9242201B
Emergency
Response Cleanup
Services Contracts
(ERCS)
USERS' MANUAL
OSWER Directive 9242.2-01 B
EMERGENCY RESPONSE DIVISION
OFFICE OF EMERGENCY AND REMEDIAL RESPONSE
U.S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
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OSWER Directive 9242.2-01B
NOTICE
The information in this document has been funded, wholly or
in part, by the United States Environmental Protection Agency
under Contract No. 68-01-7376 to Booze, Allen & Hamilton. It
has been subject to the Agency's review process and has been
approved for publication as an EPA document.
The policies and procedures established in this document are
intended solely for the guidance of Government personnel.
They are not intended, and cannot be relied upon to create
any rights, substantive or procedural, enforceable by any
party in litigation with the United States. The Agency re-
serves the right to act at variance with these policiea and
procedures and to change them at any time without public
not ice.
11
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TABLE OF CONTENTS
Page
Number
LIST OF ACRONYMS
IX
I. INTRODUCTION
1-1
1. Structure of the Users' Manual
2. Using the Manual
1-2
1-4
II. SCOPE AND PROVISIONS OF THE CLEANUP SERVICES CONTRACTS
II-l
1. Contract Background Information
1.1 ERGS Zone Contracts
1.2 ERCS Regional Contracts ("Mini-ERCS")
2. Contract Services, Resources and Requirements
2.1 Cleanup and Response Related Services
2.2 Program Management Activities
3. Miscellaneous Contract Requirements
3.1 Liability
3.2 Publicity and Confidentiality of Information
3.3 Conflict of Interest
3.4 Chain of Custody/Document Control
II-2
II-4
II-5
II-7
II-l
11-17
11-22
11-22
11-27
11-28
11-29
III. CONTRACT MANAGEMENT: ROLES AND RESPONSIBILITIES
III-l
1. Relationship Between EPA Headquarters and Regional Offices III-2
2. Contract Management Structure Within EPA Headquarters III-5
2.1 Zone ERCS 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-8
3.2 Ordering Officers III-9
3.3 Regional Project Officer 111-10
ill
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TABLE OF CONTENTS
4. ERGS Contractor Management Structure
4.1 Program Manager
4.2 Response Manager
Page
Number
III-ll
III-ll
111-13
IV. PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE
SERVICES
IV-1
3.
4.
5.
6.
ERGS Contractor Selection IV-2
1.1 Initial Screening IV-5
1.2 Selection Criteria Definitions IV-5
1.3 Using the Selection Criteria IV-8
1.4 Documentation of Contractor Selection Decisions IV-26
1.5 Zone Crossovers IV-26
Delivery Order Preparation and Processing IV-27
2.1 Oral Delivery Orders IV-27
2.2 Delivery Order Completion and Processing Instructions IV-29
Delivery Order Modifications IV-36
Notice of Failure to Perform or to Make Progress in IV-36
Performance ("Cure Notice")
Notices Regarding Work Stoppages ("Stop Work Orders") IV-41
Project Site Files IV-44
V.
PROJECT MONITORING AND FINANCIAL MANAGEMENT
V-l
1. Daily.Project Tracking
1.1 Defining Contractor Activity
1.2 Monitoring Contractor Progress
1.3 Reviewing Project Status
2. Monthly Invoice Certification
2.1 Distributing the Invoice Package
2.2 Verifying Invoice Charges
2.3 Documenting Questionable Charges
V-4
V-4
V-5
V-10
V-12
V-12
V-13
V-13
IV
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TABLE OP CONTENTS
2.4 Certifying the Invoice
2.5 Submitting the Invoice for Processing
3. OSC and Contractor Reporting Requirements
3.1 OSC Reporting Responsibilities Under ERCS
3.2 ERCS Contractor Reporting Requirements
Page
Mumber
V-13
V-15
V-15
V-16
V-16
VI,
AWARD FEE PERFORMANCE EVALUATION PLAN
VI-1
1. The Award Fee Process VI-2
2. Preparation of Performance Event Reports VI-7
2.1 Organization, Roles and Responsibilities VI-7
2.2 Preparation of Award Fee Performance Event VI-9
Reports
3. Preparation of the Summary Evaluation Package VI-14
3.1 Project Officer (Evaluation Coordinator) VI-14
3.2 The Summary of Performance Evaluation Reports VI-15
4. Performance Evaluation Review and Award Fee Recommendation VI-17
4.1 The PEB VI-17
4.2 Award Fee Computation VI-19
VII. INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM
CONTRACTORS AND FEDERAL, STATE, AND LOCAL AGENCIES
VII-1
1. Superfund Contractors VII-2
1.1 Technical Assistance Team (TAT) Contractors VII-4
1.2 Underground Storage Tanks (UST) Program VII-4
1.3 Remedial Planning (REM) and Field Investigation VII-5
Team (FIT) Contractors
1.4 Technical Enforcement Support (TES) Contractors VII-7
1.5 Contract Laboratory Program (CLP) VII-3
1.6 Response Engineering and Analytical Contract (REAC) VII-9
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TABLE OF CONTENTS
2. Other Federal Agencies
2.1 U.S. Coast Guard (USCG)
2.2 Other Federal Agencies
3. State and Local Government Agencies
Page
Number
VII-9
VII-9
VII-11
VII-11
APPENDIX A - ERCS ZONE CONTRACTS STATEMENT OF WORK
A-l
APPENDIX B - RESPONSE TIME LIMITS (ERGS ZONE CONTRACTS)
B-l
APPENDIX C -
DESCRIPTION OF ALLOWABLE AND UNALLOWABLE CONTRACTOR
CHARGES
C-l
APPENDIX D -
RCRA CONTACTS - COMPLIANCE STATUS OF RCRA DISPOSAL
FACILITIES
D-l
GLOSSARY
BIBLIOGRAPHY
VI
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INDEX OF EXHIBITS
1-1 Contract Management Components and Users' Manual Organization
II-l ERCS Contracting Network at a Glance
II-2 Representative Cleanup Activities at ERCS Responses
II-3' ERCS Zone Contractor Professional and Technical Personnel
Requirements
II-4 Protective Equipment Types, by Levels
III-l ERCS Contract Management Structure
IV-1 Initiation of Contractor Response Services
IV-2 ERCS Contractor Evaluation Form
IV-3 ERCS Contractor Selection: An Illustrated Example
IV-4 ERCS Contracts Delivery Order Elements
IV-5 Delivery Order for Emergency Response Cleanup Services
IV-6 Amendment of Solicitation/Modification of Contract (SF 30)
IV-7 Notice of Failure to Perform or to Make Progress in Performance
("Cure Notice")
IV-8 Notice Regarding Work Stoppage ("Stop Work Order")
IV-9 Removal Site File Structure
IV-10 Documents for Removal Actions
V-l Project Monitoring and Financial Management
V-2a Contractor Personnel Report
V-2b Contractor-Owned Equipment/Materials Report
V-2c Subcontractor Report
V-2d Instructions for Completing EPA Form 1900-55
Page
Number
1-3
II-3
II-9
11-12
11-23
III-3
IV-3
IV-9
IV-14
IV-30
IV-31
IV-37
IV-39
IV-42
IV-45
IV-48
V-3
V-6
V-7
V-3
V-9
VII
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INDEX OF EXHIBITS
V-3 Documenting Questionable Charges - Sample Memorandum
V-4 ERGS Contractor Performance Summary
V-5 Required Contractor Reports
V-6 The CERCLA Off-Site Disposal Report
VI-1 The Award Fee Process
VI-2 CPAF Contract Individual Performance Event
VI-3 ERCS Performance Evaluation Criteria
VI-4 Summary of Performance Event Reports
VI-5 ERCS Performance Evaluation Board
VII-1 ERCS Contractor Interactions with Superfund Contractors
and Other Agencies
Page
Number
V-14
V-17
V-19
V-21
VI-3
VI-10
VI-12
VI-16
VI-18
VII-3
Vlll
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BOA
CEAT
CERCLA
CLP
CPAF
CWA
DPO
ERD
ERGS
FIT
HSCD
HSED
LUST
MSHA
MCP
ME 1C
MIOSH
MPL
OERR
3SC
OSHA
OUST
OWPE
PCMD
PO
POLREPs
QAMS
RCRA
REM
SARA
SMO
TAT
LIST OF ACRONYMS
Basic Ordering Agreement
Contractor Evidence Audit Team
Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (P.L. 96-510), as Amended by the
Superfund Amendments and Reauthorization Act of 1986 (SARA)
Contract Laboratory Program
Cost-Plus-Award-Fee
Clean Water Act
Regional ERCS Deputy Project Officer
Emergency Response Division
Emergency Response Cleanup Services Contracts
Field Investigation Team Zone Contracts
Hazardous Site Control Division
Hazardoud Site Evaluation Division
Leaking Underground Storage Tank Trust Fund
Mine Safety and Health Administration
National Contingency Plan
National Enforcement Investigations Center
National Institute of Occupational Safety and Health
National Priorities List
Office of Emergency and Remedial Response
On-Scene Coordinator
Occupational Safety and Health Administration
Office of Underground Storage Tanks
Office of Waste Programs Enforcement
Procurement and Contracts Management Division
Headquarters ERCS Project Officer
Pollution Reports
Quality Assurance Management Staff
Resource Conservation and Recovery Act of 1978 (P.L. 94-580]
Remedial Planning Contracts
Superfund Amendments and Reauthorization Act of 1986
Sample Management Office
Technical Assistance Team
IX
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LIST OF ACRONYMS (Continued)
TDD Technical Direction Document
TES Technical Enforcement Support Contracts
USCG U.S. Coast Guard
UST Underground Storage Tanks
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CHAPTER I
INTRODUCTION
The U.S. Environmental Protection Agency (EPA) has established a
contracting network of Emergency Response Cleanup Services (ERCS) contractors
to support the Superfund removal program. The ERCS contracts are used to
procure services necessary to respond to hazardous substance releases or
threats of releases, including releases at "known" hazardous substance sites.
The purpose of this users' manual is to establish a standard set of
operating and management procedures to assist EPA Headquarters and Regional
personnel, and personnel from other Federal agencies (e.g., U.S. Coast Guard)
authorized to use the ERCS contracts, in using the contracts efficiently and
effectively. In addition, the users' manual discusses coordinating the use of
the ERCS contracts with other entities involved with the Superfund program
(e.g., the Superfund remedial program and interactions with state and local
governments).
In addition to providing a reference for using the ERCS contracts, the
manual can be used to train and/or inform parties-who regularly interact with
or who are interested in the ERCS program including:
Existing or new EPA or other Federal personnel responsible for
management of the ERCS contracts
EPA personnel from other parts of the Superfund program (e.g.,
remedial, enforcement, state coordination, community relations,
financial management)
Federal, state and local officials and their contractors.
The remainder of the introduction describes the structure of the manual and
briefly discusses instructions for its use.
1-1
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1. STRUCTURE OF THE USERS' MANUAL
The users' manual places into perspective the key relationships among the
basic components required to manage and implement a removal action through use
of services (e.g., personnel, equipment, and materials) provided under each of
the ERGS contracts. A summary of the contract management components required
is illustrated in Exhibit 1-1. The users' manual has been organized around
these components. A brief description of the contents of each of the chapters
is provided below:
Chapter II — Scope and Provisions of the Cleanup Services Contracts
describes general contract background information; the terms and
conditions of the contracts and contractor requirements; the contract
Statement of Work; and contractor resources and responsibilities.
