNEL
CHAPTER II
SCOPE AND PROVISIONS OP
THE CLEANUP SERVICES CONTRACTS
ERCS
CONTRACTOR
RESOURCES A
REQUIREMENTS
TRACKING CONTRACTOR RESOURCE
UTLBATION AND APPROVES
CONTRACTOR PAYMENTS
CHAPTER VI
ERCS ZONE
CONTRACTS PERFORMANCE
INCENTIVE PLAN
CHAPTER V
PROJECT MONITORING
AND FINANCIAL MANAGEMENT
1-3
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OSWER Directive 9242.2-1A
Chapter VII Interactions With^Other EP^ 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 ERCS contracting network consists of two groups of contractors: four
(4) ERCS zone contracts, and several separate ERCS 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 ERCS 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, BRCS .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 9242.2-1A
procedures pertaining to ERCS 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 ERCS contracts. The first topic, "Scope and
Provisions of the Cleanup Services Contract," highlights the services that can
be obtained through the ERCS contracts, and contractor resources, requirements
and responsibilities.
1-5
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OSWEfi Directive 9242.2-1A
CHAPTER II
SCOPE AMD PROVISIONS OF THE CLEANUP SERVICES CONTRACTS
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OSWER Directive 9242.2-1A
CHAPTER II
SCOPB AND PROVISIONS OF THE CLEANUP
SERVICES CONTRACTS
KBT TOPICS
Page
Contract Background Information II-2
ERGS Zone Contracts I1-4
SRCS Regional Contracts (Mini-RRCS) II-5
Contract Services, Resources and Requirements I1-6
»
Cleanup and Response Related Services * H-7
Program Management Activities 11-17
Miscellaneous Contract Requirements 11-24
V
Liability 11-24
Publicity and Confidentiality of Information 11-27
Conflict of interest 11-27
Chain of Custody/Document Control 11-28
II-l
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OSWER Directive 9242.2-1A
CHAPTER II
SCOPE AND PROVISIONS OF THE CLEANUP
SERVICES CONTRACTS
The U.S. Environmental Protection Agency (EPA) and the U.S. Coast Guard
(DSCG) have management responsibility for all Federally-funded emergency
cleanup operations at oil and hazardous substances releases. To provide
implementation support to EPA and USCG, the Agency employs an Emergency
Response Cleanup Services (ERGS) contracting network which consists of two
groups of contracts: four (4) ERCS zone contracts, and several separate ERGS
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.
As illustrated in Exhibit II-l, this chapter describes. pertinent
background 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 9242.2-1A
EXHIBIT 11-1
ERCS Contracting Network at a Glance
ERGS
CONTRACTING
NETWORK
ZONE CONTRACTS
4 GEOGRAPHIC ZONES
1 - REGIONS I - III
2-REGION IV
3-REGION V
4-REGIONS VI-X
REGIONAL
CONTRACTS
CONTRACTS TO PROVIDE
ADDITIONAL RESPONSE
CAPACITY AT SPECIFIC
LOCATIONS
TECHNICAL SCOPE
CONTAINMENT * COUNTERMEASURES
- CLEANUP. MmGATION. DISPOSAL
ANALYTICAL SERVICES
STTE RESTORATION
REQUIREMENTS/
RESOURCES
ZONE CALL CENTERS
RESPONSE-TIME LIMITS
EMERGENCY RESPONSE
PERSONNEL, EQUIPMENT,
MATERIALS
RESPONSIBILITIES
ZONE MANAGEMENT
RESPONSE MANAGEMENT
TRAMMG
HEALTH & SAFETY
QUALITY ASSURANCE
RECORDKEEPNG/REPORTING
II-3
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OSWER Directive 9242.2-1A
!! ERGS Zone Contracts
Type of Contract
An indefinite quantity, fixed rate, 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 XV
Zone 3 - EPA Region V
Zone 4 - EPA 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-fixed-fee basis.
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 Performance Incentive Pool
for each zone (discussed in Chapter VI).
Period of Performance
The base period for each ERCS zone contract is one year from the
effective date, with options to extend the contract term for two
additional years.
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OSHER Directive 9242.2-1A
Zone Crossover
An KRCS 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 has awarded several separate ERCS contracts to
provide the Regions with additional contractor. resources to conduct
removal actions. Like the zone contracts, the ERCS Regional contracts are
indefinite quantity, fixed rate, Delivery Order contracts, and each ERCS
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
With the award of several ERCS Regional contracts to provide additional
quantities of contractor resources within a zone, there probably will be
no need for cone 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 9242.2-1A
differences between the two groups of contracts are with respect to
quantities of contractor resources, geographical coverage, and response
tine requirements.
Differences or limitations of the ERCS Regional contracts* as
compared to the ERCS 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
Services for oil spill response are not available under Mini-ERCs
. Performance incentive pool provisions may not be included for
all Regional contracts.
The remainder of the chapter highlights contractor services, resources and
requirements applicable to both zone and Regional ERCS contracts.
However, the reader should keep in mind the differences in the scope and
provisions of the two groups of BROS contracts as cited above.
2. CONTRACT SERVICES, RB800RCB8 AMD REQUIREMENTS
The following sections describe the required contractor resources for
cleanup and response related services and for program management related
services.
* It is expected that all ERCS contractors will be used to conduct removal
actions. Guidance on the selection of ERCS contractors is presented in
Chapter IV.
11-6
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OSWER Directive 9242.2-1A
2.1 Cleanup and Response Related Services
Each ERCS 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 Basic 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
contractor will not conduct engineering studies, however, unless
authorized to do so by the ERCS Contracting Officer (CO). The sections
below describe the technical scope of services and contractor resources
and responsibilities each ERCS contractor is required to fulfill.
Technical Scope of Services
The ERCS contractor may be requested to perform the following
types of activities in completing a removal action:*
i
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
The ERCS zone contract Statement of Work is included in Appendix A.
II-7
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OSWER Directive 9242.2-1A
EXHIBIT i;-2
REPRESENTATIVE CLEANUP ACTIVITIES AT BROS 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
II-8
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OSWER Directive 9242.2-1A
EXHIBIT II-2 (continued)
*
Providing temporary alternative drinking water supplies
Providing temporary housing for evacuees
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
Skimming materials from the surface of water
Mashing 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
II-9
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OSWER Directive 9242.2-1A
EXHIBIT II-2 (continued)
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.
11-10
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OSWER Directive 9242.2-1A
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 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 his discretion. The contractor
is responsible for obtaining all necessary transportation
and disposal permits.
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.
Analytical Sample collection, storage, transportation,
analysis and disposal are to be provided on a quick
response basis (24 hours or less). 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 TOC
phenols.
Contractor Resources
The BRCS contractor is required to provide all personnel,
equipment and materials necessary to conduct removals of oil and
11-11
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OSWER Directive 9242.2-1A
i
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 of 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 first year of the contract will be
provided to ERGS contracts' users as the contracts are
awarded.
Equipment and Material i 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* billing rates for equipment and materials
shown in the exhibit will be provided as the contracts are awarded.
These rates will be used for projecting costs of removals.
Contractor Responsibilities
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:
11-12
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OSNER Directive 9242.2-1A
EXHIBIT II-3
BUGS ZONE CONTRACTOR PROFESSIONAL AMD TECHNICAL PERSONNEL REQUIREMENTS
Professional
Supervisor (Response Manager)
Engineer, Chemical
Chemist, Organic
Industrial Hygienist/Safety Engineer
Hydrogeologist
Technician
Foreman (2) (hazardous waste response)
Cleanup Technician (2) (hazardous waste response)
Laborers
Equipment Operator (2)
Truck Driver
Lab Technician (2)
Welder
Electrician
Mechanic
Carpenter
«
Explosives Specialist
Security Guard
Field Clerk/Typist
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OSWER Directive 9242.2-1A
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
onsite 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
contractor by telephone to determine how fast a
response can be made. Regardless of whether the ERCS
contractor indicates that he 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
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OSWER Directive 9242.2-1A
authority to contract with another party to perform the
initial services determined necessary to mitigate a threat
to the public health and welfare.* When ERCS contractor
personnel arrive on scene, arrangements are to be made with
the OSC for an orderly transition of responsibility. The
BRCS 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. He 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. He 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. He 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 BPA Superfund Emergency Contracting
Procedures, October 9, 1985.
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OSHER Directive 9242.2-1A
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
- 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), the OSC and the contractor must ensure on-site
worker health and safety during a response action. Health
and safety responsibilities include:
- Cognizance of potential threats to human health and
safety
Application of proper precautions, procedures,
equipment and training
- Application of all appropriate OSHA requirements and
other guidance
Development of site safety plans
Notification to all ERGS personnel of any known
dangers associated with a particular task.
The ERGS 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
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OSWER Directive 9242.2-1A
and safety. Standards that exceed those mandated by the
Federal Government can be required by the contractor.
However, the additional costs of such standards are to be
borne by the contractor.
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, a QA project plan may
be requested by the OSC to be prepared for an individual
response 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 ERCS 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. The resources and
responsibilities required by the ERCS 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
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OSWER Directive 9242.2-1A
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 BRCS contractors are required to provide the following
management related services:
Providing Immediate Access to Emergency Response Cleanup
Services* The BRCS 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 EBCS contract
requires that the contractor provide, either from his own
staff or subcontractors, personnel who are on alert to
respond to any emergency response requirement within
certain specified time limits. He 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 emergencies resulting
from oil and hazardous substances releases (e.g., personal
safety equipment and proper decontamination procedures).
* Required only for BRCS zone contracts.
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OSWER Directive 9242.2-1A
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), on a fixed rate,
indefinite quantity basis, with time and materials
provisions. In the event of an emergency, an oral order
may be issued by the Ordering Officer, to be confirmed
within 48 hours by a written Delivery Order. Procedures
for initiating contractor response services are described
in detail in Chapter IV.
Subcontracting The contractor is required to
competitively subcontract all transportation and ultimate
storage or disposal of oil and hazardous substances at a
RCRA-permitted disposal facility, unless the Contracting
Officer gives prior written approval that competition is
not required (e.g., no other facilities are available
within the necessary time). One prime contractor who is
performing removal work may use another prime contractor in
that zone as a subcontractor for transportation and/or
disposal on that response, provided that full and open
competition is obtained. The OSC and contractor Response
Manager are responsible for identifying the basic
requirements for services and for developing a list of
potential sources. With the approval of the OSC, the
contractor is responsible for obtaining the subcontractor,
including: developing the bid package; soliciting bids;
and evaluating proposals.
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OSWER Directive 9242.2-1A
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
use of public monies and enable all removal costs to be
measured against 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 JQA) ~ The ERCS 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.
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 11-4 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 is to be submitted to the OSC for review
and approval prior to commencing work. Where a site
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OSWER Directive 9242.2-1A
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* (Norn over fully
encapsulating suit)
2-way radio communications
LEVEL B PERSONAL PROTECTIVE EQUIPMENT
Pressure-demand, self-contained breathing apparatus (MSHA/NIOSH approved)
* Optional
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OSWER Directive 9242.2-1A
EXHIBIT II-4 (continued)
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)
LEVEL C PERSONAL PROTECTIVE EQUIPMENT
Full-face, air purifying respirator (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
Optional
" 11-22
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OSWER Directive 9242.2-1A
EXHIBIT II-4 (continued)
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 9242.2-1A
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. MISCELLANEOUS 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
the Government may reasonably obtain performance of similar
services. If the contractor fails to arrive at the site in the
required time, the OSC/Ordaring 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 ERCS contractor anyway, regardless of delays. If the
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.
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OSWER Directive 9242.2-1A
Delivery Order is not terminated, the contractor must continue
performance and be liable to the Government for liquidated damages.
The contractor shall not be terminated for default nor 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 of 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, he must maintain the following types of insurance:
Workmen's compensation and occupational disease insurance
in amounts to satisfy state law;
Employer's liability insurance in the minimum amount of
$100,000 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;
Comprehensive automobile liability insurance in the minimum
amounts of $100,000 per person and $300,000 per occurrence
for bodily injury and $10,000 per occurrence* for property
damages;
*
. When aircraft are .used in the performance of the contract,
aircraft public and passenger liability insurance in such
amounts as the Contracting Officer may require or approve;
and
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OSWER Directive 9242.2-1A
When vessels are used in the performance of the contract,
vessel collision liability and protection and indemnity
liability insurance in such amounts as the Contracting
Officer may require or approve.
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 claims (including expenses of litigation or settlement) by
third persons (including employees of the contractor) for death,
bodily injury, or loss of or damage to property arising out of
performance of the contract, to the extent that such a claim is not
compensated by insurance or otherwise and does not arise from actions
that constitute gross or willful negligence by the contractor. Any
such claim within deductible amounts' of the contractor's insurance
will not be covered. Reimbursement fox such liabilities to third
persons will not cover liabilities for which the contractor has
failed to insure as required or to maintain insurance as approved by
the Contracting Officer. The Government may discharge its liability
by making payments directly to the contractor or to parties to whom
the contractor may be liable.
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.
The contractor is required tot
Promptly notify the Contracting Officer of any claim or
action against the contractor or any subcontractor which
reasonably may be expected to involve indemnification
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OSWER Directive 9242.2-1A
. Furnish evidence of 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 or by other contractors (e.g., RBM, PIT or TAT). Although the
cleanup contractor will not be required to prepare community relations plans,
he must abide by the provisions of such plans during removal action.
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.
3.3 Conflict of Interest
The BRCS 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 at that location. In the event that additional
sites become known after submission of that list, the contractor must
immediately notify the Government of any such additions.
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OSWER Directive 9242.2-1A
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.
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.
Because of the possibility of cost recovery efforts in any case in which
CERCLA funds are expended, the observation, documentation, and presentation of
critical facts and response costs are important to ensure that:
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OSWER Directive 9242.2-1A
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
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.