Chapter III — ERGS Contract Management: Roles and Responsibilities
highlights the organization and key management roles, responsibilities,
and interactions of Federal 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 — Award Fee Performance Evaluation Plan describes the award
fee process, the roles and responsibilities of OSCs, DPOs and Headquarters
personnel in implementing the award fee process, and the specific forms
and procedures that are to be used in evaluating contractor performance.
1-2
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EXHIBIT 1-1
Contract Management Components
And Users' Manual Organization
CHAPTER in
ERCS CONTRACT MANAGEMENT:
BOLES AND RESPONSIBILITIES
CHAPTER IV
)CEDURES FOR
'ING CONTRACTOR
ONSE SERVICES
flCX£S 4 ReSPONSIBtSTES
COtrmACTOH PERSOJVfiL
CHAPTER II
SCOPE AND PROVISIONS Of
THE CLEANUP SERVICES CONTRACTS
TRACKJNQ CONTRACTOR RESOURCE
Unj2AT)OH AND APPROVING
CONTRACTOR PAYMENTS
CHAPTER VI
ERCS AWARD FEE
PERFORMANCE EVALUATION PLAN
CHAPTER V
PROJECT MONITORING
AND FINANCIAL MANAGEMENT
1-3
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Chapter VII — Interactions With Other EPA Superfiind Program Contractors
and Federal, State and Local Agencies briefly summarizes the functions of
other Superfund contracts; the situations in which the ERCS 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 ERCS
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, ERCS 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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procedures pertaining to ERGS contract management. Each chapter is separated
by a tab labeled with the area of contract management covered in the chapter.
Following the tab is a table of contents indicating the pages where detailed
discussions of specific procedures and forms can be found in the chapter. The
loose leaf format will facilitate updating and will enable users to supplement
the text with notes and pertinent references appropriate to their own
activities.
The remainder of this manual describes the procedures to be followed by
Federal personnel in using the ERGS contracts. The first topic, "Scope and
Provisions of the Cleanup Services Contract," highlights the services that can
be obtained through the ERGS contracts, and contractor resources, requirements
and responsibilities.
1-5
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CHAPTER II
SCOPE AND PROVISIONS OF THE CLEANUP
SERVICES CONTRACTS
KEY TOPICS
Paqe
Contract Background Information
ERGS Zone Contracts
II-2
II-4
ERCS Regional Contracts ("Mini-ERCS")
Contract Services, Resources and Requirements
Cleanup and Response Related Services
II-5
II-7
II-7
Program Management Activities
Miscellaneous Contract Requirements
Liability
Publicity and Confidentiality of Information
Conflict of Interest
11-17
11-22
11-22
11-27
11-28
Chain of Custody/Document Control
11-29
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CHAPTER II
SCOPE AND PROVISIONS OF THE CLEANUP
SERVICES CONTRACTS
The U.S. Environmental Protection Agency (EPA) and the U.S. Coast Guard
(USCG) have management responsibility for all Federally funded emergency and
removal cleanup operations at oil and hazardous substances releases. To
provide implementation support to EPA and USCG, the Agency employs an
Emergency Response Cleanup Services (ERCS) contracting network which consists
of two groups of contracts: four (4) ERCS zone contracts, and several
separate ERCS Regional contracts.* These two groups of contracts are similar
in terms of the types of services provided by each, but differ with respect to
quantities of contract resources, geographical coverage, and response-time
requirements. The ERCS contracts replaced the Interim Emergency Procurement
Procedures under which removals had been conducted in the early years of the
Superfund program.
As illustrated in Exhibit II-l, this chapter describes pertinent
oackground information, and the technical scope of services, resources, and
requirements of the contracts awarded under the ERCS contracting network.
Similarities and differences between the two groups of ERCS contracts are
described in the following section.
1. CONTRACT BACKGROUND INFORMATION
The following sections highlight background information applicable to
contracts awarded under the ERCS contracting network and include discussions
of the types of contracts, periods of performance, and other general
descriptive information pertaining to the contracts.
The ERCS Regional contracts are also known as Mini-ERCS.
IT-2
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EXHIBIT 11-1
ERGS Contracting Network at a Glance
ERGS
CONTRACTING
NETWORK
ZONE CONTRACTS
4 GEOGRAPHIC ZONES
1 • REGIONS I - III
2 - REGION fV
3-REG ION V
4 - REGIONS VI - X
REGIONAL
CONTRACTS
CONTRACTS TO PROVIDE
ADDITIONAL RESPONSE
CAPACITY AT SPECIFIC
LOCATIONS
TECHNICAL SCOPE
• CONTAINMENT & COUNTERMEASURES
• CLEANUP. MfTIGATION, DISPOSAL
• ANALYTICAL SERVICES
•SITE RESTORATION
REQUIREMENTS/
RESOURCES
ZONE CALL CENTERS
RESPONSC-TIME LIMITS
EMERGENCY RESPONSE
PERSONNEL, EQUIPMENT.
MATERIALS
RESPONSIBILITIES
ZONE MANAGEMENT
RESPONSE MANAGEMENT
TRAINING
HEALTH & SAFETY
QUALITY ASSURANCE
RECOflOKEEPtNG/REPORTING
II-3
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1.1 ERGS Zone Contracts
Type of Contract
An indefinite quantity, fixed rate, cost-plus-award-fee (CPAF),
Delivery Order contract has been awarded to provide emergency
response cleanup services for each of the following four zones:
Zone 1 - EPA Regions I - III
Zone 2 - EPA Region IV
Zone 3 - EPA Region V
Zone 4 - 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-award-fee basis. The management effort encompasses all
managerial, financial, administrative and clerical functions
necessary to support and track performance of the program. Included
in the management effort are a 24-hour (ZONE) Call Center and a
Quality Assurance Program.
Each contract provides that the Government will order a stated
minimum quantity of services, and that the contractor will furnish
the minimum and any additional quantities, not to exceed a stated
maximum. The minimum amounts represent the Government's obligation
and are in addition to estimated costs and fees negotiated for the
management effort associated with each contract. They are also in
addition to the amounts included in the Award Fee Pool for each zone
(discussed in Chapter VI).
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Period of Performance
The base period for each ERGS Zone contract is one year from the
effective date, with options to extend the contract for three
additional one-year terms.
Zone Crossover
An ERGS 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 ERGS DPOs, Project Officer, and
Contracting Officer (See Chapter IV, Section 1.5, for Zone crossover
procedures).*
1.2 ERGS Regional Contracts ("Mini-ERCS")
The Agency also is in the process of awarding several separate ERGS
contracts to provide the Regions with additional contractor resources to
With the award of several ERGS Regional contracts to provide additional
quantities of contractor resources within a Zone, there probably will be
no need for Zone crossover. However, the Zone crossover provision will
stay in effect throughout the period of performance of the Zone contracts
as a safeguard against response resource shortages within Zones.
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conduct removal actions. Like the Zone contracts, the ERGS Regional
contracts are indefinite quantity, fixed rate, CPAF Delivery Order
contracts, and each ERGS Regional contractor is responsible for both
response-related and program-management-related services (e.g., contractor
response preparedness). Moreover, the contract Statements of Work for the
Zone contracts and Regional contracts are essentially identical. The
primary differences between the two groups of contracts are with respect
to quantities of contractor resources, geographical coverage, and response
time requirements.
Differences or limitations of the ERGS Regional contracts* as
compared to the ERGS Zone contracts include:
Quantities of resources available provide a more limited
response capacity
Required geographical coverage of response services is localized
with respect to EPA Regions
Required response time limits vary
Underground Storage Tank (UST) cleanup services are not covered
Services for oil spill response are not available under
Mini-ERGS.
The remainder of the chapter highlights contractor services, resources and
requirements applicable to both Zone and Regional ERGS contracts.
However, the reader should keep in mind the differences in the scope and
provisions of the two groups of ERGS contracts as cited above.
It is expected that all ERGS contractors will be used to conduct removal
actions. Guidance on the selection of ERGS contractors is presented in
Chapter IV.
II-6
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In addition to the Zone and Regional contracts, EPA is considering
the possibility of developing site-specific contracts for sites that have
longer lead times (i.e., at least four months). Specific details on these
contracts will be provided when they become available.
2. CONTRACT SERVICES, RESOURCES AND REQUIREMENTS
The following sections describe the required contractor resources for
cleanup and response related services and for program-management-related
services.
2.1 Cleanup and Response Related Services
Each ERGS contractor is required to provide ail 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
sections below describe the technical scope of services and contractor
resources and responsibilities each ERGS contractor is required to fulfill.
Technical Scope of Services
The ERGS contractor may be requested to perform the following
types of activities in completing a removal action:*
The ERGS zone contract Statement of Work is included in Appendix A.
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Containment and Counter-measures — The contractor will be
required to take the necessary defensive actions at a spill
or release site to contain the pollutant in order to
protect public health and welfare and the environment.
Exhibit II-2 lists typical defensive actions that might be
taken in response to a release.
Cleanup, Mitigation and Disposal — Physical collection and
temporary storage of pollutants may be undertaken
following, or in lieu of, treatment action. Example
collection methods are listed in Exhibit II-2. Actions to
recover a pollutant from affected media include the use of
chemicals for flocculation, coagulation, neutralization and
separation as well as other methods listed in the exhibit.
Following removal and/or temporary storage, any
contaminated material must be disposed of in accordance
with all appropriate Federal, state and local regulations.
The OSC must consult "Procedures for Planning and
Implementing Off-Site Response Actions," May 6, 1985
(Memorandum from Jack McGraw, Acting Assistant
Administrator, to Regional Administrators, Regions I-X).
The OSC has the option to accomplish disposal through this
contract or through other contractual mechanisms at the
OSC's discretion. The contractor is responsible for
obtaining all necessary transportation and disposal
permits. EPA will appear on the manifest as the generator.
Restoration — The contractor is required to repair or
replace material damaged during the removal and to restore
the damaged environment to as near pre-emergency conditions
as possible. Examples of such actions include: regrading,
soil replacement, reseeding or replanting, and restocking
fish and wildlife.