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OSWER Directive 9242.2-1A
CHAPTER III
CONTRACT MANAGEMENT: ROLES AND RESPONSIBILITIES
-------
OSWER Directive 9242.2-1A
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
ERCS Project Officer III-5
Contracting Officer II1-6
Contract Management Structure Within EPA Regional Offices III-7
ERCS Deputy Project Officer (DPO) II1-7
Ordering Officers III-9
ERCS Contractor Management Structure 111-10
Program Manager 111-10
Response Manager 111-12
III-l
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OSWER Directive 9242.2-1A
CHAPTER III
CONTRACT MANAGEMENTS ROLES AND RESPONSIBILITIES
This chapter focuses on the management structure of the ERGS contracts.
The roles and responsibilities of EPA Headquarters and Regional personnel
defined in the following sections provide the framework for effective
implementation of the ERGS contracts. The individual responsibilities of key
Agency and contractor personnel involved with contract management are also
specified. An overview of the ERGS contracts management structure is shown in
Exhibit III-1.
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
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., DSCG).
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.
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OSWER Directive 9242.2-1A
EXHIBIT 111-1
ERGS Contract Management Structure
ERCS
PROJECT OFFICER
H
CONTRACTING
OFFICER
I 111111111111111H11111111111111II11111111-
Illlllllllllllll
PROGRAM
MANAGERS
iiiiiiiiiinii
IIIIIIIIIIIIIIIIIIIIMIIIIMIIIIIIIIIIIIIIIIIIIII
m^mmm FEDERAL GOVERNMENT INTERACTION
iMIiit11 CONTRACTOR/GOVERNMENT INTERACTION
HEADQUARTERS/CORPORATE MANAGEMENT
REGIONAL MANAGEMENT
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OSWER Directive 9242.2-1A
Within EPA Headquarters, the Emergency Response Division (ERD) and the
Procurement and Contracts Management Division (PCND) are charged with overall
contract management responsibility for the ERGS contracts. .ERD will oversee
total resource use and technical direction of the ERCS contracts, work
directly with the contractor Program Managers and other ERCS 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 ERCS
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 ERCS contractor's performance during the course of a
removal action.
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 Headquarters and
Regional offices, as well as the management structure and responsibilities of
the ERCS contractors.
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OSWER Directive 9242.2-1A
2. CONTRACT MANAGEMBMT STRDCTORE WITHIN EPA HEADQUARTERS
As described in the previous section, EPA Headquarters is responsible for
ensuring national program consistency and providing oversight of each ERCS
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 ERCS contracts. A description of the key roles and responsibilities of
each component of EPA Headquarters contract management structure is presented
below.
2.1 ERCS Project Officer
The ERCS Project Officer is the EPA official with overall
responsibility for managing and directing activities under the contracts.
As such, the ERCS Project Officer will coordinate with the contractor
Program Manager, .Contracting Officer, and with the Regions through the
ERCS Deputy Project Officers.
In addition to these' ongoing responsibilities, the ERCS Project
Officer is responsible for monitoring the management portion of each zone
contract. The ERCS Project Officer will certify monthly invoices for the
management portion.
The ERCS Project Officer will also conduct Regional ERCS contracts
management reviews for the purpose of assessing EPA Regional office
compliance with the contract management procedures and requirements
specified in the ERCS 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/voucher processing
. ERCS contractor evaluation.
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OSWER Directive 9242.2-1A
The central feature of the management reviews will be on-site visits
to each EPA Regional office. Contract management documentation such as
Delivery Orders, Contractor Cost Reports (EPA Form 1900-55), project logs,
invoices/vouchers, and contractor performance summaries should be reviewed
for completeness, appropriateness, and level of detail. Procedures
followed by the DPOs and OSCs in managing the ERCS contracts should be
examined through personal interviews.
'At the conclusion of each site visit, the ERCS 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 ERCS 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 ERCS contracts. While limited contracting authority will
be delegated under the ERCS contracts to Ordering Officers (see 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
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OSWER Directive 9242.2-1A
. Conducting audits of contractor records relating to performance
under the ERGS 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 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. The 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 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.
The Regional management structure for administration of the ERCS zone
contracts is comprised of two major management positions:
. ERCS Deputy Project Officer
. Ordering Officer.
The functions of these Regional management positions are discussed below.
3.1 ERCS Deputy Project Officer (DPO)
The ERCS 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 ERCS DPO may
work with the Project Officer or Contracting Officer at EPA Headquarters,
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OSWER Directive 9242.2-1A
or with the contractor's Response Managers or Program Manager. Key
contract management responsibilities of the ERCS 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
Reviewing and concurring in OSC nominations for contractor
performance incentive awards
Responding to the findings and recommendations resulting from
Regional ERCS contracts management reviews conducted by the ERCS
Project Officer.
In addition to assuming the responsibilities described in this section,
i
the ERCS DPO may also function as an Ordering Officer, whose
responsibilities are described below.
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OSWER Directive 9242.2-1A
3.2 Order ing Off icera
Certain individuals will be delegated authority to place orders
against the ERCS contracts and will be named as Ordering Officers in the
administrative recitals of each ERCS contract. Ordering Officers may be
any designated EPA official, including EPA OSCs, ERCS DPOs, and EPA
Remedial Project Managers (also 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
ERCS 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. 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 many 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
the ERCS contractor during the removal action. OSC response management
responsibilties includes
. 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
111-9
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OSWER Directive 9242.2-1A
Evaluation of the contractor's performance at the completion of
each Delivery Order and completion of the Contractor Performance
Summary Form
Preparation, as warranted, of performance incentive award
nominations based on contractor performance.
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. ERGS 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
111-10
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OSWER Directive 9242.2-1A
administration of the contract terms or a particular Delivery Order.
Other management responsibilities of the Program Manager include:
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
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 twenty-four hour call center to
provide Ordering Officers with immediate access to cleanup
services
Developing program health and safety plans to protect all
cleanup personnel
III-ll
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OSWER Directive 9242.2-1A
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 next, are the contractor
representatives responsible for managing day-to-day removal project
activity as directed by OSCs or other designated Federal officials.
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
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OSWER Directive 9242.2-lA
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
Implementing a program safety plan to protect all cleanup
personnel.
This chapter has described the management structure required to implement
the ERCS contracts. The next chapter outlines procedures for initiating and
managing contractor cleanup services.
111-13
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OSWER Directive 9242.2-1A
CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
-------
-- .3 _.,
OSWER Directive 9242.2-1A
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. 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). It is expected that all of the ERCS contractors
will be used. ERCS 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 that they have devised
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 «^»Wi» level-of-effort, or small and minority-owned
business contracting requirements
IV-2
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OSWER Directive 9242.2-1A
EXHIBIT IV-1
Initiation of Contractor Response Services
ORIGINATOR(S)
RESPONSE
DOCUMENTATION
RECIPIENTS)
CONTRACTOR
PROGRAM
MANAGER
RESPONSE
MANAGER
CONTRACTO
PROGRAM
MANAGER
AOR - ACKNOWLEDGMENT OF RECEIPT
IV-3
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OSWER Directive 9242.2-1A
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.*
i
f
This last point is of particular importance since the Superfund program is
heavily scrutinized by Congress, industry, environmental groups, and the
general public. All Regional selection officials should be familiar with
EPA'a 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).
For these reasons, guidance for ERCS 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.
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
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OSWER Directive 9242.2-1A
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
ERCS 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.
Bach 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.
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
IV-5
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OSWER Directive 9242.2-1A
. 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).
4
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
Total estimated costs of the entire project.
These three primary criteria, as presented here, are not ranked in
V
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.
IV-6
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OSWER Directive 9242.2-1A
Another factor which oust 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. 'Therefore, Regional selection
officials must 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.
. V
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.
IV-7
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OSWER Directive 9242.2-1A
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 if provided in Exhibit IV-2. This form, which
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.
IV-8
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OSWER Directive 9242.2-1A
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 die weights for the criteria must be equal to 100. Enter die weights on
the worksheet under the column marked "WT." Also, please note in the space provided, any
relevant comments concerning the weight distribution.
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 wiH 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 die following scale:
"3" - Meets die criterion fully
"2" - Meets die criterion somewhat
"1" - Does not satisfactorily meet die criterion.
Enter die ratings for each contractor under the column labeled " RATING." Also, please note in
die space provided, any relevant comments concerning the rating given a particular contractor for
die criterion.
6. Score each contractor on each criterion by multiplying ratings by weights and enter die score in the
column labeled "SCORE."
7. Add the scores for all criteria to obtain totals for each contractor. Enter die total score for each
contractor in die 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 tiieir total scores and list them in descending order, beginning
with die contractor with die highest score tivough the contractor with die lowest score, on page 4
of this form in die space labeled "Rankings."
9. Assess die scores and rankings, as well as any additional relevant factors pertaining to die
contractor support required for die removal, and then name die contractor selected.*
10. Provide a brief description, on page 4 of diis form, summarizing die contractor selection decision.
The selection offical must also sign and date the completed form on die bottom of page 4.
Selection officials need not necessarily select the contractor with die 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."
-------
OSWER Directive 9242.2-1A
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OSWER Directive 9242.2-1A
EXHIBIT IV-2 (continued)
ERCS Contractor Evaluation Form
SIGNATURE PAGE Pace 4 of 4
Contractor Rankings Scores
Name of Contractor Selected:
Summary of Contractor Selection Decision:
Signature and Title of Selection Official:
Date:.
IV-12
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OSWER Directive 9242.2-1A
EXHIBIT IV-3
ERGS CONTRACTOR SELECTION: AN ILLUSTRATED EXAMPLE
Description of Situation
A fertilizer and pesticide distribution warehouse located in an
industrial/residential area of Uptown, NY 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 evacuation 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, evacuation and temporary
housing of evacuees, 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-13
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OSWER Directive 9242.2-1A
EXHIBIT IV-3 (continued)
ERCS 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, please note in the space provided, any
relevant comments concerning the weight distribution.
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 me 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 offkal 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."
TV-14
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OSWER Directive 9242.2-lA
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OSWER Directive 9242.2-1A
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OSWER Directive 9242.2-1A
EXHIBIT IV-3 (continued)
ERCS Contractor Evaluation Form
SIGNATURE PAGE _ . . A
Pace 4 of 4
Contractor Rankings Scores
Contractor "A* 200
Contractor "B" 300
Name of Contractor Selected: Contractor "B"
Summary of Contractor Selection Decialon:
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-17
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OSWER Directive 9242.2-1A
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
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. It is considered
important because of 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.
IV-18
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OSWER Directive 9242.2-1A
EXAMPLE: A non-emergency removal action 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.
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 SO
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 BRCS 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 "NT."
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, and materials be mobilized
on time? Any contractor unable to respond in the required time should be
eliminated from further consideration.
IV-19
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OSWER Directive 9242.2-1A
Determination of a contractor's ability to respond in the required
tine can be based upon:
The response tine requirements identified in the contractor's
contract
. A 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
BRCS Contractor Evaluation Form (page 2 of ^he 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 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.
IV-20
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f
OSWER Directive 9242.2-1A
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. In rating each contractor, selection officials should make certain
that they consider all the factors listed under each criterion. They
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. Selection officials
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.
Again, selection officials should use the worksheet portion of the
ERGS Contractor Selection Form (Exhibit IV-2) to record assigned
contractor ratings. Ratings for each contractor should be placed
immediately under the column, "RATING." Ratings should be provided for
each of the three criteria.
Step 5 - Develop Contractor Scores
Bach 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.
IV-21
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OSWER Directive 9242.2-1A
EXAMPLE; Suppose that the following weights and ratings are
determined:
Contractor "A"
Criteria WT 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 "ISO" 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'a 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'a' total score of 235 would be adjusted to 282 (235 x .20 -
47; 47 + 235 - 282) if its minimum contractual obligation 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. 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 Matte 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 ERCS contractor evaluation form. This ranking
IV-22
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OSWER Directive 9242.2-1A
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 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 ERGS Contracting
Officer (CO). If only one of these contractors is minority owned, the
IV-23
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OSWER Directive 9242.2-1A
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.
1.4 Documentation of Contractor Selection Decisions
All contractor selection decisions are to be documented as described
above by using an ERCS 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 BBCS cone 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
IV-24
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OSWER Directive 9242.2-1A
The project ceiling amount
Date and time contractor is required on site.
The Project Officer will be responsible for coordinating the zone
crossover with the BRCS DPO(s) and Contracting Officer. Ml contractual
requirements and arrangements concerning the zone crossover (e.g. terms
and conditions, prices, etc.) will be finalized by the Contracting
Officer. If the required services cannot be provided by another zone
contractor, the Project Officer will work with the ERGS DPO in obtaining
the services fro* some other contractor.
2. DELIVERY ORDER PREPARATION AMD PROCB3SIHG
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 includes
. Oral Delivery Orders
. Delivery Order completion and processing instructions.
The procedures described in this section are applicable to both the BRCS zone
contracts and the separate ERCS Regional contracts.
2.1 Oral Delivery Orders
As indicated in the introduction to this chapter, Delivery Orders can
be issued orally to the BRCS contractors. This flexibility is designed to
XV-25
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OSWER Directive 9242.2-1A
enhance response capabilities under the ERGS contract network. However/
any oral order must be confirmed by a written.. .Delivery Orderwithin 48
hours.
When the ERCS contractor is contacted by telephone for purposes of
orally issuing a Delivery Order, the Ordering Officer should
simultaneously complete a Delivery Order form noting:
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 (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.
IV-26
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OSWER Directive 9242.2-1A
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
. Document personnel, equipment/ and materials expected on site
Establish the OSC-Responae 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).