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EXHIBIT II-2
REPRESENTATIVE CLEANUP ACTIVITIES AT ERGS RESPONSES
Defensive Actions to Protect Public Health and the Environment
Sampling and analysis to determine the source and spread of the
pollutant and disposal options
Containing the release at its source and preventing further acute
flow of the pollutant
Controlling the source of discharge
Restraining the spread of the pollutant by the use of chemicals
Placing physical barriers to deter the spread of the pollutant
Constructing slurry trenches
Placing diversionary booms
Moving earth
Handling drums
Containerizing pollutants
Diverting streams
Keeping wildlife away from polluted areas
Controlling upstream water discharge
Providing temporary alternative drinking water supplies
Providing temporary relocation for residents (with FEMA support)
Providing traffic and crowd controls
Providing security
Executing damage control or salvage operations
Physical Collection and Temporary Storage
Flushing contaminants from the area, followed by collection and
holding
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EXHIBIT II-2 (continued)
Skirraning materials from the surface of water
Washing soils; collecting and storing recovered material
Pumping contaminated groundwater, with subsequent storage
Segregating waste chemicals at uncontrolled hazardous waste sites
Recovery of Pollutant from Affected Media
Using chemicals for flocculation, coagulation, neutralization and
separation
Using biological treating agents
Treating affected water and soil physically and chemically
Using specialized equipment, such as mobile carbon treatment systems
Aerating affected media to selectively release volatile components
Fixing and treating the polluted media in place
Salvaging or destroying vessels
Decontaminating or destroying contaminated equipment and facilities
Arranging for disposal or destruction technology
Incineration on-site
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Analytical — Sample collection, storage, transportation,
analysis and disposal are to be provided on a quick
response basis (24 hours or less as specified by the OSC,
unless the OSC decides on a longer time frame). On-site
and off-site analytical activities are required to provide
chemical and physical analyses, including but not limited
to on-site compatibility testing, pH, flash point,
oxidation/reduction, organic vapor analysis, TOC sulfide
and TOC phenols.
Contractor Resources
The ERCS contractor is required to provide all personnel,
equipment and materials necessary to conduct removals of oil and
hazardous substances. Hours or quantities of personnel, equipment
and materials will be ordered as required to implement site-specific
removals. Personnel, equipment and materials must be made available
to any location within the time limits established for each zone.
Staffing Requirements — A list of types or personnel (by
discipline) that the contractor is required to provide is
shown in Exhibit II-3. The fixed rates for different labor
categories for the base year and each option year of the
contract will be provided to ERCS contracts' users as the
contracts are awarded.
Equipment and Material Requirements — Rapid response and
non-rapid response equipment and material types which the
contractor must provide within required time frames should
be specified in the Delivery Order.
Fixed ordering and oilling rates for equipment and materials
shown in the exhibit will be provided as each contract is awarded.
These rates will be used for pro]ecting costs of removals.
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EXHIBIT II-3
ERGS ZONE CONTRACTOR PROFESSIONAL AND TECHNICAL PERSONNEL REQUIREMENTS
Professional
Supervisor (Response Manager)
Engineer, Chemical
Chemist, Organic
Industrial Hygienist/Safety Engineer
Hydrogeologist
Technician
Foreman (hazardous waste response)
Cleanup Technician (hazardous waste response)
Laborers
Equipment Operator
Truck Driver
Lab Technician
Welder
Electrician
Mechanic
Carpenter
Explosives Specialist
Security Guard
Field Clerk/Typist
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Contractor Resoonsibilities
Required Response Times — Rapid response time personnel,
equipment, and materials must be made available by the
contractor to any zone location within the response time
limits specified in the Delivery Order. Depending upon the
location, the required response time varies. Requirements
for personnel, standby equipment and urgent responses are
as follows:
Personnel — The contractor is required to provide
personnel who can respond to emergencies within the
specified response time limits. These personnel may
either be full-time or part-time contractor employees
or provided through subcontracting arrangements.
Standby Equipment — From time to time, certain
equipment may be ordered by the DSC to be available on
site while not actually in use. Such standby periods
normally will not exceed fourteen consecutive calendar
days. The contractor agrees to make available at
specified standby rates the equipment so ordered, with
the understanding that the maximum fourteen day period
may not be extended except by mutual written agreement
between the contractor and the Contracting Officer.
Urgent Requirements — In the event of a need for
immediate services in less time than that provided by
the contract, the Government has the right to make
other arrangements for those services until such time
as the ERCS contractor can arrive on scene and take
responsibility for the cleanup. In such a situation,
the Ordering Officer should contact the ERCS contrac-
tor by telephone to determine how fast a response can
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be made. Regardless of whether the ERGS contractor
indicates that it can respond in less than the minimum
required time, if the response time offered by the
contractor does not meet the needs of the Government, the
Ordering Officer has the authority to contract with another
party to perform the initial services determined necessary
to mitigate a threat to the public health and welfare.*
When ERCS contractor personnel arrive on scene,
arrangements are to be made with the OSC for an orderly
transition of responsibility. The ERCS contractor may
elect to subcontract any or all of the remainder of the
cleanup services at that site to the party that has already
commenced the work.
Response Management — The Response Manager is the
contractor's point of contact for the OSC. The Response
Manager is responsible for managing and executing all
cleanup activities in exact accordance with the
specifications of the Delivery Order and the technical
guidance of the OSC. The Response Manager is to be on
scene daily during a response action, maintaining close
coordination with the OSC or other designated official.
The Response Manager will conduct on-scene surveys with the
OSC to assist in developing detailed work plans and will
provide administrative support, supervision and management
of cleanup personnel, equipment and materials provided on
scene. The Response Manager is to report any problems
encountered in executing cleanup activities and take
corrective action when performance is not acceptable to the
OSC.
* Procedures for procuring contractors in urgent situations are described in
the EPA publication entitled EPA Superfund Emergency Contracting
Procedures, October 9, 1985.
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In addition, the Response Manager must:
Provide the OSC with a detailed accounting of all
costs incurred at a specific site in a format and
frequency specified in the Delivery Order and as
required in EPA's Removal Cost Management Manual
(revised 1987). (EPA computer software is available
to the Response Manager for providing a detailed
accounting of all costs. This is described in detail
in EPA's User's Guide for Removal Cost Management
Software. June 1985.)
See that pollutant storage, transportation, treatment
and disposal meet all safety and environmental laws
and regulations.
Health and Safety — As identified in section 3CC.38 of the
National Oil and Hazardous Substance Contingency Plan (40
CFR 300)' and section 126 of the Superfund Amendments and
Reauthorization Act, the OSC, contractor and/or responsible
party must ensure on-site worker health and safety during a
response action. A formal site analysis must be performed
prior to site entry. Based upon this preliminary
evaluation, a site-specific safety and health plan must be
developed, distributed and posted. According to OSHA's
"Hazardous Waste Operations and Emergency Response Interim
Rule" (December 1986), the safety plan must address the
following:
Names of key personnel and health and safety personnel
Task/operation safety and health risk analysis
Employee training
Personal protective equipment to be used
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Frequency and types of air monitoring, medical
surveillance and sampling techniques
Site control measures
Decontamination procedures
Site standard operating procedures
Emergency response contingency plan
Confined space entry procedures.
Similar safety precautions will be taken when handling or
disposing of hazardous wastes as regulated under RCRA. The
plan will be modified or updated as needed. The OSC must
require all individuals entering the site to sign a form
which indicates that they have read and understand the site
safety plan.
The ERCS contractor will conduct on-site operations under
the guidelines of a company health and safety program
which, at a minimum, complies with all Federal, state and
local statutes, regulations and ordinances regarding health
and safety. Standards that exceed those mandated by the
Federal Government may be required by the contractor.
However, additional costs associated with adherence to such
standards will be borne by the contractor.
All response actions are subject to OSHA inspections.
Quality Assurance — In addition to the contractor's
Quality Assurance (QA) Program Plan detailing the
contractor's commitment to ensuring that all environmental
monitoring data are of known quality, the OSC may request a
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QA project plan be prepared for an individual removal
action. The plan will include the following: QA program
organization and responsibility, sampling procedures,
sample preservation procedures, sample custody, calibration
procedures, analytical procedures, internal quality control
checks and frequency, documentation, and other factors that
may affect the known quality of environmental data.
2.2 Program Management Activities
Each ERGS contractor is required to establish an organization
consisting of a Program Manager and as-needed Response Managers. The
Program Manager will maintain a network of cleanup personnel, equipment
and materials and supervise contractor Response Managers. Contract
management is described in Chapter III of this manual. The resources and
responsibilities required by the 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 Pro]ect Officers (DPOs) and Contracting Officer. The Program
Manager receives, manages and implements all Delivery Orders. The
coordination between EPA officials and the contractor's Zone
management organization and specific responsibilities of the Program
Manager are discussed in Chapter III.
The contractor must provide all necessary administrative,
clerical and supervisory personnel to ensure that responses are
conducted in accordance with Delivery Order specifications.
Contractor Responsibilities
The ERCS contractors are required to provide the following
management related services:
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Providing Immediate Access to Emergency Response Cleanup
Services* — The ERGS contractor is responsible for
operating a 24-hour, 7-day-a-week call center to provide
EPA with access to emergency response cleanup services at
all times.
Maintaining Response Capability — The ERCS contract
requires that the contractor provide, either from its own
staff or subcontractors, personnel who are on alert to
respond to any emergency response requirement within
certain specified time limits. The contractor must
maintain an equipment and materials inventory and adequate
staffing to ensure that response time requirements can be
met.
Training Contractor Personnel — The ERCS contractor is
responsible for providing contractor personnel trained in
the skills required for responding to oil and hazardous
substances releases (e.g., personal safety equipment and
proper decontamination procedures). All contractor
personnel must be fully trained by the contractor before
performing any services on scene.
Accepting and Implementing Delivery Orders — Delivery
Orders for cleanup services are to be issued to the
contractor Program Manager (or designee). In the event of
an emergency, an oral order may be issued by the Ordering
Officer. However, the order must be confirmed within 48
hours by a written Delivery Order. Procedures for
initiating contractor response services are described in
detail in Chapter IV.
Subcontracting of transportation and disposal of oil and
hazardous substances — The contractor is required to
Required only for ERCS Zone contracts.
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OSWER Directive 9242.2-01B
(10/87)
subcontract all transportation of oil and hazardous
substances removed from the site of the cleanup to an
appropriate disposal facility unless otherwise directed by
the OSC, and to subcontract the storage and ultimate
disposal of the materials. If the contractor also has
transportation equipment and disposal facilities within the
same company, such equipment and facilities will not be
eligible for use. This requirement may not be waived
except by prior written approval of the Contracting Officer
or as described below
The contractor may be allowed to perform
transportation when the estimated amount of
transportation cost is under $25,000 and the OSC can
obtain prior concurrence from the Contracting Officer
that the situation on the site clearly demonstrates it
is in the Government's best interest from a timing,
cost, or other basis to allow the contractor to
provide transportation.
The contractor may also be allowed to perform
transportation when the total cost of transportation
is less than 325,000 and such services are priced at
rates established in the contract and upon OSC
approval. Contracting Officer approval is not
necessary in this situation.
Should the estimated cost of transportation services
be less than 35,000, the OSC is authorized to order
transportation services to be performed by the
contractor without approval from the Contracting
Officer.
Competition is to be obtained to the maximum
practicable extent. The ultimate methods selected for
transportation and disposal are subject to the verbal
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consent of the OSC. The contractor is required to
obtain at least three cost estimates for
transportation of hazardous waste materials to an
ultimate disposal facility. Cost estimates are to be
obtained in order to ensure that cost effectiveness
and expediency are considered. Should the low bid not
be chosen, the selection criteria used to decide who
is to transport the waste materials must also be
documented. This includes the name of the
individual(s) making the decision, their title, their
organization and the basis for selection. The same
selection process also applies to the choice of
disposal facility.
Copies of the above documentation and selection
decision must be submitted to the OSC within five
working days of the selection decision and attached to
EPA Form 1900-55 (Contractor Cost Report). The
rationale for making the selection decision must be
fully explained.
The costs of transportation/disposal may not be
invoiced if the OSC has not received the supporting
documentation.