2.2 Delivery Order Completion and Processing Instructions
To initiate services to be performed by the ERGS contractor to
conduct removals of 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 ERCS 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
IV-27
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EXHIBIT IV-4
ERCS Contracts Delivery Order Elements
DELIVERY ORDER
STANDARD
SPECIFICATIONS
(E.G.. ACCOUNTING
DATA. RESPONSE
TIME REQUIREMENTS, ETC.)
DELIVERY ORDER
STATEMENT OF
WORK
DELIVERY ORDER
CEIUNG AMOUNT
SITE-SPECIFIC
HEALTH ft SAFETY
AND INSTITUTIONAL
REQUIREMENTS
DELIVERY ORDER
TERMS ft CONDITIONS
.IV-28
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OSWER Directive 9242,2-1A
(see Exhibit IV-5). All items in the Delivery Order must be completed as
explained below.
Date of Order (Box 1); Enter the date of issuance of the
Delivery Order to the contractor.
Contract No. (Box 2); Enter the contract number (e.g.,
68-01-xxxx) of the ERGS contract under which services are
being ordered.
Order Mo. (Box 3) t 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 ERCS contracts [e.g., USCG]).
Time of Initial Order (Box 4) i 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.
IV-29
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EXHIBIT IV-5
OSWER Directive 9242.2-1A
OEUVERY ORDER FOR EMERGENCY RESPONSE CLEANUP SERVICES
rTna Oolrtorv Ordor a suoioct to of tormt tnd condition* of tno controct Httod in Bloc* Ho. 3l
' DATE OF ORDER
« TIME Of INITIAL ORDER
D *M
D
2. CONTRACT NO. 3. OROEH NO.
S. OEUVERY ORDER CEIUNG AMOUNT
tOoHgotod Amount/
1. ACCOUNTING AND APPROPRIATION DATA Ooioct
Aooroanorjon * Ooeumont Control » Account ClJSt
7«. ISSUED Tft CONTRACTOR /Homo. AadrttM ond Z* Codoi
7b. PROGRAM MANAGER INomo ond Pnono Mo.l
7e. RESPONSE MANAGER INomo »nd fnono No.l
9. RESPONSE tOCATON ISJto Homo onoVor Addrou ond Of Codoi
nocouorv for or nddorn n 0* oorformonc
to. ISSUED BY: OROfPJNG OPRCER INomo. Addrmtt tnd Zio Codoi
to. EPA REOONfUSCG OrtTWCT Jc. ZONE
M. ON-SCENE COORDINATOR iHomo ond Phono No.i
10. CONTRACTOR REOLHRtD ON SITE I Do to tad Timoi
C AM
11. REOUMES WORK COMPICTON DATE
ortonnol. motonott. tonne**. f»c*tio* ond otnorwito do » things
13. ORDERMG OPWCER
Mtmo/TJtlo
Sionotufo Otto
-------
OSWER Directive 9242.2-lA
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'a/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 $250,000
must be obligated by the Contracting Officer. under no
circumstances may the ERGS contractor develop the cost
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.
Accounting and Appropriation Data (Box 6): Accounting and
appropriation data consist of four numbers, which should be
entered as follows:
Appropriation It 68-20X8145 (does not change).
Account I and Document Control f (DCN); Represented by
ten (104 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
IV-31
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OSWER Directive 9242.2-1A
Delivery Order and commit contract resources to provide the
services and supplies required to complete the Statement of
work.
Response Manager (Box 7cj: 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)i Enter the number for
the EPA Region and USCG District (as appropriate).
Zone (Box 8c)i Enter the number of the zone where the site
is located:
»
Zone 1 - Regions I-IIX
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.
IV-32
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OSWER Directive 9242.2-1A
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.
Zt 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 ERCS
contractor over the terms and conditions of the Delivery Order. Zt
will also serve as documented evidence when potential contractual
actions, such as Cure Notices (see Section 3.1 on liability in
Chapter ZZ), are required to enforce the terms of a work order.
3. DELIVERY ORDER MODZPZCATZONS
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 authorised in a written amendment to
the Delivery Order using Standard Form 30 (Exhibit ZV-6). Zf increased
funding is required for a project, the existing Delivery Order should be
snded; 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. Zn 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.
ZV-34
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OSWER Directive 9242.2-1A
EXHIBIT IV-6
iTAMO**0 FQRM 10. JUtT It«
is *o*uMiTtAnoM
i4i cm 1.14.101
AMB4OMB4T OF SOLICITATION/MODIFICATION OF CONTRACT
) MUfO IT
COM
I »
cooc
CONIMCTOt COOl l_
MA^ M49 AMtttl
fAClLfrr COOt
r
L
"I
J
-(* MM »>
IU
t MI Moot A*»ua OMT re '
Ml IHO^» «*T HMU M MMOWM « TQM OWOL . *» «-< « *
i » trt *» « * <
ry ^»«w>
I
11 a.
12.
C «O MM Ml OOCUHtHT
14 NMK 9
It. MM* 4MB mil
U.
II
TTTZiT
-------
OSWER Directive 9242.2-1A
4. HOTICE OP FAILURE TO PERFORM OR TO MAKE PROGRESS IN PERFORMANCE ("CURE
MOTICB")
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
Officer to issue a "Notice of Failure to Perform or to Make Progress in
Performance" to the contractor (See Exhibit ZV-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.
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 *or 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 rectification, 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
Additional information on "cure notices" can be found in EPA _ Super fund
Emergency Contracting Procedures, pp. 20-22.
IV-36
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EXHIBIT IV- 7 Directive 9242. 2-1A
\ UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
AM
DATE ISSUED: _ TIME ISSUED: _ PM
(Time) (Time Zone)
NOTICE OF FAILURE TO PERFORM OR TO MAKE PROGRESS HJ 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
, that you were required to respond to
(Name of contractor's
Representat ive)
this delivery order and be on-scene with all ordered personnel
AM
and equipment at PM / The following items
(Time)(Time Zone)
were ordered:
-------
EXHIBIT IV-7 (Continued) OSWER Directive 9242.2-1A
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 tine required. Such explanation must
AM
be received by PM . Failure to present such
(Time)(Time zone)
explanation may be taken as an admission that no valid explanation
exists.
Sincerely,
Signature Name (Print)
of Ordering Officer
cc: Contracting Officer
IV-38
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OSWER Directive 9242.2-1A
amount of time, it is extremely critical that the OSC be in contact with the
Contracting Officer as early and as often as necessary when such delays are
occurring. Any action taken by the OSC, no natter 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 in emergency
situations 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. MPTICES HBGARDIBG HOME STOPPAGE ("STOP HOME 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
* Detailed instructions are provided in the EPA Superfund Emergency
Contracting Procedures, pg. 25.
IV-39
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OSWER Directive 9242.2-lA
EXHIBIT IV-8
NOTICE REGARDING WORK STOPPAGE
Date:
Contract or Order Number:
Contractor:
A. D 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.
D 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 as 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
incurrence 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 (or 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. 20460.
B. D CANCELLATION OF STOP WORK ORDER
By stop work order dated - you were directed to cease ell, or a portion of the
work called for by the above numbered contract, you are hereby notified that such stop work
order is 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 Representative . * Date
-------
OSWER Directive 9242.2-1A
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.
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 asserts 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.
IV-41
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OSWER Directive 9242.2-1A
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:
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 PILES
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 XV-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; after the project is completed, it should be maintained by a
Regional administrative staff member in a centralized project filing system.
There are two major benefits in having centralized project files:
Improved Access - When 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-42
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OSWER Directive 9242.2-1A
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 Docunentation
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
IV-43
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OSWER Directive 9242.2-1A
EXHIBIT IV-9 (Continued)
12 Invoices
. Cleanup contractor (ERCS)
Other (i.e./ contract lab work, aerial photography)
13 OSC Log
14 EPA Tine and Travel
15 TAT Costs
16 Photographs
17 Sample Results
18 Manifests or Permits
IV-44
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OSWER Directive 9242.2-1A
. 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.
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-45
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OSWER Directive 9242.2-1A
CHAPTER V
PROJECT MONITORING AND FINANCIAL MANAGEMENT
-------
OSWER Directive 9242.2-1A
CHAPTER V
PROJECT MONITORING AMD FINANCIAL MANAGEMENT
Once the Delivery Order has been initiated, the OSC is responsible for
monitoring services performed by the contractor to ensure consistency with the
Delivery Order Statement of Work and time and material cost estimates. As
site manager for the Government, the OSC is responsible for:
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. Chapter 5 of that manual has been included in
Appendix C as a reference to the standard procedures to be used. 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
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EXHIBfTV-1 OSWER Directive 9242.2-1A
Project Monitoring and Financial Management
ORIGINATORS)
RESPONSE
DOCUMENTATION
RECIPIENTS)
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Dtotribubon of invoicaa for oanHkadon and fmoiMdfctg of Invotew for (Mynwn w« not ba
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-------
OSWER Directive 9242.2-1A
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 ERGS 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
POLREF
OSC Log.
V-4
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OSWER Directive 9242.2-1A
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 Coat Report (EPA Form 1900-55) all charges for
resources used (see Exhibit V-2 a-d).
The OSC or other designated EPA employee must verify 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, 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
V-5
-------
OSWER Directive 9242.2-1A
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EXHIBITV-2d
Instructions for Completing EPA Form 1900-56 OSWER Directive 9242.2-1A
(to bt compttttd by Contrtcror Rtpmtnt»ti*ei
A.CINERAL
Contractor Mack - Enttr tht name of mt contractor.
Enttr .the contract number from tht contract
document.
lenment M*. Block - When apoiicabit. tnttr the specific work
ewgnmjnt numoer provided by tht On-Scant Coordinator.
a* - Enter the month, dav. and year the report « prepared.
B, CONTRACTOR Ft KSONNEL REPORT P»f» '
leak 1 - Enter mt namt of eft employee whose wrwen Mill bt
directly charged to mt contract for the particular dev.
21- Enter mt work clarification of Men irf>ptoyt» Iwtd in
1.
3 Cnw mt nourty libor r»t» (rMuitr and owjrtiint) of tacit
tmplovtt land m Hock 1.
4 - Enttr tnt timt Men tmptovt* from Rlocfc 1 «m«td ft
nd Ototntd from tnt work utt.
Hot* I - Enttr mt amount of prtafc timt taktn ov ttcfi tmoiovtt
irnod M Slock 1.
- Enttr mt numotr of noun, roaultr and ooortimt. workad
dunnf ma o«v Ov ttcn tmoiovtt iitttd m Stock I
brtoktmai.
Slotfc 7 - Enttr tnt trtv* and auat
Kt COI
ineurrtd ma oani-
cular day by each empiovaa listed m Slock 1.
leak S Enter the total personnel eioanset to be directly charged
to the contract for the particular day.
CONTRACTOR-OWNED QUMHMMT/MATtMULS RETORT
- Enter * brief description of the eouioment used for the
part icutar day.
10 - Enttr mt timt of dav dunna. which *ach it«m of tquip-
mtnt l«tad in Slock 9 wa* u*M.
lock 11 - 6"if tnt Hourly charot for uM Of tnt tQuiomtm»liitte
in Block 9
lock 12 - £«tf in* totti houri tht touiomtnt from Block 9 MIS
in UM lor mt e*Micui*r O«v.
Sltack 13 E"tt' mt cnaroti for tht dav for utt of ma touiomtni
Iiltto >n Block 9
Sjtatk 14 - Entt' tnt tota* touigmtnt cKarott ineurrtd fO' tnt o»y
i IS Lilt tnt mattriaii utad durtrt) tnt dtv.
IS - Emf fnt ouantitv of mattrwii from Block IS witd
during tnt particular dav.
17 - Enttr tht com for tht quantity of mattriaii intta m
Slock IS.
If Enttf the total matan« coft* incurrto for tnt day
0. SUBCONTMACTOH HE*OMT (*m 3 of 41
It Enttr tht namtt of subcontractors tmpiovtd for tnt
particular day.
20 Enttr a brwf dticription of mt Mrvictl providtO during
the day oy tacn tuocontractor intad m Slock 19.
21 Enttr tht amount of eotii incurrto for tht day by
Mbcontractor imtd MI Block 19.
. 22 - Enttr tht total subcontract eons ineurrtd >or tht oav.
i 23 Enttr any aporooriatt ramartu.
lack 24 - Enttr tht dollar amount of ma contract.
25 Enttr tht titimattd amount of total cotts ineurrtd it of
mt data of tnt rtoon.
I - Enttr tht tnimatad amount of total com to comoittt
tha contract.
- S>g« and data tht raoort. Submit it to tru
On-Sctnt Coor«tnator or hit/htr
»A Nrm 1S004B
tot 4 e«
V-9
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OSWER Directive 9242.2-1A
Contractor Cost Report should be signed by the OSC within 24 hours of the
report's submission, unless 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.
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
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. It should be recognized that the
ERCS 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
V-10
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OSWER Directive 9242.2-1A
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.
While "the tracking and invoice reconciliation procedures described
above are essential, OSCs should recognize that 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).
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.
Prompt certification of invoices is legally required by the Prompt Payment Act
(P.L. 970-77) and is also important in maintaining a good working relationship
V-ll
-------
OSWER Directive 9242.2-1A
with the contractor. Thecertification process described in the following
subsections must not take longer than five days after the ERGS DPQ receives
the invoice package. The BBCS DPO will be responsible for ensuring that
invoices are processed within the 5 day limit.
2*1 Distributing the Invoice Package
Each month, the ERGS 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 OSC 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 within five-day period.
The ERCS DPO will not be responsible for distributing invoices to
non-EPA Federal officials such as USCG OSCs, who are managing removal
projects under an BBCS 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. If any charges are questioned, 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.