If the above selection process must take place
off-site, a verbal summary of the above requirements
may be given for inclusion on the 1900-55; however,
documentation must be forwarded to the OSC within
24 hours.
Cost control and recordkeeping — During removal actions,
the ERGS 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
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use of public monies and enable all removal costs to be
measured against site budget, action memo, contractual, and
statutory ceilings. The system used by the contractor
should be compatible with the procedures for monitoring
project performance and financial management described in
Chapter V.
Quality Assurance Requirements (QA) — The ERGS contractor
is required to institute a quality assurance program that
will ensure that environmental monitoring data of known
quality are provided. The OSC may request the contractor
to develop, implement and manage a quality assurance
project plan for each separate cleanup action, ensuring
that all quality assurance requirements, including zone or
Region-specific requirements, are met. "Interim Guidelines
and Specifications for Preparing Quality Assurance Pro]ect
Plans" (QAMS-005/80) contains detailed information on
EPA's quality assurance program and can be obtained from
the Office of Monitoring Systems and Quality Assurance.
Property Administration — The contractor is required to
initiate a property administration program that will ensure
compliance with the contractual requirements specified in
EPA's "Guidance for Control of Government Property by
Contractors," dated November 1, 1981. The property
administration procedures developed by the contractor
should be forwarded in writing for review and approval to
the EPA Property Administrator. SPA Form 1730-1, "Report
of Nonexpendable Government Property Acquired by
Contractor," should be completed by the contractor to
report all purchases of Government property. A copy should
be submitted to the Property Administrator and to SPA' s
Financial Management Division, when requesting
reimbursement for acquisition of equipment. Further, any
transfer of Government property to EPA Officials must be
documented and reported to the EPA Property Administrator
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utilizing EPA Form 1700-7, "Property Receipt and Transfer
Document." The contractor must also submit a Property
Administration Program Plan that includes the following:
property administration program organization and
responsibility and property administration procedures
addressing acquisition, receiving, identification, records,
movement, storage, protection, loss or damage, utilization,
maintenance, inventory, disposal and contract closure.
Personnel Protection — The OSC is responsible for assuring
the safety of all individuals on site at all times. The
required level of protection as specified by the OSC is to
be followed by the contractor. Exhibit II-4 specifies the
definitions of each level of protection. The OSC's
determination of the required level of protection is
considered final. Where the contractor is required to
develop a specific site safety plan as part of a Delivery
Order, the plan is to be submitted to the OSC for review
and approval prior to commencing work. Where a site safety
plan is provided by the Government, the contractor agrees
to follow the plan unless objections are made known to the
OSC. The contractor may operate at a higher level of
protection than that specified by the OSC, but must bear
any extra costs associated with the additional protection.
3. 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
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Exhibit II-4
PROTECTIVE EQUIPMENT TYPES, BY LEVELS
LEVEL A PERSONAL PROTECTIVE EQUIPMENT
- Pressure-demand, self-contained breathing apparatus (MSHA/NIOSH approved)
Fully encapsulating chemical-resistant suit
Coveralls*
Underwear, long cotton underwear*
Gloves (outer), chemical-resistant
Gloves (inner), chemical-resistant
Boots, chemical-resistant, steel toe and shank. (Depending on suit boot,
worn over or under suit boot)
Hard hat* (under suit)
Disposable protective suit, gloves, and boots* (Worn over fully
encapsulating suit) • •
2-way radio communications
LEVEL B PERSONAL PROTECTIVE EQUIPMENT
Pressure-demand, self-contained breathing apparatus (MSHA/NIOSH approved)
Chemical-resistant clothing (overalls and long sleeved jacket; coveralls;
hooded, one- or two-piece chemical-splash suit; disposable
chemical-resistant coveralls)
Coveralls*
Gloves (outer) chemical-resistant
Gloves (inner) chemical-resistant
Boots (outer) chemical-resistant, steel toe and shank
Boots (outer) chemical-resistant (disposable)*
Hard hat (face shield)*
2-way radio communications (intrinsically safe)
* Optional
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EXHIBIT II-4 (Continued)
LEVEL C PERSONAL PROTECTIVE EQUIPMENT
Full-face, air purifying respirator canister equipped (MSHA/NIOSH approved)
Chemical-resistant clothing (one-piece coverall; hooded, two-piece
chemical splash suit; chemical-resistant hood and apron; disposable
chemical-resistant coveralls)
Coveralls*
Gloves (outer), chemical-resistant
Gloves (inner), chemical-resistant
Boots, steel toe and shank, chemical-resistant
Boots (outer), chemical-resistant (disposable)*
Hard hat (face shield)*
Escape mask
2-way radio communications (intrinsically safe)
LEVEL D PERSONAL PROTECTIVE EQUIPMENT
Coveralls
Gloves*
Boots/shoes, safety or chemical-resistant steel toe and shank
Boots (outer), chemical-resistant, disposable*
Safety glasses -or chemical splash goggles*
Hard Hat (face shield)*
Escape mask
Optional
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the Government may reasonably obtain performance of similar
services. If the contractor fails to arrive at the site in the
required time, the OSC/Ordering Officer has the authority to issue a
"Notice of Failure to Perform or to Make Progress in Performance"
("Cure Notice")*, which is a preliminary notice of default. Such a
"cure notice" can also be used in cases where the contractor's
performance and progress have not been satisfactory. The Delivery
Order may be terminated for default, or the Government may elect to
use the ERGS contractor, regardless of delays. If the Delivery Order
is not terminated, the contractor must continue performance and be
liable to the Government for liquidated damages. The Delivery Order
shall not be terminated for default nor the contractor be held liable
for liquidated damages for delays due to causes beyond the control
and without the fault or negligence of the contractor, pursuant to
the provisions in the contract for "Excusable Delays."
Insurance Requirements
The contractor must maintain insurance as required by the
Federal Acquisition Regulations and detailed in the contract, as well
as any additional insurance that the Contracting Officer may require
with respect to the performance of the contract.
At a minimum, the contractor must maintain the following types
of insurance:
Workmen's compensation and occupational disease insurance
in amounts to satisfy state law;
A detailed discussion of "cure notices" is provided in Section 4 of
Chapter IV. OSCs should consult this Section for a description of the
specific procedures to be followed in preparing "cure notices" and their
responsibilities in making certain that proper communication and
documentation requirements are met.
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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;
Vessel collision liability and protection and indemnity
liability insurance, when vessels are used in the
performance of the contract, in such amounts as the
Contracting Officer may require or approve.
In addition, the contractor is required to make diligent efforts
throughout contract performance to obtain adequate pollution
liability insurance. With the written approval of the Contracting
Officer, the contractor may maintain a self-insurance program. The
contractor .shall be reimbursed the reasonable cost of insurance for
the portion allocable to the contract (including reserves for
self-insurance).
The Government will hold harmless and indemnify the contractor
against any liability (including the expenses of litigation or
settlement) for negligence arising out of the contractor's
performance under this contract in carrying out response activities.
Such indemnification shall apply only to liability not compensated by
insurance or otherwise and shall apply only to liability that results
from a release of any hazardous substance or pollutant or contaminant
if such release arises out of the response activities of this
contract. Further, any liability within the deductible amounts of
the contractor's insurance will not be covered under this contract
clause.
With the prior written approval of the Contracting Officer, the
contractor may include in any subcontract under the contract the same
provisions, whereby the Contractor may indemnify the subcontractor.
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The contractor is required to:
Promptly notify the Contracting Officer of any claim or
action against the contractor or any subcontractor which
reasonably may be expected to involve indemnification
Furnish evidence or proof of any claim in the manner and
form required by the Government
Immediately furnish the Government copies of all pertinent
papers received by the contractor. The Government may
direct, control or assist the settlement or defense of any
such claim or action. The contractor must comply with the
Government's directions, and execute any authorizations
required in regard to such settlement or defense.
3.2 Publicity and Confidentiality of Information
The contractor must acknowledge EPA support whenever the work funded
in whole or in part by the contract is publicized. The ERGS contractor
must be cognizant of site-specific community relations plans developed by
EPA Regional personnel, by other contractors (e.g., REM, FIT or TAT) or by
states under a Cooperative Agreement with EPA. Although the cleanup
contractor will not be required to prepare community relations plans, it
must abide by the provisions of such plans during removal actions.
The OSC's principal responsibility is to protect public health and
the environment until the removal is completed. During removals, the
OSC's primary community relations responsibility is to inform the
community about the response actions and their effects on the community.
Any data that are generated or obtained by the contractor during
performance of a removal are considered confidential and not to be
disclosed to anyone other than Environmental Protection Agency employees
without the prior written approval of the OSC.
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3.3 Conflict of Interest
The ERGS contractor is required to provide to the Government (within
thirty [30] days after award of the contract) a list of all known sites at
which there may be an actual, potential, or apparent conflict of interest
in performing cleanup services. In the event that additional sites become
known after submission of that list, the contractor must immediately
notify the Government of any such additions.
Further, prior to accepting any Delivery Order to conduct cleanup
services at any site, the contractor must immediately notify or reaffirm
to the Ordering Officer any actual, potential, or apparent conflict of
interest the firm or any of its employees may have (including
subcontractors and their employees who will be performing any portion of
the cleanup services) by working at that site. If it is determined that
any such actual, potential or apparent conflict of interest does exist,
the Government reserves the right, to cancel or terminate the Delivery
Order and use the services of another contractor or make other
arrangements for the cleanup services.
EPA also considers it a potential conflict of interest for the same
contractor to perform both the Technical Assistance Team (TAT) Scope of
Work and that of the ERCS at the same site. In addition, the contractor
is required to have all offerers on any subcontract funded under the ERCS
contracts to provide with its bid or proposal:
Information on its status as a potential responsible party at
the site
Certification that it has disclosed such information, if it
exists
A statement that it shall immediately disclose any such
information discovered after submission of its bid or proposal,
or after award.
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The contractor should evaluate this information and notify the Contracting
Officer if an apparent conflict of interest exists.
3.4 Chain of Custody/Document Control
All work conducted by the ERGS contractor must follow established
chain-of-custody and document control procedures. Detailed information
pertaining to procedures for each of the areas is available in NEIC
Policies and Procedures, U.S. Environmental Protection Agency, National
Enforcement Investigations Center (NEIC), Denver, Colorado, May 1978
(Revised February 1983), EPA-330/9/78-001-R. Copies of this document
should be obtained by all Regional offices and be distributed to the ERCS
contractors" offices as well. The document will serve as the official EPA
guidance for ensuring that the procedures are followed.
The OSCs and other Ordering Officers, together with a representative
from the Regional enforcement office, will be responsible for ensuring
that the contractor adheres to both the chain-of-custody and document
control procedures. Periodically, adherence to the provisions will be
evaluated by an evidence audit. The evidence audit may be conducted by
Regional or Headquarters personnel, or by a Contractor Evidence Audit Team
(CEAT) from the NEIC. Evidence audits may examine procedures at the site,
in the contractor offices, laboratories, or Regional offices, or
combinations thereof.