V-12
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OSWER Directive 9242.2-1A
EXHIBIT V-3
Documenting Questionable Charges - Sample Memorandum
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
I have reviewed the 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
Date Amount Amount Recommended
(from 1900-55) Line Item Invoiced Disputed for Payment
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-13
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OSWER Directive 9242.2-1A
2.3 Documenting Questionable Charges
y
If any charges appearing on the invoice are questioned, the OSC
should first attempt to resolve the issue with the contractor within the
5-day period. If this is not successful, the OSC should contact the
assigned Negotiator or the Contracting Officer through the ERCS 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. Non-EPA OSCs and
Federal designees should coordinate questions through the ERCS Contracting
Officer.
2.4 Certifying the Invoice
4.
After reviewing the invoice and supporting information, the OSC or
designated Federal official should certify -the invoice by signing and
dating the OSC Certification Statement stamped or typed on the invoice.
Potential disputes win 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.
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.
ERCS DPO is authorized to certify the invoice for the OSC. Non-EPA OSCs
or other Federal officials must designate in advance an alternate who will
be responsible for invoice certification in their absence.
V-14
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OSWER Directive 9242.2-lA
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 AMD CONTRACTOR REPORTIMG RBQOIMtMENTS
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.
3.1 OSC Reporting Responsibilities Under BRCS
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 BRCS 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 BRCS DPO to
identify trends or recurring difficulties relating to cleanup actions.
In addition to providing ERGS 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
for nomination of the contractor for a performance incentive award. The
performance incentive award process, discussed at length in Chapter VI,
enables the Agency to provide the contractor with an incentive in the form
of financial reward for outstanding performance.
V-15
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EXHIBIT V-4
OSWER Directive 9242.2-1A
PAGE 1 OF 2
i CONTRACT NO.
ERCS CONTRACTOR PERFORMANCE SUMMARY
2. DELIVERY ORDER NO. 3. EPA REGION/ USCG DISTRICT:
4 DELIVERY ORDER CEILING AMOUNT: 5. ZONE:
6 ISSUED TO: CONTRACTOR (Nam*. Addnu and Sp Ctxte) 7. RESPONSE LOCATION: (S/» Nama, Addnss and Zip Code)
8 RESPONSE MANAGER: (Nama and fhona No.) 9. ON-SCENE COORDINATOR: (Nama and Phona No. )
10. DESCRIBE SCOPE OF WORK:
11. PERSONNEL AND EQUIPMENT
4
ON SITE WITHIN REQUIRED RESPONSE TIME? COMMENT:
12. WORK PERFORMED BY: ERCS CONTRACTOR 13. INITIAL COST ESTIMATE:
SUBCONTRACTOR (Atom)
FINAL COST-
14. ANY PROBLEMS RESULTING FROM "* 15. REASONS FOR COST SAVINGS/OVERRUN, IF ANY:
USE OF SUBCONTRACTOR?
16. EVALUATION OF CONTRACTOR'S COST CONTROLS:
17. DAILY COST REPORTS:
CURRENT ACCURATE __
-------
OSWER Directive 9242.2-1A
EXHIBIT V-4 (Continued)
PAGE 2 OF 2
ERCS CONTRACTOR PERFORMANCE SUMMARY
CONTRACT NO. DELIVERY ORDER NO.
19. PERSONNEL AND EQUIPMENT USED IN AN EFFICIENT MANNER? COMMENT:
20. INTERACTIONS BETWEEN ERCS CONTRACTOR AND OTHER ON-SCENE PERSONNEL (/.«., TAT, KEMIFTT, Stan
D GOOD Q SATISFACTORY D UNSATISFACTORY COMMENT:
21. NECESSARY SAFETY PRECAUTIONS TAKEN? D YES D NO COMMENT:
22. UNUSUAL PROBLEMS/OCCURRENCES AFFECTING CONTRACTOR'S PERFORMANCE:
23. OVERALL ASSESSMENT OF CONTRACTOR'S PERFORMANCE: (Addition* pcpn mty o» tddud. » n«e»sw/y)
Nvm of On-Sc** Coordinator Slgnnun Oftt
V-17
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OSWER Directive 9242,2-1A
3.2 ERCS Contractor Reporting Requirements
Monthly Financial Status Reports
The contractor is required to provide two copies of a monthly status
report to the EBCS DPO, one copy to the Project Officer, and one copy to
the Contracting Officer. The report will highlight activities for the
month being reported, as well as activities anticipated during subsequent
reporting periods. This report also may be used by the EBCS DPO, OSC or
Project Officer to assist in the review of information contained in the
contractor's invoice.
The status of active individual Delivery Orders will be described in
this report, including:
Work progress
,' Percent of completion
Problems or unique situations encountered
. Corrective actions taken
Changes in personnel.
A financial report also will be provided. Cumulative data for each
removal action will include:
Funds obligated
Estimated or actual costs by cost category (personnel,
equipment, materials).
Report of Off-Site Disposal Activities
At the time of any off-site treatment, storage or disposal, the
contractor shall be responsible for verifying that the facility selected
to receive the wastes meets the requirements of EPA's policy for off-site
V-18
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OSWER Directive 9242.2-1A
response actions. This verification may be obtained from the OSC or other
designated Federal officials. The contractor shall not use any facility
that has not been so verified for any off-site treatment, storage or
disposal of CERCLA Wastes. Appendix E contains a list of Regional RCRA
contacts who can support OSC and contractor efforts to verify off-site
disposal facilities.
Within ten days of the completion of each applicable Delivery Order,
the contractor shall provide the OSC and the Project Officer or other
designated Federal officials with certain information regarding the
off-site disposal of CERCLA wastes. Each report will provide the required
information in the format illustrated in Exhibit V-5.
Special Request Reports
In addition to these reports, the ERCS DPO or OSC can request that
any of the following reports be completed by the contractor:
*
. A site safety plan for a particular cleanup action prior to
commencing work at the site
Daily oral progress reports to the OSC or other designated
Federal official
A daily work plan 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
Daily, weekly, or bi-weekly written progress reports to the ERCS
DPO, OSC, or other designated Federal official, summarizing the
amount of hazardous material treated or removed from a site,
transportation and disposal methods used, analytic data, and
estimated or actual costs to date
V-19
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OSWER Directive 9242.2-1A
EXHIBIT V-5
Information Required for CERCLA Off-3itenDisposal Activities
1. Superfund site name/State/ERRIS number (if known):
2. Type of action (Check one):
Removal
Remedial
. Enforcement
3. Type (i.e., KB, dioxin, volatile organica, other organics, pesticides)
and form (i.e., liquid, solid, sludge) of waste; if more than one type,
attach separate sheet for this and remaining questions for each type:
Type: Form:
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/1.0, number/unit
7. Receiving Region
8. Receiving Region Off-Site Disposal Contact. (Note - this is the
individual designated pursuant to the May 6, 1985 Policy)*
Name Date
9. Date(s) of shipments j Date disposal is completed
(date that facility signs
manifest for receipt of final
shipment)
Procedures for Planning and Implementing Off-Site Response Actions,"
Memorandum from Jack McGraw, Acting Assistant Administrator for OSWER,
May 6, 1985.
V-20
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OSHER Directive 9242,2-1A
EXHIBIT V-5 (Continued)
10. Pre-treatment of waste at receiving facility before final treatment or
disposal:
Precipitation
Neutralization
Solidification
Fixation
Stabilization
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. Cost of activities (include cost per unit, then denote cost basis):
Cost based on treatment/disposal only (no transportation cost)
. Cost for transportation
V-21
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OSWER Directive 9242.2-1A
A final report to the ERGS DPO, OSC, or other designated Federal
official within thirty (30) days of the conclusion of the
on-site work. This report shall detail all costs, approaches
used and any problems encountered.
The format for any of the special request reports should be specified by
the BROS DPO or OSC in the Delivery Order.
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 ERGS contractor. The next chapter. Performance Incentive
Plan, highlights procedures that may be used to award the contractor
additional bonuses for exemplary performance in completing a removal.
V-22
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OSWER Directive 9242.2-1A
CHAPTER VI
BBCS ZONE CONTRACTS PKRFOBMANCE INCENTIVE PLAN
-------
OSHER Directive 9242.2-1A
CHAPTER VI
BRCS ZONE CONTRACTS
PERFORMANCE INCENTIVE PLAN
KEY TOPICS
Guidelines and Criteria for Nominating a Contractor for an
Incentive Award VI-3
Preparation of Incentive Award Nominations VX-7
Preparing Incentive Award Nominations for Contractor
Performance of Services at Site-Specific Removal Actions VI-7
Preparing Incentive Award Nominations for Contractor
Performance of Collective Activities on an EPA Regional or
Zone-wide Basis * VI-15
Incentive Award Determination vi-16
VI-1
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OSWER Directive 9242.2-1A
CHAPTER VI
BRCS ZONE CONTRACTS
PERFORMANCE INCENTIVE PLAN
Each of the ERCS zone contracts Includes a provision enabling the Agency
to provide the contractor with an incentive in the form of a financial reward
for outstanding performance.* Accordingly, performance incentive pools have
been set aside for each of the ERCS zone contracts.' These amounts are in
addition to any amounts set forth elsewhere in the ERCS zone contracts for
either the management efforts or cleanup efforts.
The performance incentive pools have been included in each of the ERCS
zone contracts as a mechanism for Federal officials to encourage and motivate
the ERCS contractors to execute all aspects of the contract Statement of Work
as effectively and efficiently as possible, as well as to contribute to an
enhancement in the. state of the art in responding to hazardous substances
releases. The performance incentive pools may be awarded to the contractors
from time to time, in whole, in part, or not at all, based_ upon performance
which the Government considers exemplary.
The determination of any amounts to be awarded, will be based on a
subjective evaluation of the contractor's performance by OSCs, Ordering
Officers, ERCS DPOs and EPA Headquarters personnel in accordance with the
procedures and criteria outlined in this chapter.
* This provision applies only to the four ERCS zone contracts at this time.
VI-2
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OSWER Directive 9242.2-1A
\
1. GUIDELINES AND CRITERIA FOR NOMINATING A CONTRACTOR FOR AN INCENTIVE AWARD
"Performance targets" that the BROS zone contractor must meet are
summarized in (a) the contract Statement of Work and (b) the contract terms
and conditions. They will be specified in each individual Delivery Order
issued to the contractor, as described in Chapter IV of this manual.
Contractor performance that meets the terms of the contract and requirements
of the Statement of Work (as translated into Delivery Orders) is mandatory and
represents the minimum level of performance the Government will accept as
satisfactory. Satisfactory performance by the contractor will warrant payment
of the contractor's fixed rates for personnel, equipment and materials,
including the "profit or fee" contained in the contractor's fixed rate for
personnel (or labor) charges. Examples of satisfactory performance include,
but are not limited to:
Retaining, maintaining, and supporting a zone network of cleanup
personnel, equipment, and materials in order to meet Delivery Order
v specifications . - -
Adhering to all Agency health, safety and quality assurance procedures
Submitting all cost control and other technical and/or progress
reports on time with contents as specified
. ' Mobilizing resources within response time requirements or in
sufficient time to meet established budgets/schedules
Developing work plans which are adequate to meet the goals and
objectives of the Delivery Order Statement of Work
Adequately using staffing, subcontracting, equipment and other
resources to meet project requirements
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OSWER Directive 9242.2-1A
Completing all required activities specified in the Delivery Order
according to the original schedule and within the required time frame.
Determination of satisfactory performance will be based on a subjective
evaluation of the ERCS zone contractor' s performance as compared with the
average experience of EPA or other designated Federal personnel with similar
types of contractors used over the past three years.
In the event that the contractor's performance surpasses the example
performance targets" outlined above, the contractor may be awarded additional
profit or fee" from the performance incentive pool. Performance incentive
awards to the contractor will be made based on nominations prepared by OSCs,
Ordering Officers, ERCS DPOs or other EPA or Federal personnel. Final
determination of the actual size of the award, if any, will be made by an EPA
Headquarters review panel.
Performance incentives may be awarded to the contractor for work completed
in.either of two categories, which includes
. Performance of site-specific services for completion of removal
actions as requested in an individual Delivery Order
Performance of activities (both management and cleanup) evaluated
collectively within an EPA Region or ERCS contract zone.
The majority (85 percent) of the amounts contained in each of the performance
incentive pools will be allocated for site-specific services performed by the
contractor, with the remainder (15 percent) allocated for the award of
incentives on the basis of collective activities performed by the contractor
within an EPA Region or ERCS contract zone. In no case shall the aggregate
total of any amounts earned strictly for management of this contract, when
combined with the fixed fee awarded under the management effort, ever exceed
10% of the estimated cost of the management portion of this contract.
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OSWER Directive 9242.2-1A
The following guidelines describe examples of performance that may be used
by Federal personnel responsible for management of the ERCS zone contractors
to determine if performance has surpassed "performance targets," and if
nomination of the contractor to receive a performance incentive is warranted.
In using the guidelines, OSCs, Ordering Officers, or DPOs should compare the
contractor's performance with the average of their experience with similar
types of contractors used over the past three years. Examples of performance
which may warrant an incentive award in either of the two performance areas
include:
Performance of a Site-Specific Removal Action
- Preparation of work plans that ensure that cost/time is
miminized (e.g., overtime hours needed to implement actions are
kept to a minimum) and/or the objectives of the removal action
are met at a reduced cost or shorter schedule than estimated by
the Ordering Officer in the Delivery Order.
The original schedule specified in the Delivery Order was met in
spite of major operational impediments? services were completed
ahead of schedule without increased costs to the Government;
costs of completing the services were greater than 5 percent
below the Delivery Order ceiling amount or approved ceiling
modifications and cost savings were greater than the amount
recommended for the incentive award.
Response services were provided well within required response
time thus greatly reducing the damage that might have been
caused to the environment or public health without such prompt
action by the' contractor; response services were provided in
extremely adverse weather conditions or high risk situations;
personal effort was well beyond contract requirements;
responsive to both major and minor changes in the scope of work.