The intent is for cost recovery in all cases in v/hich CERCLA funds
are expended. Therefore, the observation, documentation, and presentation
of critical facts and response costs are important to ensure that:
Potential evidence concerning the site and responsible parties
is noted and documented oefore response activity or the passage
of time obscures or eliminates it
Physical evidence essential at trial is collected and preserved
appropriately
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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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CHAPTER III
CONTRACT MANAGEMENT: ROLES AND RESPONSIBILITIES
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CHAPTER III
CONTRACT MANAGEMENT: ROLES AND RESPONSIBILITIES
KEY TOPICS
Page
Relationship Between EPA Headquarters and Regional Offices III-2
Contract Management Structure Within EPA Headquarters III-5
Zone ERCS Project Officer III-5
Contracting Officer III-6
Contract Management Structure Within EPA Regional Offices III-7
ERCS Deputy Project Officer (DPO) III-8
Ordering Officers III-9
Regional Project Officer 111-10
ERCS Contractor Management Structure III-ll
Program Manager III-ll
Response Manager 111-13
III-l
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OSWER Directive 9242.2-01B
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CHAPTER III
CONTRACT MANAGEMENT: 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 contract management structure is
shown in Exhibit III-l.
1. RELATIONSHIP BETWEEN EPA HEADQUARTERS AND REGIONAL OFFICES
Contract resources are allocated on either a Zone-wide* or
Region-specific basis and must be managed effectively to ensure that the
initiation of site-specific projects is consistent with Superfund program
goals and objectives. Two levels of management must be provided by the
Agency to successfully plan, execute and control the work performed by the
ERGS Zone contractors. These two components of EPA contract management
consist of: (1) overall contract management and program direction, centered
in EPA Headquarters; and (2) technical oversight and project management,
which is the responsibility of each EPA Regional office and other Federal
agencies designated as ERGS contracts users (e.g., USCG).
The following discussion will focus on the relationship between EPA
Headquarters and Regional offices and summarize the responsibilities of
each. The contract management structure within EPA Headquarters and
Regional offices, and the roles and responsibilities of key Agency contract
management personnel are discussed in subsequent sections.
Only pertains to four ERGS Zone contracts. The additional ERGS Regional
contracts (Mini-ERCS) are not awarded on a zone-wide basis.
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OSWER Directive 9242.2-01B
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EXHIBIT 111-1
ERCS Contract Management Structure
ERCS
PROJECT OFFICER
DEPUTY/REGIONAL
PROJECT OFFICERS
OTHER FEDERAL
ORDERING OFFICERS
EPAOSC«/
ORDERING OFFICERS
CONTRACTING
OFFICER
ERCS ZONE
PROGRAM
MANAGERS
ERCS RESPONSE
MANAGERS
FEDERAL GOVERNMENT INTERACTION
CONTRACTOR/GOVERNMENT INTERACTION
HEADQUARTERS/CORPORATE MANAGEMENT
REGIONAL MANAGEMENT
III-3
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OSWER Directive 9242.2-0IB
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Within EPA Headquarters, the Emergency Response Division (ERD) and the
Procurement and Contracts Management Division (PCMD) are charged with
overall contract management responsibility for the ERGS contracts. ERD will
oversee total resource use and technical direction of the ERGS contracts,
work directly with the contractor Program Managers and other ERGS contractor
corporate staff, and coordinate implementation of the contracts through the
EPA Regional offices. PCMD will be responsible for all contract
administration activities, ensuring that contracting is done as authorized
by law and regulation and that OSCs have been delegated authority as
Ordering Officers and properly trained.
EPA Headquarters management also must coordinate EPA efforts with those
of other Federal agencies supporting the Superfund program, such as the U.S.
Coast Guard and any other Federal agency or military entity using the ERGS
contracts.
The Regional contraict management responsibilities of each EPA Regional
office complement Headquarters' overall contract management structure. The
EPA Regional offices will provide site- or project-specific management by
directly overseeing the ERGS Zone contractor's performance during the course
of a removal action. However, on the Regional (Mini-ERCS) contracts, the
Regional office is responsible for overall contract management including
oversight of total resource use and technical direction of the Regional
contracts.
In addition to managing and providing technical direction for removal
projects, contract management responsibilities of the EPA Regional offices
include:
Initiation of response services
Technical and financial progress monitoring
Project-specific invoice certification.
The following sections describe in greater detail the organization, roles
and responsibilities of contract management officials within EPA
III-4
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OSWER Directive 9242.2-01B
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Headquarters and Regional offices, as well as the management structure and
responsibilities of the ERGS contractors.
2. CONTRACT MANAGEMENT STRUCTURE WITHIN EPA HEADQUARTERS
As described in the previous section, EPA Headquarters is responsible
for ensuring national program consistency and providing oversight of each
ERGS contractor's execution of the requirements specified by the contract
Statement of Work. This includes coordinating and implementing the program
through the EPA Regional offices and any other Federal offices delegated
authority to use the ERGS contracts. A description of the key roles and
responsibilities of each component of EPA Headquarters contract management
structure is presented below.
2.1 Zone ERGS Project Officer
The Zone ERGS Project Officer is the EPA official with overall
responsibility for managing and directing activities under the
contracts. As such, the Zone ERGS Project Officer will coordinate with
the Zone Program Manager, Contracting Officer, and with the Regions
through the ERGS Deputy Project Officers.
In addition to these ongoing responsibilities, the Zone ERGS
Project Officer is responsible for monitoring the management portion of
each zone contract. The Zone ERGS Project Officer will certify monthly
invoices for the management portion. This encompasses all managerial,
financial, administrative, and clerical costs for the contract.
Allowable costs for the management portion are described in the Federal
Acquisition Regulation Subpart 31. Changes to the management portion of
each contract will be on a cost basis. The labor rates charged to the
contract should not exceed the rates proposed by the contractor. All
rates established for the management portion of the contract are
provisional rates that constitute ceilings for that particular rate.
Final costs will be determined by actual costs as determined by the
Contracting Officer, based upon an audit of costs incurred.
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The Zone ERGS Pro] act Officer will also conduct Regional ERGS
contracts management reviews once every two years for the purpose of
assessing EPA Regional office compliance with the contract management
procedures and requirements specified in the ERGS Contracts Users'
Manual and the Removal Cost Management Manual. These management reviews
should cover four areas:
Delivery Order preparation and project initiation
Project monitoring and cost verification
Invoice processing
ERGS contractor evaluation.
The central feature of the management reviews will be visits to
each EPA Regional office. Contract management documentation such as
Delivery Orders, Contractor Cost Reports (EPA Form 1900-55), project
logs, invoices, and contractor performance summaries should be reviewed
for completeness, appropriateness, and level of detail. Procedures
followed by the DPOs and OSCs in managing the ERGS contracts should be
examined through personal interviews.
At the conclusion of each site visit, the ERGS Project Officer will
be responsible for preparing a draft report of findings and
recommendations. This draft report will be submitted to the Regional
DPO for comment. Upon receipt of the DPO's comments, the ERGS Project
Officer will finalize the draft report and then submit it to the EPA
Regional Division Director for a formal response to the recommendations
in the report.
2.2 Contracting Officer
The Contracting Officer has the authority to enter into, administer
and modify the ERGS contracts. While limited contracting authority will
be delegated under the ERGS contracts to Ordering Officers (see
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section 3.2 in this chapter), the Contracting Officer will retain sole
responsibility for most contract administration functions, including:
Executing all modifications to Delivery Orders, such as
ceiling increases and changes in scheduled completion dates
"Definitizing" each Delivery Order: setting forth the final
cost of each Delivery Order after a review of a summary of
contractor costs claimed
Resolving disputes relating to the terms and conditions of the
contract or individual Delivery Orders, including any payments
Conducting audits of contractor records relating to
performance under the 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 Zone contracts, management duties at the Regional
level center largely on the more technical aspects of contractor performance
and the site-specific direction of contractor resource use and monitoring.
Of course, this is true only for the Zone contracts; for the Regional
contracts, the Regions focus on overall guidance and administration, as well
as day-to-day management of sites. The Zone ERCS contract management roles
and responsibilities of the EPA Regional offices are discussed next.
3. CONTRACT MANAGEMENT STRUCTURE WITHIN EPA REGIONAL OFFICES
The EPA Regional offices are charged with the day-to-day oversight of
the ERCS Zone contractors' work on site. They ensure that program policies,
procedures, goals, and objectives are met by the contractors with respect to
specific assignments. Regional contract management responsibilities include
the technical direction and management oversight of removal projects,
progress monitoring, invoice certification, and performance evaluation.
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The Regional management structure for administration of the ERGS zone
contracts is comprised of two major management positions:
ERGS Deputy Project Officer
Ordering Officer.
For the ERGS Regional contracts, administration is the responsibility of a
Project Officer. The functions of these Regional management positions are
discussed below.
3.1 ERGS Deputy Project Officer (DPO)
The ERGS DPO's primary responsibility is to oversee and organize
required interactions between EPA Regional personnel and the contractor
to ensure that correct management procedures are followed. The ERGS DPO
may work with the Project Officer or Contracting Officer at EPA
Headquarters, or with the contractor's Response Managers or Program
Manager. Key contract management responsibilities of the ERGS DPO
include:
Ensuring that correct management procedures are followed and
resolving issues pertaining to the management procedures
Overseeing contract use at sites by OSCs or other designated
Federal officials, including reviewing Statements of Work
developed for Delivery Orders
Receiving, reviewing, and distributing monthly contractor
invoices and progress reports to OSCs and other designated
Federal officials
Reviewing contractor deliverables and completion reports
Reviewing the Contractor Performance Summary Reports submitted
by OSCs
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OSWER Directive 9242.2-01B
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Reviewing and concurring with OSC-initiated award fee
Performance Event Reports (PERs)
Responding to the findings and recommendations resulting from
Regional ERGS contracts management reviews conducted by the
ERGS Project Officer.
In addition to assuming the responsibilities described in this section,
the ERCS DPO may also function as an Ordering Officer, whose
responsibilities are described below.
3 . 2 Ordering Office.rs
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 (primarily involved with oversight of the REM
and 'FIT contracts). Other designated Federal officials (e.g., USCG
OSCs) must issue Delivery Orders through the EPA Contracting Officer.
The primary role of the Ordering Officer is to initiate orders for
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 within
the action memo. In the event that the Ordering Officer is not the OSC
who has been or will be assigned responsibility for directing the
removal project, the Ordering Officer should coordinate the preparation
of the Delivery Order with the designated OSC. In most instances, the
Ordering Officer and OSC will be the same person.
Once the Delivery Order has been issued, the OSC has management
responsibility for directing and monitoring the activities performed by
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OSWER Directive 9242.2-01B
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the ERCS contractor during the removal action. OSC response management
responsibilities include:
Review and certification of contractor progress against
technical objectives, budget and schedule (e.g., review
Contractor Cost Report [EPA Form 1900-55])
Documentation of cost management and related information for
each site
Review and certification of invoices submitted by the
contractor for removal projects (see Chapter V, Section 2 for
details on how to do this)
Evaluation of the contractor's performance at the completion
of each Delivery Order and completion of the award fee PER.
3.3 Regional Project Officer
The Regional Project Officer has overall responsibility for
managing and directing all activities under the Regional ERCS
contracts. The position is comparable in terms of duties and
responsibilites to that of the Headquarters Zone Project Officer.