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OSWER Directive 9242.2-1A
Contractor developed services that established state-of-the-art
approaches to address problems; developed procedures that reduce
exposure of on-site personnel to hazardous substances and/or
contamination of the surrounding community; effectively
developed contingency plans or fall-back strategies.
All of the contractor resources were applied to minimize costs
and time, while enhancing overall work quality.
Performance of Activities on an EPA Regional or Zone-wide Basis
Consistent high-quality performance of all site-specific
services requested in Delivery Orders for several removal
actions that continually met the guidelines outlined above
Development of systems (e.g., cost accounting, inventory lists,
and training) which enhance the Government's ability to access
and manage the contractor or improve contractor's response
readiness
Contractor's efforts led to an advance in "alternative
technologies" in responding to and mitigating adverse effects
due to hazardous substance releases.
Evaluation and nomination of contractor's performance for an incentive
award in providing services for site-specific removal actions will be
completed by the OSC or Ordering Officer. Evaluation and nomination of
contractor performance in providing services collectively on an EPA Regional
or zone-wide basis will be completed by EPA BRCS DPOs or the Project Officer.
Based on the judgment of the Federal official nominating the contractor,
/
an incentive award of up to four (4) percent of the Delivery Order ceiling
amount for performance of site-specific services, or up to one (1) percent of
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OSWER Directive 9242.2-1A
the total of the Delivery Order ceiling amounts for performance of activities
collectively on an EPA Regional or zone-wide basis, can be recommended but
wist not exceed the size of the Performance Incentive Pool for any given
year. Ceiling amounts are defined as the Government's estimate of the cost of
the Delivery Order at: issuance, or as modified to provide an increase in scope
prior to performance/ not after performance is completed.
2. PREPARATION OP INCENTIVE AWARD NOMINATIONS
Contractor performance incentive award nominations will be completed by
OSCs, Ordering Officers, DPOs and the Project Officer, as appropriate, based
on a determination by the Federal official that the contractor's performance
has surpassed "performance targets" as described in the guidelines outlined in
the previous section. There is no minimum number of incentive award
nominations required, nor is there any standard performance evaluation period,
as in the case of performance evaluations conducted under a
Cost-Plus-Award-Fee (CPAF) contract. Federal officials responsible for
management of the ERCS zone contracts should complete nominations only as
warranted by a contractor's performance.
In preparing and processing performance incentive awards, Federal
officials should follow one of the two procedures outlined below, depending on
whether the nomination is for contractor's performance of service at a
site-specific removal action, or performance of services collectively on an
EPA Regional or zone-wide basis.
2.1 Preparing Incentive Award Nominations for Contractor Performance of
Services At Site-Specific Removal Actions
Nominations of contractor performance in this category will be
prepared by OSCs or Ordering Officers. They must be made within 90 days
of project completion. A recommended format for the nominations is shown
in Exhibit VI-1. Examples are provided in Exhibit VI-2 and Vl-3 to
illustrate how the nominations should be completed. The nominations
should clearly delineate highlights, significant events and any problems
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OSWER Directive 9242.2-1A
EXHIBIT VI-1
Format for Performance Incentive Award Nominations*
CONTRACT NO. CONTRACTOR
DELIVERY ORDER NO. PERIOD COVERED BY NOMINATION
DELIVERY ORDER CEILING AMOUNT $
NAME AND LOCATION OF SITE
DELIVERY ORDER SCOPE OF WORK (/.»., ascription of contractor aarvteaa ragulrad to
complata ma ramoval and axpactad accompllahmanta [t.g., aatabllahmant ot partomanca targata])
PROBLEMS OR UNUSUAL CIRCUMSTANCES ENCOUNTERED DURING THE REMOVAL
DESCRIPTION OF CONTRACTOR'S PERFORMANCE (Including an NamUatlon of how
contractor's parformanca aurpaaaad parformanea targata)
BENEFITS DERIVED FROM CONTRACTOR'S PERFORMANCE (o.g., aubatantlally ndueid
tfirMt to public nM/tn, nvironmonttl d»m»g», or nmonl cost*)
RECOMMENDED SIZE OF INCENTIVE AWARD $_
SUPPORT DOCUMENTATION (»tt»ehm»nt9 tuch M th» Dollvory Order, Contractor Porformme*
Summary, or othor portlnont roportt eompttod by m» contractor or OSC)
DPO CONCURRENCE
DIVISION DIRECTOR CONCURRENCE
*7n« nomination ahould b» typod on Agoncy lottarhaad, In ttio format shown, ualng whatavor apaca
la ragulrad for aach antry.
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EXHIBIT VI-2
PERFORMANCE INCENTIVE AWARD NOMINATION
CONTRACT NO. 68-01-1111 CONTRACTOR Chem Clean, Inc.
DELIVERY ORDER NO. 6811-02-009 PERIOD 3/2/85 - 5/10/85
DELIVERY ORDER CEILING AMOUNT $ $500,000
NAME AND LOCATION Site "X"
Old Town, PA
A. Delivery Order/Scope of Work
The initial site assessment of site "X* by EPA and TAT estimated that 250
drums of hazardous materials (both surface and buried drums) presented a
direct contact threat. The Scope of Work required Chem Clean, Inc. to supply
necessary manpower and equipment to abate this emergency situation. Chem
Clean, Inc. was tasked by the OSC to develop a technique for drum removal that
minimized the traversing of manpower/equipment over buried drums. The large
areal extent of drums scattered on site- prevented conventional removal
techniques.
B. Problems or Unusual Circumstances
During the removal action many more drums containing hazardous materials
were encountered than originally anticipated. This discovery required
additional manpower and equipment. In total, over 1,644 drums were staged and
nearly 1,000 of these drums contained wastes.
The widespread burial of drums presented a precarious situation, since
travelling over buried drums could have resulted in collapse of the drums
possibly releasing hazardous vapors. This situation required the use of
special equipment and removal techniques.
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EXHIBIT VI-2 (continued)
The project was further complicated by unusually wet weather. The U.S.
Heather Service recorded 8.65 inches of rainfall for the month of March. This
was 5 inches above average.
C. Contractor Performance
The contractor's personnel and equipment' arrived on site within two hours
of first contact. This was one hour sooner than expected and required. Over
three times the original estimated number of drums were removed by the
contractor to a RCRA-permitted disposal facility. This was accomplished two
weeks earlier than originally planned, resulting in cost savings of over
$50,000. Furthermore, it was completed ahead of schedule and under budget,
despite inclement weather conditions.
Drum removal was accomplished by utilizing two 225 bulldozers with
grappler attachments. This technique made it unnecessary for equipment to
travel over buried drums because of the long reach possible with the tandem
set-up. The increased safety factor attained by this technique could benefit
future projects.
The disposal of the drums of hazardous wastes was accomplished by the use
of the Chem Clean, Inc. shredder. This consolidated drummed materials by
shredding drums, with contents, in one operation. Conventional methods
involved emptying drums, often using hand tools; wastes were transported to
one area and emptied drums were disposed of separately. The one-time handling
of drums made possible by the shredder shortened the schedule. In addition,
the volume of waste materials was greatly reduced since drums were shredded
into waste containers. The use of the Chem Clean, Inc. shredder resulted in a
cost savings of over $50,000 on this project as compared with conventional
techniques.
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D. Benefits Derived from Contractor Performance
As a result of the contractor's performance, the project was completed at
a cost 10 percent below the Delivery Order ceiling, despite adverse weather
conditions and a major change to the Statement of Work (higher number of drums
removed). The use of state-of-the-art techniques, tandem grapplers and the
Chem Clean, Inc. shredder resulted in significant cost savings. In addition,
these techniques "mechanized," to the fullest extent, operations normally
requiring hand labor, thus reducing exposure of on-site personnel to hazardous
substances. The proven techniques can be used in future EPA projects.
E. Recommended Size of Incentive Award
Two percent of $500,000 (Delivery Order Ceiling)
$10,000.
F. Support Documentation (Attachments)
(1) Delivery Order/Statement of work
(2) ERCS Contractor Performance Summary
6. DPO Concurrence
H. Division Director Concurrence
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EXHIBIT VI-3
PERFORMANCE INCENTIVE AWARD NOMINATION
CONTRACT NO. 68-01-9999 CONTRACTOR Haste Busters
DELIVERY ORDER NO. 9999-08-001 PERIOD 08/16/85 - 09/18/85
DELIVERY ORDER CEILING AMOUNT $ $425,000
NAME AND LOCATION Pleasant Valley Lagoon
Pleasant Valley, NY
A. Delivery Order/Scope of Work
During the remedial action being conducted at this surface impoundment
facility, the remedial contractor inadvertantly broke through an impermeable
layer under the lagoon. This resulted in the release of sulfuric acid and
hydrogen sulfide gas from a previously unknown lower chamber. The release
endangered on-site workers, nearby residents, and tourists at a nearby (2.0
miles) amusement park. The noxious odor of the. E^S also threatened to ruin
the usually crowded Labor Day weekend at the park.
/ §
Remedial work was suspended and the ERCS Contractor was called in to
supply needed manpower and equipment to abate this emergency situation, waste
Busters was tasked by the OSC to safely remove the wastes in the lower chamber
and to control the H.S emissions.
The original workplan called for draining the wastes out of the lower
chamber and treating it off-site. Original estimates called for a three-month
period of performance and a shutdown of remedial actions for the entire
removal project.*
B. Problems or Onuaual Circumstances
%
The removal project was complicated by the original hazardous waste
situation being responded to by the remedial program. Hazardous sludge
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EXHIBIT VI-3 (continued)
material (principally tars contaminated with polynuclear aromatic
hydrocarbons) posed an added threat to the BRCS contractor.
Sweltering August temperatures also Bade a bad situation worse. Average
temperatures during the period of performance were in the 90's.
C. Contractor Performance
The contractor completed the removal action in an extremely timely and
cost-effective manner. Waste Busters completed the removal action in one
month rather than the originally estimated three months. Their innovative
procedures (described below) also resulted in a cost savings of $150,000.
This savings does not include the cost benefit of resuming the remedial action
ahead of schedule, nor does it include the revenues gained during the capacity
crowd Labor Day weekend at the amusement park.
Instead of draining the acidic waste and treating it off-site, the
contractor proposed and implemented an on-site treatment remedy. Using
alkaline materials (lime and soda ash) from another part of the site, the ERGS
contractor neutralized the acidic materials in-situ. This saved the cost of
removing, transporting, and treating the acidic waste off-site. It also
eliminated the need .to remote the alkaline materials during the remedial
action.
An activated charcoal scrubbing system was installed to remove vented
H.S thus reducing the noxious odor. A slight rotten egg smell persisted,
but was barely noticable at the park.
D. Benefits Derived from Contractor's Performance
As a result of the contractor's performance, the project was completed two
months ahead of schedule. Cleanup costs were 35 percent below the Delivery
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OSWER Directive 9242.2-1A
EXHIBIT VI-3 (continued)
Order Ceiling. The contractor's efficient response also enabled local
merchants to enjoy a prosperous Labor Day weekend.
E. Recommended Size of Incentive Award
Two percent of $425,000 (Delivery Order Ceiling)
$8,500.
F. DPO Concurrence
G. Division Director Concurrence
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encountered during provision of the services by the contractor. The
nomination must also specify succinctly why the contractor's performance
merits an incentive award. The nomination should state how the
contractor's performance surpassed "performance targets" and how such
performance benefitted the completion of the removal. Each nomination
also should contain an attachment that includes the ERGS Contractor
Performance Summary (described in Chapter V (Exhibit V-4)). The
nomination also should recommend the size of the incentive award. For
site-specific removal actions, the award cannot be greater than four (4)
percent of the Delivery Order ceiling amount.
Once 'the nomination has been completed by the OSC or Ordering
Officer, the nomination and any supporting documentation should be
forwarded to the ERCS DPO, who should review the nomination and indicate
concurrence by signing the nomination in the space provided. The DPO
should then submit the nomination to the Regional Division Director for
review and concurrence. The Division Director has the option of either
signing the nomination-or preparing an accompanying cover memorandum which
indicates concurrence with the nomination. .After concurrences have been
obtained, the nomination should be forwarded to the Headquarters Project
Officer. Under no circumstances should the nomination be distributed
outside of EPA. The nomination is a confidential, internal EPA document
and, therefore, should always remain within the Agency.
2.2 Preparing Incentive Award Nominations for Contractor Performance of
Collective Activities on an EPA Regional or Zone-wide Basis
Nominations of contractors in this category will be prepared by ERCS
DPOs, the Project Officer or Contracting Officer. The incentive award
nomination will be made in a .memorandum to the EPA Headquarters review
panel, and should includes
A clear description of the services provided by the contractor
including an itemization of any site-specific removal actions
covered by the nomination
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OSWER Directive 9242.2-1A
The total dollar value of the services performed by the
contractor
A narrative stating the reasons for incentive award
recommendation, emphasizing the significance and impact of the
activities on the overall objective of the contract or Superfund
removal program and a delineation of any problems encountered in
performing the activities
The period in which the activities were performed.
*
The nomination also should recommend the size of the incentive award. The
award cannot be greater than one (1) percent of the total costs of the
services covered in the nomination. Any supporting documentation should
be forwarded with the memorandum to the EPA Headquarters review panel.
3. INCENTIVE AWARD DETERMINATION
All incentive award nominations will be reviewed by a panel consisting of
the Project Offleer,-Contracting Officer, other EPA Headquarters personnel and
EPA Regional representatives. The panel will convene periodically to review
performance incentive award nominations. All nominations must be acted upon
by the panel within 90 days following receipt by the Project Officer of all
documentation supporting the nomination.
The panel will determine the size of award, if any, for each nomination
received. The contractor will be advised in writing of any amount awarded by
a modification to the contract issued by the Contracting Officer. Upon
receipt of the modification, the contractor may submit a public invoice for
the amount awarded. (See Chapter V for procedures for invoice processing).
In addition to determining performance incentive awards, the panel will be
responsible for reviewing the performance incentive plan and will make changes
to the plan as necessary either to better reflect the goals and objectives of
the contract and removal program or to emphasize new Superfund priorities.
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CHAPTER VII
INTERACTIONS WITH OTHER EPA SOPERFOND PROGRAM CONTRACTORS AND
FEDERAL, STATE, AND LOCAL AGENCIES
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OSWER Directive 9242.2-1A
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CHAPTER VII
INTERACTIONS WITH OTHER EPA SOPERFOND PROGRAM CONTRACTORS AND
FEDERAL, STATE, AND LOCAL AGENCIES
KEY TOPICS
Super fund Contracts VI 1-2
Technical Assistance Tea* (TAT) Contractor VI 1-2
Remedial Planning (RZM) and Field Investigation Team (FIT) VI1-4
Contractors
Technical Enforcement Support (TBS) Contractor VI1-6
Contract Laboratory Program (CLP) vil-7
Environmental Emergency Response Unit (EBRD) vil-8
Federal Agencies VII-8
U.S. Coast Guard (O8CG) VII-9
Other Federal Agencies VII-10
State and Local Government Agencies VII-10
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OSWER Directive 9242.2-1A
CHAPTER VII
INTERACTIONS WITH OTHER EPA SUPERFDND 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 ate 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. SqPERFUND 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.
1.1 Technical Assistance Team (TAT) Contractor*
The Technical Assistance Team (TAT) contract was designed by ERD to
provide technical and management assistance to the removal response and
For more information about the TAT contract and possible interactions with
the ERCS contractors, refer to the TAT Contract User's Manual or write or
call TAT Contract Project Officer, at O.S. Environmental Protection
Agency, 401 M Street, S.W., Washington, D.C. 20460 (FTS 382-2458).
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OSWER Directive 9242.2-1A
EXHIBIT VII-1
ERCS Contractor Interactions With Superfund Contractors
and Other Agencies
REMEDIAL
PLANNING
ZONE
(REM)
FIELD
INVESTIGATION
TEAM
(FIT)
TECHNICAL
ASSISTANCE
TEAM
(TAT)
TECHNICAL
ENFORCEMENT
SUPPORT
(TES)
CONTRACT
LABORATORY
PROGRAM
(CLP)
ENVIRONMENTAL
EMERGENCY
RESPONSE
UNIT
(EERU)
SUPERFUND CONTRACTORS
t
ON-SCENE COORDINATORS
STATE AND
LOCAL
GOVERNMENTS
FEDERAL AGENCIES
U.S. COAST
GUARD
U.S. NAVY
U.S.ARMY
COE
OTHER
AGENCIES
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OSWER Directive 9242.2-1A
prevention program. TAT contractor support tasks during a response may
include the following activities:
Response monitoring
. Nock 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 ERCS
contractor.
1.2 Remedial Planning (REM) and Field Investigation Team (PIT)
Contractors*
The REM and FIT zone contracts are administered by Hazardous Site
Control Division to obtain technical and management services necessary to
successfully implement the remedial response program.
For further information about the REM and FIT contracts and how they
relate to the ERCS contracts, refer to the REM/FjT Zone Contracts
Management Plan and Operating Procedures manual or write or call REM/FIT
Contract Project Officer at U.S. Environmental Protection Agency, 401 M
Street, S.W., Washington, D.C. 20460 (FTS 382-2346).
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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.
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 responses (e.g., fence construction,
drum removal) 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 ERCS 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
Remedial action is required after a removal has been completed
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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 ERCS contractor; remedial response
RPM and REM and PIT 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.
1.3 Technical Enforcement Support (TES) Contractor
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)* contract was awarded to assist ONPB in the following
activities: . - --
Designing and obtaining remedial plans in support of enforcement
actions
. Providing support for negotiation or litigation with regard to
responsible party cleanup
Providing support for the RCRA compliance/enforcement program.
For further information on the TES contract and situations that may
involve the ERCS contractor, write or call Project Officer, OWPE Technical
Support Branch, U.S. Environmental Protection Agency, 401 M Steet, S.W.,
Washington, D.C. 20460 (FTS 382-4842).
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The TES contract will not duplicate the efforts of other contracts awarded
by the Office of Emergency and Remedial Response (OERR); it is strictly an
enforcement contract 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.
1.4 Contract Laboratory Program (CLPj
The Contract Laboratory Program (CLP) was established by EPA in 1979
to provide chemical analytical support in the investigation and 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 enforcement actions.
In emergency situations, an OSC normally will not use the CLP because
the CLP does not provide a 24-hour turnaround time for sample analyses.
However, the OSC may be able to use the CLP analytical services when the
turnaround time for sample results can be met by the CLP contractor.
Work conducted by the CLP is coordinated by the Sample Management
Office (SMO)* through the EPA Regional Sample Control Center (RSCC). The
For further information about the CLP, write or call: CLP-National
Program Manager, Hazardous Response Support Division, U.S. Environmental
Protection Agency, 401 M Street, S.N., Washington, D.C. 20460,
PTS-382-7906.
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SMO has developed a manual entitled User * 8 Gu ide 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.
1.5 Environmental Emergency Response Unit (HERD)
The Environmental Emergency Response Dnit (EERU) is an organization
designed to form a model nationwide hazardous material spill response and
control capability for situations where the use of complex cleanup
equipment and techniques are involved. EBRD involves a cooperative effort
between EPA spill response research personnel (Oil and Hazardous Materials
Spills Branch, Edison, NJ) , EPA spill response operational personnel
(Emergency Response Team) and contractor personnel to provide the most
effective use of the technologies under development.
The primary objective of EBRD is to encourage commercialization of
individual items of equipment that have been developed under public
sponsorship. EBRD's response to hazardous chemical incidents is normally
limited to situations where a particular type of technology or capability
is available through EBRD but not commercially (e.g., mobile physical -
chemical treatment system) . Should EERU be requested to assist in
responding to a hazardous substance release where an ERCS contractor is
also on scene, all efforts of EERU and the ERCS contractor will be
coordinated by the OSC.*
2. FBPBRAL
The services of the ERCS zone contractors are available to other Federal
agencies in addition to EPA via Inter-Agency Agreements (lAGs) . A few
For further information about EERU, contact the Hazardous Spills Staff,
Oil « Hazardous Materials Spills Branch, U.S. EPA, Edison, NJ [(201)
321-6632 or FTS: 340-6632].
VI1-8
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t
OSWER Directive 9242.2-1A
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:
. 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 ERCS 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 (NSF) (i.e., Atlantic, Pacific
and Gulf Strike Teams) to conduct removal actions. The Strike Teams are
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OSWER Directive 9242.2-1A
an important Federal resource that can provide OSCs with experienced
personnel and sophisticated equipment to assess, implement, and monitor
actions taken in response to hazardous substance releases.
Members of the HSF 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 NSP inventory. Host of this equipment is
designed to fit into Coast Guard C-130 cargo planes or load onto flatbed
trucks for fast response.
2.2 Other Federal Agencies
*
Federal agencies other than EPA, such as the U.S. Army Corps of
Engineers (COB) and the U.S. «avy, may benefit from the services of .the
ERCS zone contractors. Designated non-EPA officials may access ERCS
resources through the EPA BROS Contracting Officer. The ERCS 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 ERCS zone contractors, other Federal agencies may be present during
a removal response. These may include representatives from the Centers
for Disease Control (CDC), The National Institute of Occupational Safety
and Health (NIOSH) and the Federal Emergency Management Agency (FEMA).
Interaction between the ERCS zone contractors and these representatives
shall be mediated by the EPA OSC.
3. STATE AND LOCAL GOVBRMNEMT AGEMCIE8
A state or local agency may be performing contractual or non-contractual
work for an OSC when a removal is required and an ERCS contractor arrives on
site. The state or local agency may be performing such duties as installing
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OSWER Directive 9242.2-1A
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 BRCS contractor with the state or local
agency to ensure that an efficient removal is accomplished.
The ERCS 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 BRCS contractor Response
Manager, under the direction of the OSC, is responsible for arranging the
required services. The BRCS 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.
This chapter described the responsibilities of the ERCS contractors as
they interact with other agencies and contractors involved in the Superfund
program. Appendix E gives a complete listing of .current EPA contractors with
whom the ERCS contractors may interact. 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.
VIl-ll
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OSWER Directive 9242.2-1A
APPENDICES
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OSWER Directive 9242.2-1A
APPENDIX A
BROS ZONE CONTRACTS
STATEMENT OF WORK
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OSWER Directive 9242.2-1A
APPENDIX A
ERCS ZONE CONTRACTS
STATEMENT OF WORK
The following statement of work applies to each EPA zone. Zone One
consists of EPA Regions X 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
necessary as specified in Delivery Orders, to conduct emergency removals and
initial remedial measures for oil 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. The
contractor shall also provide all necessary administrative and supervisory
personnel to ensure that cleanup personnel ate 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 work primarily in a management mode by retaining,
maintaining, and supporting a zone network of cleanup personnel, equipment and
materials on-scene and ensure that responses are conducted in exact accordance
with 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
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
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OSWER Directive 9242.2-lA
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.
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.
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OSWER Directive 9242.2-1A
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. ,
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OSWER Directive 9242.2-1A
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
i
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 OSC 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.
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OSWEH Directive 9242.2-lA
FIGURE A-1
ERGS Contract Management Structure
ERC3
PROJECT OFFICER
H
CONTRACTING
OFFICER
IIMIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII
PROJECT OFFICERS
OTHER FEDERAL
ORDERING OFFICERS
niiiiiiiitiiiii
PROGRAM
MANAGERS
'- EPA 08C«/
ORDERING OFFICERS
iiiiiitunm
iiimiiiiiiiiMiiiiiimiiiiiiiniiiiiiiiiiiMii
RESPONSE
; MANAGERS
MM FEDERAL GOVERNMENT INTERACTION
i in in ii CONTRACTOR/GOVERNMENT INTERACTION
HEADQUARTERS/CORPORATE MANAGEMENT
REGIONAL MANAGEMENT
A-5
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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 ~«f--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 oth«r 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.
XI. 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
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OSHER Directive 9242.2-1A
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:
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OSWER Directive 9242.2-1A
A. Containment and Countermeaaureg
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; containerising 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 affec.ted 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.
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OSWER Directive 9242.2-1A
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, regarding, 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, TOC sulfides, and TOC
phenols. This shall include sample collection, storage, transportation,
analysis and disposal.
t
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OSWER Directive 9242.2-1A
APPENDIX.B
RESPONSE TIME LIMITS (ERGS ZONE CONTRACTS)
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t
OSWBR Directive 9242.2-1A
APPENDIX B
RESPONSE TIME LIMITS*
The contractor is required to have all items of equipment, material and
personnel specified in rapid response tine 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 EPA 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
New 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 ERCS Zone 1:
50 mile radius of New York City, New York (from Columbus Circle)
* BRCS 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 9242.2-1A
50 mile radius of Edison, New Jersey (measured from EPA's office
complex on Woodbridge Avenue in Edison, Mew Jersey).
2. The contractor shall 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 ERCS Zone 1:
50 mile radius of Albany, New York (measured from State Capital
building).
*
. 75 mile radius of Rochester, New York (measured from the Federal
Building).
Remainder of Long Island, New York, not covered in B.I. above.
Lake George, New York (in its entirety).
. 20 mile radius of Syracuse, New York (measured from the juncture
of New York Rte. 81 and Rte. 17).
. 20 mile radius of Ithaca, New York (measured at the juncture of
New York Rtes. 79 and 96).
20 mile radius of Elmira, New York (measured from junction of
New York Rtes. 17 and 14).
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OSWER Directive 9242.2-1A
20 mile radius of Newburgh, New York (measured from junction of
New 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. 87 and 587).
. 20 mile radius of Otica, 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. 81 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 Pajardo, 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).
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OSWER Directive 9242.2-1A
. 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 BPA Region 2 of ERGS Zone 1:
Remainder of Puerto Rico and U.S. Virgin Islands hot 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 ERCS 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.
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OSWER Directive 9242.2-1A
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 aile radius of Scranton, Allentown, Erie and the Alleghany
National Forest, Pennsylvania.
. State of Delaware.
. 50 mile radius of Pittsburgh and Warren, Pennsylvania and
Charleston, Nest 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 ERCS Zone 1:
_ . Remainder of Pennsylvania and Maryland not specified above.
V. . J ' .
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 Nest Virginia and Virginia not specified above.
BRCS 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 ERCS Zone 2 cities:
ALABAMA
Mobile
Montgomery
Birmingham
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OSWER Directive 9242.2-1A
FLORIDA
Jacksonville
Tampa
Miami
Pensacola
Orlando
GEORGIA
Atlanta
Savannah
KENTUCKY
Louisville
Paducah
NORTH CAROLINA
Asbeville
Charlotte
Raleigh-Durban
Wilmington
MISSISSIPPI
Jackson
Natchez
SOOTH CAROLINA
Columbia
Greenville-Spartanburg
Charleston
TENNESSEE
Memphis
Knoxville
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OSWER Directive 9242.2-1A
Nashville
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 ERCS Zone 2.