Specific duties include:
General oversight of contract management, operations,
direction and coordination
Together with the Contracting Officer, assessment of the
adequacy, amount and distribution of contract resources
Review of contractor monthly financial and technical progress
reports
Evaluation of contractor performance for the Regional award
fee evaluation process.
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The roles and responsibilities discussed thus far have focused on the
functions of EPA and other Federal personnel. The management
responsibilities of the ERGS contractor are discussed in the next section.
4. ERGS CONTRACTOR MANAGEMENT STRUCTURE
The ERGS 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 ERGS
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 ERGS DPO, and is
responsible for receiving all Delivery Orders and managing their
implementation under the ERGS contract. The Program Manager also
communicates with the Contracting Officer to resolve issues or disputes
relating to administration of the contract terms or a particular
Delivery Order. Other management responsibilities of the Program
Manager include:
Maintaining close communication and coordination with the EPA
Project Officer, ERGS DPO and Contracting Officer, which
includes reporting any and all problems encountered in
performing Delivery Orders and in implementing special
controls specified by EPA
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OSWER Directive 9242.2-01B
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Retaining and managing the distribution of cleanup personnel,
equipment, and materials so that all items are available at
any location within acceptable time limits
Receiving and implementing Delivery Orders issued by Ordering
Officers
Designating a Response Manager for each separate cleanup
action to work directly with the OSC or other designated
Federal official on scene
Providing overall supervisory and administrative support to
all Response Managers
Developing a quality assurance project plan consistent with
EPA Region-specific requirements for each removal project in
which environmental measurements will be made
Providing and maintaining a 24-hour call center to provide
Ordering Officers with immediate access to cleanup services
Developing program health and safety plans to protect all
cleanup personnel
Submitting monthly project reports and invoices, as well as
any special reports requested by the Project Officer, ERGS
DPO, or OSC.
While the Program Manager provides contractor oversight for the
contract, the Response Managers, whose duties are described in the next
section, are the contractor representatives responsible for managing
day-to-day removal project activity as directed by OCSs or other
designated Federal officials.
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4.2 Response Manager
For each Delivery Order issued to the contractor, the Program
Manager will designate a Response Manager. The Response Manager will be
fully dedicated to a specific cleanup action for the duration of the
response and will be on scene on a daily basis, unless instructed
otherwise by the OSC or designated Federal official in charge. The
Response Manager will be responsible for the management and execution of
all contractor cleanup activities in exact accordance with the
specifications developed in the SOW and in Work Reports (as issued).
Other major management responsibilities of the Response Manager include:
Taking direction, maintaining close communication, and
coordinating with the OSC or designated Federal official for
the duration of a specific response and reporting any and all
problems encountered in executing cleanup activities
Conducting on-scene surveys to assist the OSC in developing
detailed project work plans
Providing the OSC or designated Federal official with
immediate on-scene access to all contractor cleanup personnel,
equipment and materials at a specific response
Providing administrative support, supervision, and management
of cleanup personnel, equipment, and materials provided on
scene to ensure that all directives issued by the OSC/Ordering
Officer are immediately executed in an acceptable manner
Providing a daily accounting of costs incurred at a specific
site in the format specified by the Contractor Cost Report
(EPA Form 1900-55)
Ensuring that performance of assigned tasks adheres to
procedures specified in quality assurance plans
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Implementing a program safety plan to protect all cleanup
personnel
Preparing contractor-initiated PERs on selected Delivery Order
assignments.
This chapter has described the management structure required to
implement the ERCS contracts. The next chapter outlines procedures for
initiating and managing contractor cleanup services.
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CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
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OSWER Directive 9242.2-01B
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CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
KEY TOPICS
Page
ERGS Contractor Selection IV-2
Initial Screening IV-5
Selection Criteria Definitions IV-5
Using the Selection Criteria IV-8
Documentation of Contractor Selection Decisions IV-26
Zone Crossovers IV-26
Delivery Order Preparation and Processing IV-27
Oral Delivery Orders IV-27
Delivery Order Completion and Processing Instructions IV-29
Delivery Order Modifications IV-36
Notice of Failure to Perform or to Make Progress IV-36
in Performance ("Cure Notice")
Notices Regarding Work Stoppage ("Stop Work Orders") IV-41
Project Site Files IV-44
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OSWER Directive 9242.2-01B
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CHAPTER IV
PROCEDURES FOR INITIATING AND MANAGING CONTRACTOR RESPONSE SERVICES
The performance of response cleanup services by the ERGS contractors is
initiated through the issuance of written Delivery Orders (DO) by designated
EPA officials. Delivery Orders also can be issued orally if there is an
immediate danger to life or significant property. The Delivery Order must be
consistent with the terms and conditions of the contract and the contract
Statement of Work (SOW). This chapter defines procedures for processing
Delivery Orders and provides guidance on Delivery Order content and format.
The flow diagram shown in Exhibit IV-1 summarizes the sequence of Federal and
contractor management interactions and documentation required to initiate
contractor response services through the issuance of a Delivery Order.
1. ERGS CONTRACTOR SELECTION
As described in Chapter II, the ERGS contracting network consists of two
groups of contracts (i.e., four ERGS zone contracts and a separate group of
ERGS Regional contracts). As of the printing date of this document, only one
Regional contract (Region V) has been awarded, but several others are expected
to be awarded in the near future. EPA's Procurement and Contracts Management
Division (PCMD) is also currently planning to develop procedures for awarding
"site-specific" contracts on a limited competition basis. This will involve
prequalifying a number of firms technically, probably on a Regional basis.
When the need for a removal action develops for which initiation of action may
be delayed for approximately 4-9 months, that action may be competed among the
established cadre of prequalified firms within the appropriate Region. When
the need for a removal action develops for which initiation of action may be
delayed for longer than nine months, fully competitive site-specific contracts
will be awarded. These contracts will not be limited to a specific group of
prequalified firms. Details on these site-specific contracts will be provided
IV-2
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OSWER Directive 9242.2-01B
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EXHIBIT IV-1
Initiation of Contractor Response Services
OHIGINATOR(S)
RESPONSE
DOCUMENTATION
RECIPIENTS)
FEDERAL
ORDERING
OMICER
CONTRACTOR
PROGRAM
MANAGER
RESPONSE
MANAGER
OEUVERY
ORDER
AOR*
EPA
CONTRACTING
OFFICER
•AOR - ACKNOWLEDGMENT OF RECEIPT
rv-3
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OSWER Directive 9242.2-01B
(10/87)
later when procedures have been finalized. These procedures will be inserted
into this manual at that time.
ERGS DPOs, Ordering Officers, and OSCs must select the most appropriate
contractor within a zone for any particular removal. Selection officials
undoubtedly will base contractor selection decisions on a combination of both
objective and subjective criteria derived from past experience. However, if
decisions are made solely on an ad hoc basis, relying strictly on intuition
and "gut feelings," several problems might arise, including:
Violation of contract specifications, such as failure to comply with
the minimum or maximum level-of-effort, or small and minority-owned
business contracting requirements
Selection of a contractor less qualified to perform a particular
removal project than another contractor
Selection of a contractor whose particular rates result in costs that
are not justifiable, ' thus putting the successful outcome of cost
recovery proceedings in jeopardy
Appearance or actual occurrence of personal conflict of interest.*
This last point is of particular importance since the Superfund program is
heavily scrutinized by Congress, the Inspector General, industry,
environmental groups, and the general public. All Regional contractor
selection officials should be familiar with EPA's requirements regarding
conflict of interest contained in Guidance on Ethics and Conflicts of Interest
(U.S. EPA, February 1984) and the Project Officers Handbook (U.S. EPA, Revised
April 1984).
Personal conflict of interest exists when an EPA employee's judgment or
actions in procurement may be improperly influenced or biased in favor of
a particular contractor for reasons such as ownership of stock or personal
relationship to employees of the contractor.
IV-4
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OSWER Directive 9242.2-01B
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For these reasons, guidance for ERGS contractor selection has been
developed. It defines a set of contractor selection criteria and presents a
step-by-step procedure to be followed in applying them and in documenting the
entire process.
1.1 Initial Screening
There are two factors which must be considered first in any
contractor selection decision. These factors are:
Response time requirements
Maximum contractual obligation (capacity as specified in
contract).
Their function is to screen out which contractors should be eliminated
from further consideration. For example, any contractor unable to meet
the response time requirements of the 'job should not be considered for
selection. Similarly, any contractor expected to exceed its maximum
contractual obligation should not be eligible for selection, since' each
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.
Each of these criteria is defined below. Following each definition is a
list of factors to be used by selection officials in assessing how well
the different contractors satisfy that particular criterion.
IV-5
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OSWER Directive 9242.2-01B
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Company expertise/experience - proficiency in conducting hazardous
materials removal actions gained through past participation in such
projects, including:
Knowledge of the particular cleanup methods/techniques required
for the project
Technical competence and skill in conducting this type of cleanup
Completion of required activities on schedule and within budget
in similar projects
Accomplishment of cleanup goals and objectives in similar
projects
Range and depth of experience/reputation in conducting similar
projects (e.g., the number of similar cleanups completed by the
f i rm).
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
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OSWER Directive 9242.2-01B
(10/87)
Total estimated costs of the entire project.
These three primary criteria, as presented here, are not ranked in
order of priority. The relative importance of the criteria will vary
considerably from job to job, depending on the nature and specific
requirements of each. It is therefore necessary to order or "weight" the
criteria on a case-by-case basis. In this way, the Regional selection
official will determine the most important factor(s) for each individual
removal action.
Another factor which must also be considered in every selection
decision is each contractor's minimum contractual obligation. Each ERGS
contract provides that the Government will order a stated minimum quantity
of services, and that the contractor will furnish the minimum and any
additional quantities, not to exceed a stated maximum. The minimum amount
represents the Government's obligation, and must be paid even if the
minimum quantities are never ordered, unless the contract is terminated
for convenience. Therefore, Regional selection officials should make sure
that the minimum quantities for each contract are ordered within the
contract year period of performance.
Other factors that should also be considered in certain case-specific
situations include:
Minority-owned businesses - giving preference to minority-owned
businesses
Rotation - sequential use of contractors that are equally
qualified for any particular job
Mitigating circumstances - giving consideration to extenuating
factors that cannot be included in any of the above because of
the unpredictable nature of the requirements surrounding the
emergency response action.
IV-7
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OSWER Directive 9242.2-01B
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These factors should be considered in those situations where the three
major criteria fail to provide sufficient differences between or among
contractors or where there are unique characteristics or circumstances
that affect how the three major criteria are considered.
1.3 Using the Selection Criteria
This section provides guidance on how to use the contractor selection
criteria. Also included is a sample evaluation form and worksheet. The
'guidance is presented in the form of a six-step procedure.
Step 1 — Assess the relative importance of each criterion in terms
of the ]ob at hand, and assign a weight to each
Step 2 — Assess the ability of each contractor to meet the response
time requirements of the job
Step 3 — Assess whether or not each contractor will exceed its
maximum contractual obligation as a result of working on
the job
Step 4 — Rate the contractors on each criterion
"3" = Meets the criterion fully;
"2" = Meets the criterion somewhat;
"1" = Does not satisfactorily meet the criterion
Step 5 — Develop scores for each contractor by multiplying weights
by ratings
Step 6 — Develop a ranking of contractors based on total scores
derived for the three major criteria.
Each of these steps is described in detail below. An evaluation form for
rating ERGS contractors is provided in Exhibit IV-2. This form, which
IV-3
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OSWER Directive 9242.2-01B
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EXHIBIT IV-2
ERGS Contractor Evaluation Form
Page 1 of 4
Site Name: Location:
Delivery Order No.:
(Should be recorded following contractor selection for filing purposes)
INSTRUCTIONS
1. Review each criterion and assess its relative importance.
2. Assign a weight of 1 to 100 to each criterion, indicating its importance in relation to the other criteria. The
sum of all the weights for the criteria must be equal to 100. Enter the weights on the worksheet under the
column marked " WT." Also, it is strongly urged that an explanation be provided in the adjacent space for
why each weight was given.
3. Assess each contractor's ability to meet the response time requirements of the job. Enter a "yes" or "no"
as appropriate for each contractor in the space provided on the first page of the worksheet
4. Assess whether or not each contractor will exceed its maximum contracted obligation (as stated in its
contract) by working on the job. Enter a "yes" or "no" as appropriate for each contractor in the space
provided on the first page of the worksheet
5. Rate each contractor on each criterion using the following scale:
"3." = Meets the criterion fully
"2" = Meets the criterion somewhat
1" = Does not satisfactorily meet the criterion.
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Enter the ratings for each contractor under the column labeled "RATING." Also, please note in the space
provided, any relevant comments concerning the rating given a particular contractor for the criterion.
6. Score each contractor on each criterion by multiplying ratings by weights and enter the score in the column
labeled "SCORE."
7. Add the scores for all criteria to obtain totals for each contractor. Enter the total score for each contractor in
the row labeled "SCORE TOTALS." Adjust total scores upwardly by 20 percent for all contractors
whose minimum contractual obligations have not yet been met and record these adjusted scores in the row
labeled "ADJUSTED TOTALS."
8. Rank the contractors according to their total scores and list them in descending order, beginning with the
contractor with the highest score through the contractor with the lowest score, on page 4 of this form in the
space labeled "Rankings."
9. Assess the scores and rankings, as well as any additional relevant factors pertaining to the contractor support
required for the removal, and then name the contractor selected.*
10. Provide a brief description, on page 4 of this form, summarizing the contractor selection decision. The
selection offical must also sign and date the completed form on the bottom of page 4.
Selection officials need not necessarily select the contractor with the highest score. Other factors may also
be considered in making the final decision. These factors, however, must be thoroughly explained in the
space labeled "Brief Summary of Contractor Selection Decision."
IV-9
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OSWER Directive 9242.2-01B
(10/87)
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IV-10
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OSWER Directive 9242.2-01B
(10/87)
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IV-11
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OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-2 (continued)
ERGS Contractor Evaluation Form
SIGNATURE PAGE
Page 4 of 4
Contractor Rankings
Scores
Name of Contractor Selected:
Summary of Contractor Selection Decision:
Signature and Title of Selection Official:
Date:
IV-12
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OSWER Directive 9242.2-01B
(10/87)
consists of instructions, worksheets, and a signature page, is to be used
for documenting each contractor selection decision. Instructions for
filling out the form are provided below and on the first page of the form
itself. To help illustrate how the evaluation form is filled out, a
detailed example also is provided in Exhibit IV-3, which follows the
step-by-step descriptions.
Step 1 - Assess Criteria and Assign Weights
The first step in the contractor selection process is to assess each
criterion for its relative importance to the particular job at hand. This
is done by assigning a weight based on a scale of 1 to 100 for each
criterion such that the total of the numbers for all the criteria is 100.
Selection officials should use their best professional ^judgment in
assigning weights. To illustrate how this can be done, the following
example is provided.
EXAMPLE: An emergency hazardous waste spill has occurred and
preliminary information reveals that the spill -is complex in nature
and will reguire 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
Eguipment and labor rates 15
Total 100
V-13
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OSWER Directive 9242.2-01B
(10/87}
EXHIBIT IV-3 (1)
ERCS CONTRACTOR SELECTION: AN ILLUSTRATED EXAMPLE
Description of Situation
A fertilizer and pesticide distribution warehouse located in an
industrial/residential area of Uptown, 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 relocation of all
nearby residents. The OSC also determines that substantial amounts of
pesticides, chemicals, and contaminated debris need to be removed and
disposed of as quickly as possible. The incident requires the rapid
response services of an ERCS contractor. The incident also requires
that the contractor be experienced and skilled in sampling and
analysis, relocation of residents, and techniques for removing,
transporting, and disposing of contaminated materials.
Contractor Selection
In selecting a contractor to respond to the Uptown Warehouse
incident, the OSC obtains a blank copy of the "ERCS Contractor
Evaluation Form" and then completes it according to the instructions
on the first page of the form. The OSC has four contractors from
which to choose. The evaluation form on the following four pages
illustrates how the OSC might go about evaluating these contractors
and selecting the most appropriate one.
IV-14
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OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-3
ERGS Contractor Evaluation Form
Page 1 of 4
Site Name: Uptown Warehouse Location: Uptown. NY
Delivery Order No.: 9999-08-009
(Should be recorded following contractor selection lor filing purposes)
INSTRUCTIONS
1. Review each criterion and assess its relative importance.
2. Assign a weight of 1 to 100 to each criterion, indicating its importance in relation to the other criteria. The
sum of all the weights for the criteria must be equal to 100. Enter the weights on the worksheet under the
column marked "VVT." Also, it is strongly urged that an explanation be provided in the adjacent space for
why each weight was given.
3. Assess each contractor's ability to meet the response time requirements of the job. Enter a "yes" or "no"
as appropriate for each contractor in the space provided on the first page of the worksheet
4. Assess whether or not each contractor will exceed its maximum contracted obligation (as stated in its
contract) by working on the job. Enter a "yes" or "no" as appropriate for each contractor in the space
provided on the first page of the worksheet.
5. Rate each contractor on each criterion using the following scale:
"3" = Meets the criterion fully
"2" = Meets the criterion somewhat
1" = Does not satisfactorily meet the criterion.
n -t n
Enter the ratings for each contractor under the column labeled "RATING." Also, please note in the space
provided, any relevant comments concerning the rating given a particular contractor for the criterion.
6. Score each contractor on each criterion by multiplying ratings by weights and enter the score in the column
labeled "SCORE."
7. Add the scores for all criteria to obtain totals for each contractor. Enter the total score for each contractor in
the row labeled "SCORE TOTALS." Adjust total scores upwardly by 20 percent for all contractors
whose minimum contractual obligations have not yet been met and record these adjusted scores in the row
labeled "ADJUSTED TOTALS."
8. Rank the contractors according to their total scores and list them in descending order, beginning with the
contractor with the highest score through the contractor with the lowest score, on page 4 of this form in the
space labeled "Rankings."
9. Assess the scores and rankings, as well as any additional relevant factors pertaining to the contractor support
required for the removal, and then name the contractor selected.*
10. Provide a brief description, on page 4 of this form, summarizing the contractor selection decision. The
selection offical must also sign and date the completed form on the bottom of page 4.
Selection officials need not necessarily select the contractor with the highest score. Other factors may also
be considered in making the final decision. These factors, however, must be thoroughly explained in the
space labeled "Brief Summary of Contractor Selection Decision."
IV-15
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OSWER Directive 9242.2-01B
(10/87)
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OSWER Directive 9242.2-01B
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-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-3 (continued)
ERGS Contractor Evaluation Form
SIGNATURE PAGE
Page 4 of 4
Contractor Rankings
Contractor "A"
Contractor "B"
Scores
200
300
Name of Contractor Selected:
Contractor "B"
Summary of Contractor Selection Decision:
Contractor "B" scored substantially higher than Contractor "A" on the three
criteria and has not yet met its minimum contractual obligation. On this basis,
Contractor "B" is the most appropriate choice for the job.
Signature and Title of Selection Official:
Date:
IV-18
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OSWER Directive 9242.2-0IB
(10/87)
A weight of "60" is given to company expertise/experience
because it is considered by the selection official to be the
most important criterion for this project due to the complex
nature of the project. The contractor selected for the job
must be extremely knowledgeable, proficient, and experienced
in conducting this type of cleanup job. The remaining two
criteria are not considered to be as important and are,
therefore, given lower weights.
The weights provided in this example are, of course, only
illustrative of how selection officials might assess the three
selection criteria for this project. Other weights could have
been given. The intent here is simply to offer general guidance
on how one might go about assigning weights to the three selection
criteria.
Another example is provided below to illustrate a different
set of weights for a different situation.
EXAMPLE: An Expedited Response Action (ERA) has been planned
as part of a remedial site cleanup. The types and quantities
of services, personnel, and other resources required by the
removal action are relatively minimal. The job is considered
simple and straightforward and does not require any special
expertise or skills.
IV-19
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OSWER Directive 9242.2-01B
(10/87)
Based on this information, the selection official assigns the
following weights to the three criteria:
Criterion Weights
Company expertise/experience 15
Location 35
Equipment and labor rates 50
Total 100
In evaluating these criteria, the selection official assesses
the requirements of the removal project and determines that
because the project will not require any special expertise or
skills, company expertise/experience is relatively
unimportant; therefore, it is assigned a weight of 15. The
selection official then decides that since the technical
requirements of the project are minimal, the most important
criteria should be equipment and labor rates ("50") and
location ("35"). The selection official assumes that most
contractors will be about equal in meeting the requirements
of the project and, therefore, believes that it is important
to base the contractor selection decision mostly on "cost"
and "location."
The worksheet portion of the ERCS Contractor Evaluation Form
(pages 2 & 3 of the form) shown in Exhibit IV-2 should be used for
recording assigned weights; they should be placed directly across
from each criterion under the column headed "WT."
Step 2 - Assess Response Time Capabilities of Contractors
The second step in the contractor selection process is to
determine whether or not each contractor can satisfy the response
time requirements of the job. That is, can personnel, equipment,
IV-20
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OSWER Directive 9242.2-01B
(10/87)
and materials be mobilized on time? Any contractor unable to
respond in the required time should be eliminated from further
consideration.
Determination of a contractor's ability to respond in the
required time can be based upon:
The response time requirements identified in the
contractor's contract
A verbal statement from the contractor indicating
whether or not response time requirements can be met.
Selection officials should use their own best judgment in deciding
which of these two sources to use. In certain emergency
situations, where immediate response is required, there may not be
enough time to call contractors. In these cases, it may be
necessary to rely exclusively on the response time limits
specified in the contracts. On other occasions, where time is not
as critical, phone calls may be possible.
After a determination is made of each contractor's ability to
respond, the answers should be recorded on the worksheet portion
of the ERGS Contractor Evaluation Form (page 2 of the form). A
"yes" or "no" response should be indicated for each contractor
under consideration. In doing so, each contractor's name should
be written at the top of the worksheet in the space provided.
Step 3 - Assess Contractor Status Regarding Maximum Contractual
Obligations
The third step in the process is to assess each contractor's
maximum contractual obligation in relation to the estimated cost
of the ]ob at hand. That is, will the contractor exceed its
maximum contractual obligation as a result of being selected for
IV-21
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OSWER Directive 9242.2-01B
(10/87)
the job? Any contractor whose maximum contractual obligation will
be exceeded should be eliminated from further consideration.