BUGS 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 BBCs Zone 3 areas:
St. Louis County, Minnesota, South of Latitude 47
Carlton County, Minnesota
Douglas County, Wisconsin
Anoka County, Minnesota
-_ Hennepin County, Minnesota '
Ramsey County, Minnesota
Milwaukee County, Wisconsin
Waukesha County, Wisconsin
Lake County, Illinois
Cook County, Illinois
Dupag* 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
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OSWER Directive 9242.2-1A
Cuyahoga County, Ohio
Franklin County, Ohio
Hamilton County, Ohio
B. The contractor shall provide rapid response tine 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 BRCS 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 4 hours of the receipt of a written or oral
Delivery Order for the following SMSA locations in EPA Region 7 of
ERCS Zone 4s
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OSWER Directive 9242.2-1A
Des Koines, Iowa
Omaha, Nebraska
Wichita, Kansas
Springfield, Missouri
4. The contractor shall provide rapid response tine 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 ERCS 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
ERCS Zone 4:
Denver, Colorado
Salt Lake City, Utah
2. 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 8 of ERCS 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
ERCS Zone 4t
Sacramento, California
San Jose, California
Anaheim/Santa Ana/Garden Grove, California
Los Angeles/Long Beach, California
Riverside/San Bernardino/Ontario, California
Pheonix, Arizona
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OSWER Directive 9242.2-1A
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 4s
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 9242.2-1A
APPENDIX C
COST DOCUMENTATION
Source: Removal "Coat : Management Manual, Chapter 5, U.S. Environmental
Protection Agency, Office of Emergency and Remedial Response,
Washington, D.C., January 1985.
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OSWER Directive 9242.2-lA
required information necessary for proper cost documentation includes the
following:
chronology of events and decisions;
entry and exit of personnel and equipment;
contractor work planned/authorized and
contractor work accomplished;
contractor costs;
site conditions; and
cumulative project costs.
On-scene information can be documented by the OSC and/or by other
personnel who perform the specific job functions of cost manager, and
safety, and security officer. The on-scene cost manager documents the
chronology of events and decisions, contractor work planned/authorized
and accomplished, contractor costs, cummulative project costs, and
prepares the Documentation Index (see Section 5.3 for the Index). The
on-scene safety and security officer documents site conditions, and entry
and exit of personnel and equipment. When the scope of work is limited,
the cost manager will double as the safety and security officer.
Each of the above types of information is discussed in the following
sections. A matrix outlining the cost documentation system is presented
in Exhibit 5-1.
5.1.1 Chronology of Ev«nts and Decisions
A chronology must be kept of dates and times of all key activities
and decisions made on site. This includes the types of actions taken and
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OSWER Directive 924-2.2-1A
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OSWER Directive 9242.2-1A
why they were taken; problems encountered on-site and how they were
resolved; activities carried out by on site personnel; all meetings with
EPA managers, the contractor, elected officials, and the public; and any
accidents or incidents of exposure.
A chronology provides an account of site activities for EPA
management, Congress, and the public. It becomes a historical record
that may be useful for future removals. It also serves to verify for
cost recovery actions that work completed was consistent with CERCLA and
the NCP, and to verify contractor charges.
5.1.2 Entry and Exit of Personnel and Equipment
The names of all personnel and equipment entering and exiting the
removal site and the dates and ^time of entry and exit must be recorded.
This information is instrumental in verifying ERCS personnel and
equipment charges. In addition, entry and exit information of personnel
in the hot zone is recommended for site security and personnel safety.
In the event of exposure, the recorded entry and exit information can
help to identify personnel who might have been exposed.
5.1.3 Contractor Work Planned and Contractor Work Accomplished
The contractor work authorized by the OSC must be recorded along with
the subsequent detail of what work the contractor accomplished. When
recorded, this information can reconcile discrepancies and help to verify
the Contractor Cost Report (EPA Form 1900-55). In addition, this
information is a historical record of daily cleanup progress.
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OSWER Directive 9242.2-1A
5.1.4 Contractor Costs
A recorded daily account of all costs incurred by the cleanup
contractor, including labor, equipment costs, and subcontractor charges,
is required in the ERGS contract. Daily cost information is a tool for
cost projection, and is instrumental in cost recovery actions. This
information can also uncover inefficient or excessive use of labor and
equipment.
5.1.5 Sit* Conditions
It is important to keep a record of weather, ground conditions, and
other physical conditions at a removal site in order to justify delays*
and other on-site problems. Information on site conditions can also
assist in protecting the health and safety of on-site personnel.
5.1.6 Cumulative Project Costs
All on-site project costs, including those incurred by the ERGS
contractor, EPA, other Federal agencies, and TAT must be recorded and
documented on a daily basis. Maintaining a daily accounting of project
costs provides data that can be used in cost projections. Daily
accounting also reduces delays and costs associated with work stoppage
while the project ceiling is under review for an increase or the
$1 million exemption is being approved.
5.2 OPTIONS FOR DOCUMENTING COSTS
The information described in Section 5.1 can be recorded and
preserved through a variety of cost documentation tools. The forms
listed and described below are currently used at many removal actions:
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OSWER Directive 9242.2-1A
OSC Log
Detailed Daily POLREP
Entry and Exit Logs
Work Report
Contractor's Daily Cost Report --
EPA Form 1900-55
Incident Obligation Log
Only one of these forms, the EPA Fora 1900-55, is currently required
to be completed under the CERCLA removal program. The other forms are
optional mechanisms to record required site information. EPA Regions and
OSCs have the flexibility to either use the forms presented herein, or
design their own forms to best meet the needs of cost management and
documentation at a particular site. To reiterate, documentation of the
information' presented in Section 5.1 is required, while the particular
documentation techniques presented below (except the EPA Form 1900-55)
are optional.
5.2.1 OSC Log
The OSC Log is a bound log with detailed daily entries about work
accomplished at a CERCLA removal site, meetings held, decisions made,
etc. A detailed OSC log can fulfill the following documentation
requirements: chronology of events and decisions, entry and jaxit of
personnel and equipment, contractor work planned/authorized and
contractor work accomplished, and site conditions. An example of an
entry in a detailed OSC log is presented in Exhibit 5-2.
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OSWEB Directive 9242.2-1A
5.2.2 Detailed Daily POLREP
A Pollution Report (POLREP) may be prepared daily and can include
extensive information about activities on a removal site. A POLREP can
be used to fulfill the following documentation requirements: chronology
of events and decisions, contractor work planned/authorized and
contractor work accomplished, site conditions, and cumulative project
costs. An example of a detailed POLREP is presented in Exhibit 5-3.
5.2.3 Entry and Exit Logs
A personnel and equipment Site Entry and Exit Log is a record of the
entry and exit times of all personnel (ERCS, EPA, TAT, etc.) and
equipment on site. Any person or equipment leaving the site for any
reason, regardless of the duration of time, must be "logged out." A Hot
Zone Entry and Exit Log may be used to .record all personnel entering and
exiting the hot zone and the level of protection worn. These logs
satisfy the requirement for documenting the entry and exit of personnel
and equipment. An example of a personnel and equipment Site Entry and
Exit Log is presented in Exhibit 5-4, and a Hot Zone Entry and Exit Log
is shown in Exhibit 5-5.
5.2.4 Work Report
The Work Report can be used to document contractor work planned/
authorized as well as the contractor work accomplished. The Work Report
can be used prospectively to detail work to be performed by the
contractor, with a summary of work completed added at the end of the
day. It can also be used to summarize oral work orders given to the
contractor by the OSC and to identify what work was performed. If used
prospectively, it is suggested that the contractor sign the order. An
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OSWER Directive 9242.2-1A
explanation can also be provided to identify problems and changes in work
planned/authorized and work accomplished. A Work Report does not have to
be prepared daily if a particular phase or type of work is to be
performed over a matter of days (e.g., drum staging). An example of a
Work Report is presented in Exhibit 5-6.
5.2.5 Contractor Cost Report -- EPA Form 1900-55
As previously mentioned, the EPA Form 1900-55 is currently the only
form required to be completed in the cost documentation system, and ful-
fills the requirement to document contractor costs. This report is
completed and signed by the contractor, and is then reviewed and signed
by the OSC. The EPA Form 1900-55 includes contractor personnel
costs, equipment charges, expendable materials, and subcontractor
charges. A copy of an EPA Form 1900-55 is presented in Exhibit 5-7.
5.2.6 Incident Obligation Log
The Incident Obligation Log (IOL) is used to chart cumulative costs.
It provides daily tracking of all costs that are counted toward the total
project ceiling. It also tracks the limits for individual cost
categories (e.g., ERGS, TAT, EPA, and other Federal agencies). An
example of an Incident Obligation Log is presented in Exhibit 5-8. The
columns on the left list the cumulative expenditures for each category
(ERCS, EPA, TAT, etc.). Daily costs are listed in the smaller boxes
under the appropriate categories. Cumulative costs are listed in the
larger boxes. The columns to the right list daily expenditures,
cumulative expenditures and funds remaining on a daily basis.
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f
OSWER Directive 9242.2-1A
5.3 FULFILLING COST DOCUMENTATION REQUIREMENTS
The OSC is required to document each of the six types of site
information at a removal action. The documentation method can
incorporate any of the six forms presented here or other forms that the
OSC considers effective (but always including the EPA Form 1900-55).
The OSC or the designated on-site cost manager must prepare a Cost
Documentation Index similar to the one in Exhibit 5-9. This Index serves
to ensure that each piece of required information has been documented.
It also identifies the documentation method used, and where the
information has been recorded. Without a Cost Documentation Index,
important site information that has been carefully documented may be
difficult to find, and therefore may be rendered useless.
Once the Cost Documentation Index is completed, it should become part
of the removal site document file. The Index becomes a key component of
the file because it is a record of exactly how site information was
documented. In addition, the file must contain all of the information
that has been documented as identified on the Index (i.e., POLREPS,
Entry/Exit Logs, EPA Forms 1900-55).
The file structure used at each removal site must be consistent,
we11-organized and routinely maintained. Ideally, the site file
structure should be consistent with the Regional file system. The EPA
Office of Policy and Program Development (OPPM) (now the Office of
Program Management) issued a suggested organizational system for Regional
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OSWER Directive 9242.2-1A
CERCLA files. This file structure, however, appears to be more detailed
than would be necessary for a command post file at a removal action. As
an alternative, the on-scene cost manager should consider utilizing the
abbreviated file structure presented below. The file subjects are:
Cost Documentation Index
Action Memo
Entry and Exit Log
Site
Personnel
Equipment
Hot Zone
Personnel
Equipment
EPA Form 1900-55
Incident Obligation Log (IOL)
OSC Log
POLREP
Work Report
It must be remembered that the cost manager will be responsible for
maintaining this file on a>daily basis whenever possible.
Maintaining all relevant documents in the above orderly file system
will facilitate the incorporation of command post files into the Regional
office files. Exhibit 5-10 shows an abbreviation of the OPPH suggested
file structure, indicating where the above site documents should be
filed. Complete, well-organized, Regional files will aid in cost recovery
and facilitate review by the Inspector General's Office. The file system
will also provide readily accessible documents if an OSC is later called
to testify on a particular.removal action.
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OSWER Directive 9242.2-1A
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OSWER Directive 9242.2-1A
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OSWER Directive 9242. 2-lA
Exhibit 5-3
EXAMPLE OF A DETAILED POLREP
POLREP
DATE t NOVEMBER 12,1 384
POLREP NUMBER: 10
NAME OF REMOVAL ACT I ON: ABC DRUM SITE, ANYTOWN, NEW JERSEY
OSC: John Smith , Region II
Rain showers last night have cr*at*d some mud onsite.
Weather today was partly c loudly, temperatures in the 5O's.
Immediate Removal Action continues.
Personnel on scene this dat*:
ERCS contractor - 13
TAT - 2
- EPA -1 COSO
RP has threatened to deny EPA access to sit* if his demands
concerning sit* conditions ar* not met. OSC and Regional
enforcement attorney to meet 11/13 to discuss, the matter. RP's
actions have not impeded any cleanup work to date. Enforcement
will seek court order granting EPA access to site if necessary.
OSC met with State geologist to discuss the state's groundwater
sampling efforts. Preliminary results should be available within
2 to 3 weeks.
Excavated 156 cu. yds soil near lagoon this date. 1780 cu yds
total excavated. Phase 1 of soil excavation now complete. OSC
awaiting soil sample results to determine if further
excavation is needed.
SfOOO gallons of organic solvents from warehouse were bulked and
shipped off site to Firesign Incinerators. AlI drum waste from
warehouse has now been removed except for 10 drums of PCB Iiquids.
200 more drums excavated and staged. Drum sampling continues.
Estimate that 700 drums remain buried.
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OSWER Directive 9242.2-1A
Exhibit 5-3
(Continued)
Continue drum excavation staging and sampling.
Await soil sample results to determine if further excavation of
soil near lagoon is needed.
Evaluate disposal options for hazardous waste on site, including
10 drums of PCB still in warehouse.
COST TO DATE:
ERGS
TAT
EPA
Other
Nov. 12
* 9, 168
650
350
1,523
Total to date
» 95,200
6,368
1,751
15,498
Total 411,693 »118,817
Q!HgR_lNFQRMATiQN:
Removal action proceeding-on schedule.
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Exhibit 5-4
OSWER Directive 9242.2-1A
EXAMPLE OF A PERSONNEL AND EQUIPMENT
SITE ENTRY AND EXIT LOG
t
SITE ENTRY AND EXIT LOG
Work Sit«
TIME
In
Out
PERSONNEL
REPRESENTING
TIME
In
Out
Oat*
EQUIPMENT
Comments
C-15
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Exhibit 5-5 OSWER Directive 9242.2-1A
EXAMPLE OF A HOT ZONE ENTRY AND EXIT LOG
HOT ZONE ENTRY AND EXIT LOG
Work 3lt« | D«t«
TIME
In
Out
PERSONNEL
.
LEVEL OF PROTECTION
rf
]
I
Comments
C-16
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Exhibit 5-6 OSWER Directive 9242.2-1A
EXAMPLE OF A WORK REPORT
WORK REPORT
Work Site
Work Period
From / /
To
Contractor
Contractor Rep.
OSC
Work Planned/Authorized
Work Accompllehed
Equipment Planned/Authoriztd
Equipment Ut«d
Comments
Contractor Signature
Data
OSC Signature
Data
C-17
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OSWER Directive 9242.2-1A
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OSWER Directive 9242.2-1A
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APPENDIX D (Continued)
OSWER Directive 9242.2-1A
VIII
Diana Shannon, Chief
Compliance Section
FTS 8-564-1500
(303) 293-1500
Jeff Scott
Toxics and Waste Management
Division
FTS 8-454-8127
(415) 974-8127
Chuck Rice, Chief
Compliance Section
FTS 8-399-0695
(206) 442-0695
D-2
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OSWER Directive 9242.2-1A
APPENDIX E
CURRENT EPA CONTRACTORS WITH WHOM ERCS CONTRACTORS NAY INTERACT
Contract Contractor
EPA Project Officer EPA Contracting Officer
TAT
Roy P. Weston, Inc. Jack Jojokian
(202) 382-2458
Ton Sullivan
(202) 382-3210
REM/FIT NUS
(Zone 1)
Bill Raschak
(202) 382-3248
Ron Kovach
(202) 382-3201
REM/FIT CH2M Hill
(Zone 2)
Nancy Willis
(202) 382-2347
Vince Gonzales
(202) 382-2090
REN II Camp Dresser i
NcKee
Linda Boornazian
(202) 382-7997
Olrike Joiner
(202) 382-2302
III Bbasco Service*
REN IV CB2N Hill
John Kingscot
(202) 382-7996
Nancy Willis
(202) 382-2347
Ron Kovach
(202) 382-3201
Vince Gonzales
(202) 382-2090
CLP
Viar « Company
Stan Kovell
(202) 382-7906
David Watson
(202) 382-3244
TBS II Planning Research
Corporation
Nike Kosakowski
(202) 382-5611
Marian Bernd
(202) 382-3195
B-l
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OSWER Directive 9242.2-1A
GLOSSARY
f
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OSWER Directive 9242.2-1A
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 funding level authorized (i.e., approximate dollar amount
approved) by OERR/OSWER management in action memoranda for conducting a
defined'set of activities at a hazardous substance site.
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 allocable
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 a hazardous substance 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.
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OSWER Directive 9242.2-1A
commitment: an amount administratively reserved to cover an expected
obligation. A commitment reflects the intention to obligate funds to a
specific activity. The primary document used to commit funds is the
Procurement Request (PR) or EPA Form 1900-8.
i
Community Relations Plan (CRP); a plan for addressing local citizens' and
officials' concerns to a hazardous waste site and integrating community
relation activities into technical responses at sites to help prevent
disruptions and delays in response actions. A CRP should be completed for
removal actions expected to last longer than 45 days and should include a
short description of site background, nature of community concerns from
on-site interviews, key site issues, site-specific communication objectives,
and community relations activities as coordinated with technical response
activities.
containmenti an action(s) undertaken that focuses on controlling the source
of a discharge or release and minimizing the spread of the hazardous substance
or its effects. Containment may include such actions as construction of
slurry trenches, installation of diversionary booms, earth moving, plugging of
damaged tank cars, and/or use of chemicals to restrain the spread of the
substance.
Contractor Cost Report (EPA Form 1900-55) : a form prepared by the ERGS
contractor at the end of each day to identify all personnel, equipment and
materials used to complete assigned tasks.
Contracting Officer: the BPA official who has been delegated authority to
enter, modify and administer the ERCS contracts. The Contracting Officer
retains sole responsibility for most contract administration functions.
CQuntermeasures: actions undertaken to directly protect humans from exposure
to a hazardous substance release or potential release. Countermeasures may
include such actions as provision of alternate water sources, temporary
evacuation and relocation, and closing of public recreation facilities in the(
vicinity of the release.
2
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OSWER Directive 9242.2-1A
Cure Notice; an official notice issued by the EPA Ordering Officer to the
contractor in situations where the contractor fails to perform the services
ordered within the time required. The "cure notice" informs the contractor
that unless the failure to perform is sufficiently explained or cured within a
designated time, the Government may terminate the Delivery Order for default.
The "cure notice" is transmitted to the contractor on a standard EPA form
known as a "Notice of Failure to Perform or to Make Progress in Performance.*
Delivery Order: a form prepared by an Ordering Officer which specifies the
services to be performed and the personnel, equipment and materials to be
furnished to the Government by the BfiCS contractor to complete a specific
removal action.
Deputy Project Officer (DPO): the EPA Regional official responsible for
overseeing and organizing required interactions between regional EPA personnel
and other Federal staff and the contractor to ensure that correct management
procedures are followed.
disbursement: actual payment for services and goods. Disbursement is often
used synonymously with the terms "expenditure" or "outlay" in governmental
accounting literature.
discharge: as defined by Section 311 (a) (2) of the Clean Water Act (CWA)
includes but is not limited to, any spilling, leaking, pumping, pouring,
emitting, emptying or dumping of oil. For purposes of the Superfund program,
discharge shall also mean the substantial threat of a discharge.
discovery; refers to the notification; observance, or detection of a release
or substantial threat of release or discharge of a hazardous substance or oil
into the environment. A discovery may be made through notification oc
investigation in accordance with statutory requirements, incidental
observation by government agencies or the public, notifications by permit
holders or inventory efforts conducted by Federal, State or local agencies.
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OSWER Directive 9242.2-1A
disposalt the discharger deposit, injection, decomposing, spilling, leaking
or placing of any solid waste or hazardous waste into or on any land or water
so that such substances or any constituent thereof nay 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 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: also sometimes referred to as hazardous waste, 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
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OSWER Directive 9242.2-1A
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 Haste Disposal Act (excluding any waste the
regulation of which under the Solid Waste Disposal Act has been suspended by
Act of Congress, (d) any toxic pollutant listed under Section 307(a) of the
Federal Hater 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 Logi 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.
. V
Invoice package i a package prepared by the BBCS contractor for the ERCS DPO
on a monthly basis consisting of one invoice for each removal project
conducted for the previous billing period and one cost accounting form
itemizing costs for each removal project conducted for the previous billing
period.
Memorandum of Understanding (MOO): 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.
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OSWER Directive 9242.2-1A
national Contingency Plan (NCP); officially known as the National Oil and
Hazardous- Substances Pollution Contingency Plan, the NCP outlines the
responsibilities and authorities for responding to releases into the
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 Priority 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: a transaction which legally reserves funds for expenditure based
upon the original commitment (an obligation can never exceed a commitment).
Obligations are incurred by the signing of a contract or other transactions
(e.g., orders placed and payrolls) and are legally binding.
On-Scene Coordinator (OSC); the Federal official predesignated by the EPA or
the OSCG 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 ERGS contract, who has been delegated
authority to place orders against the BRCS zone contracts. The role may be
assumed by EPA OSCs, EPA Remedial Project Managers, and other designated
Federal officials.
Performance Incentive Plan; a plan prepared for the ERGS zone contract which
describes procedures for providing the contractor with an incentive in the
form of a financial reward for outstanding performance.
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OSWER Directive 9242.2-1A
Performance Incentive Pool; a pool of funds set aside yearly for each of the
SBCS zone contracts as part of the Performance Incentive Plan.
Performance Targets; the minimum acceptable performance of the contractor, as
defined in the contract Statement of Work and specified in individual Delivery
Orders, which will warrant the payment of the contractor's fixed rates,
including the "profit or fee" contained in the contractor's fixed rate for
personnel (or labor) charges. Performance which surpasses the stated targets
may be awarded additional "profit or fee" from the Performance Incentive Pool.
POLREP; reports submitted by the OSC to EPA Headquarters to report on a
release, the decision to activate the Fund, and progress at the response
(including a description of activities and status of funding).
i
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 BROS contractor official who serves as the single point
of contact for coordination with the EPA HQ Project Officer and Regional
DPOs. Be 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
poses 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 contract); or (3) type of
remedy.
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OSWER Directive 9242.2-1A
Project Officer; the EPA official with overall responsibility for managing
and directing activities under the ERCS zone contracts. The Project Officer
provides a single point of contact for the Contracting Officer and the ERCS
zone contractors.
release; any spilling, leaking, pumping, pouring, emitting, emptying,
exploding, discharging, injecting, escaping, leaching, dumping, or disposing
into the environment (for statutory definition, including exclusions, see the
NCP). For the purpose of the HCP, 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
environment, which may otherwise result from a release or threat of release.
reportable quantity; under Section 102 of CERCIA, 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.
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OSWER Directive 9242.2-1A
Response Manager: the ERGS contractor official who oversees a specific
cleanup action for the duration of the response. The Response Manager is
responsible for the management and execution of all cleanup activities in
exact accordance with the specifications developed in the SOW and in the work
reports.
responsible party; as defined by Section 107(a) of CERCLA includes "(1) the
owner or operator of a vessel (otherwise subject to the jurisdiction of the
United States) or a facility, (2) any person who at the time of disposal of
any hazardous substance owned or operated any facility at which such hazardous
substances were disposed of, (3) any person who by contract, agreement, or
otherwise arranged for disposal or treatment, or arranged with a transporter
for transport or disposal or treatment, of hazardous substances owned or
possessed by such person, by any other party or entity, at any facility owned
or operated by another party or entity and containing such hazardous
substances, and (4) any person who accepts or accepted any hazardous
substances for transport to or from treatment facilities or sites selected by
such- person, from-which there is a release, or a threatened release which
causes the incurrence of response costs, of a hazardous substance.
site: an area or a location at which hazardous substances were stored,
treated, disposed of, or placed, or otherwise came to be located. This
includes all contiguous land, structures, other appurtenances, and
improvements on the land, for treating, storing, or disposing of hazardous
. -v
substances. A site may consist of several treatment, storage, or disposal
facilities (e.g., impoundments, containers, buildings, or equipment).
site inspection: an aspect of field investigation, involving the process of
collecting field data from a hazardous substance site for the purpose of
characterizing the magnitude and severity of the hazard posed by the site, in
order to score the site using the Hazard Ranking System (HRS) or actions taken
to support enforcement. The site investigation builds on the information
collected during the preliminary assessment and may include sampling,
monitoring, surveys, testing and other information gathering techniques.
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OSWER Directive 9242.2-1A
start; the initiation of on-site removal activity at an incident for which no
CERCLA or 311 funds have been used previously. (The prior ,311 funding
limitation, applies only to removal actions receiving 311 funds after CERCLA
was enacted on December 11, 1980.)
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 Ordert a Notice of Work Stoppage form prepared by an Ordering
Officer, 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 Plant the contractor's submittal of a written response to a Delivery
Order defining the technical approach for the project, the budget, and the
schedule. . v
10
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OSWER Directive 9242.2-1A
BIBLIOGRAPHY
f
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OSWER Directive 9242.2-1A
BIBLIOGRAPHY
CERCIA - Comprehensive Environmental Response, Compensation, and Liability Act
of 1980 - Public Law 96-510, O.S. Environmental Protection Agency, December
11, 1980.
Clean Water Act (CHA) as amended, 33 O.S.C. Section 1251 et. seg., PL 92-500.
Contracts Management Manual, Procurement and Contracts Management Division,
U.S. Environmental Protection Agency, Washington, D.C.
Cost Recovery Actions Under CEHCLA - U.S. Environmental Protection Agency,
Washington, D.C., May 1983.
»rgency Response Division Policy Notebook, O.S. Environmental Protection
Agency, Office of Emergency and Remedial Response, Washington, D.C. and EPA
Regional Offices (this notebook is updated periodically as new guidance
becomes available).
EPA Standard Operating Safety Guides, O.S. Environmental Protection Agency,
November 1984.
EPA Superfund Emergency Contracting Procedures, O.S. Environmental Protection
Agency, Procurement and Contracts Management Division, October 9, 1985.
*
EPA Superfund Guidance Manual, O.S. Environmental Protection Agency, Office of
Emergency and Remedial Response, Washington, D.C., December 1981. (For
Superfund guidance documents not specifically listed in the BBCS Usera1 Manual
bibliography or the EPA Superfund procedures handbooks. Headquarters and
Regional personnel should refer to the EPA Superfund Guidance Manual. The
manual contains all current Superfund program policy memoranda and
publications. The manual is updated quarterly to reflect any new Superfund
directives.)
EPA Superfund Removal Guidance - Revision 13 - O.S. Environmental Protection
Agency, Office of Solid Waste and Emergency Response, Washington, D.C.,
January 22, 1986.
Financial Management OfficersOser Manual fot the Hazardous Substance Response
Program, O.S. Environmental Protection Agency, Office of Emergency and
Remedial Response, July 1982. »
Groundwater/Subsurface Investigations at Hazardous Waste Sites, Steven W.
Sisk, O.S. Environmental Protection Agency, National Enforcement
Investigations Center (NBIC), Denver, Colorado, July 1981, EPA-00/9-81-002.
Guidance on Ethics and Conflicts of Interest, O.S. Environmental Protection
Agency, Office of General Counsel, February 1984.
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OSWER Directive 9242.2-1A
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 Procedurei Remedial Planning/Field
Investigation Team gone 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.
HEIC 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.
Qn-Scene Coordinators (OSCj 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 (NEIC), Denver,
Colorado, February 1982.
Procedures For Planning and Implementing Off-Site Response Actions,"
Memorandum from Jack McGrav, 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.
Resource Conservation and Recovery Act of 1976 (RCRA), 42 U.S.C. Sections
6901-69911, PL 94-580 (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, May 1983.
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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OSWER Directive 9242.2-1A
Superfund Remedial Project Manager (RPM) Handbook for State-Lead Projects,
Draft, U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, December 1985.
Superfund Site Paper Pile Structure, U.S. Environmental Protection Agency,
Office of Emergency and Remedial Response, Washington, D.C., October 22, 1982.
Technical Assistance Team JTAT1 Contract User's Manual, U.S. Environmental
Protection Agency, Office of Emergency and Remedial Response, October 1982
(Revised 1986).
User's Guide to the EPA Contract Laboratory Program, U.S. Environmental
Protection Agency, Office of Emergency and Remedial Response, July 1984.
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