Answers should be recorded on the first page of the worksheet
portion of the ERCS Contractor Evaluation Form. A "yes" or "no"
response should be indicated for each contractor under
consideration.
Step 4 - Rate Each Contractor
After establishing which contractors will be able to meet the
response time requirements of the job and which contractors will
not exceed their maximum contractual obligations, selection
officials should rate these contractors on each criterion. The
ratings should range from 1 to 3, where "1" indicates that the
contractor does not satisfactorily meet the criterion; "2"
indicates that the contractor meets the criterion somewhat; and
"3" indicates that the contractor meets the criterion fully. All
the factors listed under each criterion should be considered.
Selection officials should base their ratings on any relevant
information to which they have access as well as on their own
personal knowledge of the contractor's expertise, experience,
capabilities, and so forth. They should develop as much objective
information and documentation as possible on each contractor
before assigning ratings. This will help to ensure a fair and
unbiased assessment.
The worksheet portion of the ERCS Contractor Selection Form
(Exhibit IV-2) should be used to record assigned contractor
ratings. Ratings for each contractor should be placed directly
under the column "RATING."
IV-22
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OSWER Directive 9242.2-01B
(10/87)
Step 5 - Develop Contractor Scores
Each contractor is then scored on each criterion. Scores are
obtained by multiplying the weight by the rating. Total scores
are calculated by adding all the individual criterion scores. The
following example is illustrative.
EXAMPLE; Suppose that the following weights and ratings are
determined:
Contractor "A"
Criteria WT Rating Score
Company expertise/experience 60 3 180
Location 25 1 25
Eguipment and labor rates 15 2 30
Total 100 235
Individual criterion scores are obtained by multiplying the
weight by the rating. A score of "180" is obtained on the
first criterion by multiplying the weight of 60 by the rating
of 3. Similarly, a score of "25" is obtained on the second
criterion by multiplying the weight of 25 by the rating of 1
and so on. The total score of "235" is obtained by adding
the individual criterion scores.
In those cases where a contractor has not yet reached its
minimum contractual obligation, that contractor's total score
should be adjusted upward by 20 percent. This adjustment gives
preference to contractors whose minimum contractual obligations
have not yet been met. For example. Contractor "A's" total score
of 235 would be adjusted to 232 (235 x .20 = 47; 47 -t- 235 = 282)
if its minimum contractual ooligation had not yet been met.
Scores should be recorded on the worksheet portion of the
ERCS Contractor Evaluation Form under the columns headed "SCORE."
Scores should be recorded for each criterion and each contractor.
IV-23
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OSWER Directive 9242.2-0IB
(10/87)
Total scores should be recorded at the bottom of the worksheet
across the row labeled "SCORE TOTALS." Adjusted scores should be
recorded across from "ADJUSTED TOTALS."
Step 6 - Develop Rankings of Contractors and Make the Selection
Decision
Based on the scores obtained in Step 5, the selection
official should rank the contractors from highest to lowest. A
space for ranking the contractors, along with their scores, is
provided for on page 4, the "signature page," of the ERGS
contractor evaluation form. This ranking will reflect an ordering
based on a rational assessment of those criteria considered
important in the contractor selection process.
The intent of the ranking, of course, is to assist selection
officials in their job of choosing which ERGS contractor co use.
It is not meant to be a substitute for individual experience and
judgment, but rather as a decision-making tool to quantify that
judgment so that decisions will be fully supportable.
Selection officials should not consider themselves bound by
the final ranking of contractors. Scores represent only one
aspect of the contractor selection decision. Additional factors
may also be present, such as those mentioned in the previous
section. It is the responsibility of the selection official to
assess the importance of these other factors in relation to the
final ranking of contractors before making the decision. All
final contractor selection decisions must be explained on the last
page of the form in the space labeled "Brief Summary of Contractor
Selection Decision."
Additional factors will also be extremely important in those
cases where all the contractors receive the same score. In the
event of a tie score, selection officials should assess factors
IV-24
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OSWER Directive 9242.2-01B
(10/87)
peculiar to the situation which might favor the use of one
contractor over another:
If, after assessment of these factors, no contractor
seems to be more appropriate than any other for the job,
then the selection official should select the contractor
that has used the smallest percentage of its maximum
contractual obligation. For example, if Contractor "A"
has used only 10 percent of its maximum while Contractor
"B" has used 20 percent, then Contractor "A" should be
selected.
In cases where all contractors are equal on this factor,
the selection official should determine which of the
contractors under consideration are minority owned.
Generally, the selection official will know which
contractors are minority owned; if not, however, this
determination can be made by contacting the ERCS
Contracting Officer (CO).
If only one of these contractors is minority owned, the
selection official should select this contractor for the
job.
If more than one are minority owned, the selection
official should select the minority-owned contractor not
used most recently.
Finally, if the selection official determines that none
of the contractors under consideration is minority
owned, the selection official should select the
contractor not used most recently.
IV-25
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OSWER Directive 9242.2-01B
(10/87)
1.4 Documentation of Contractor Selection Decisions
All contractor selection decisions are to be documented as
described above by using an ERGS Contractor Evaluation Form
(Exhibit IV-2). Completion of this form is required to establish
and maintain a written record of the justification for all
contractor selection decisions. The original version of each
completed evaluation form should be submitted to the ERCS CO in
the Procurement and Contracts Management Division (PCMD). A copy
of the form should be kept along with other information for the
Delivery Order in Regional files.
1.5 Zone Crossovers
As described in Chapter II, an ERCS zone contractor may be
requested to support Federal OSCs in a zone other than the
contractor's assigned geographical zone. If the need arises for a
zone crossover, the ERCS DPO (from the zone initiating the request
for services) should supply the Project Officer with the following
information:
Reason for the zone crossover (e.g., conflict of
interest, contractor resource shortage)
A description of services required
The location and period for which services are required
The project ceiling amount
Date and time contractor is required on site.
The Project Officer will be responsible for coordinating the zone
crossover with the ERCS DPO(s) and Contracting Officer. All
contractual requirements and arrangements concerning the zone
IV-26
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OSWER Directive 9242.2-01B
(10/87)
crossover (e.g. terms and conditions, prices, etc.) will be
finalized by the Contracting Officer. The Contracting Officer
also will be responsible for issuing the Delivery Order. If the
required services cannot be provided by another zone contractor,
the Project Officer will work with the ERGS DPO in obtaining the
services from some other contractor.
2. DELIVERY ORDER PREPARATION AND PROCESSING
All Delivery Orders will be issued by Ordering Officers (e.g.,
ERGS DPOs, EPA OSCs, or Contracting Officers) for individual removal
actions. These • Delivery Orders will be issued on a fixed rate,
indefinite quantity basis, with time and material provisions.
This section on Delivery Order preparation and processing
describes procedures which include:
Oral Delivery Orders
Delivery Order completion and processing instructions.
The procedures described in this section are applicable to both the
ERGS Zone contracts and the separate ERGS Regional contracts.
2.1 Oral Delivery Orders
As indicated in the introduction to this chapter, Delivery
Orders can be issued orally to the ERGS contractors. This
flexibility is designed to enhance response capabilities under the
ERGS contract network. However, any oral order must be confirmed
by a written Delivery Order within 48 hours.
When the ERGS contractor is contacted by telephone for
purposes of orally issuing a Delivery Order, the Ordering Officer
should simultaneously complete a Delivery Order form noting:
IV-27
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OSWER Directive 9242.2-01B
(10/87)
Date and time of the order (all references to time
specified in the Delivery Order should reflect the local
time of the location where services are to be provided)
Contractor representative contacted (this should be a
person authorized to commit the contractor) and
telephone number
Response Manager or contractor representative authorized
to take direction from the OSC at the site and his/her
telephone number
Response location
Date and time the contractor is required on site
Date and time contractor agrees to be on site
Brief narrative of the services required (e.g.,
personnel, equipment, and materials) and level of
protection (e.g., health and safety) required.
Some of these items can be completed before the call is made to
the contractor. For example, the response location or the level
of safety protection required may be known ahead of time and could
be completed in advance.
By completing the Delivery Order form during (or for some
items directly before) the discussion with the contractor, the
Ordering Officer will:
Provide the contractor clear direction of the services
needed
IV-28
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OSWER Directive 9242.2-Q1B
(10/87)
Document personnel, equipment, and materials expected on
site
Establish the OSC-Response Manager site-management
relationship
Facilitate completion of the written Delivery Order
issued to the contractor at the site.
The information recorded during issuance of the oral Delivery
Order will be important should there be any dispute concerning the
contractor's ability to provide the services within the required
response times (see section 3.1 on Liability, in Chapter II). It
also is strongly suggested that the Ordering Officer read back to
the contractor all the information provided over the phone.
2.2 Delivery Order Completion and Processing Instructions
In order to initiate services to be performed by the ERGS
contractor when conducting removals involving oil and hazardous
substances, Ordering Officers must prepare written Delivery Orders
consisting of' the elements shown in Exhibit IV-4. The Delivery
Order specifies the services to be performed by the ERGS
contractor in executing a specific removal action. Each Delivery
Order establishes a ceiling amount that constitutes the maximum
amount for which the Government shall be liable. The completion
and processing of Delivery Orders is outlined below.
Delivery Order Completion Instructions
Delivery Order preparation is the responsibility of the
Federal Ordering Officer. A standard format is used for the
Delivery Order (see Exhibit IV-5). All items in the Delivery
Order must be completed as explained below.
IV-29
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OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-4
ERGS Contracts Delivery Order E!ements
DELIVERY ORDER
STANDARD
SPECIFICATIONS
(E.G.. ACCOUNTING
DATA.RESPONSE
TIME REQUIREMENTS. ETC.)
DELIVERY ORDER
STATEMENT OF
WORK
DELIVERY ORDER
CEILING AMOUNT
SITE-SPECIFIC
HEALTH & SAFETY
AND INSTITUTIONAL
REQUIREMENTS
DELIVERY ORDER
TERMS ft CONDITIONS
IV-30
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EXHIBIT IV-5
OSWER Directive 9242.2-01B
(10/87)
OEUVEHY ORDER FOB EMERGENCY RESPONSE CLEANUP SERVICES
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IV-31
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OSWER Directive 9242.2-01B
(10/87)
Date of Order (Box 1): Enter the date of issuance of the
Delivery Order to the contractor.
Contract No. (Box 2); Enter the contract number (e.g.,
68-01-xxxx) of the ERGS contract under which services are
being ordered.
Order No. (Box 3): Enter a nine (9) digit Delivery Order
number which sequentially consists of:
Last four digits of the contract number (See box 2
above)
EPA Region (e.g., 01, 02,. . .10)
Three digit number representing the sequence of the
. Delivery Order being issued in the Region or Agency.
(A separate block of numbers will be assigned to
non-EPA users of the ERGS contracts [e.g., USCG]).
Time of Initial Order (Box 4): Enter the time of issuance
of the Delivery Order. All references to time on the
Delivery Order should reflect the local time at the site
where the services are to be provided.
Delivery Order Ceiling Amount (Box 5): Enter the total
estimated cost of contractor personnel, equipment and
materials for which the order is being placed. The ceiling
amount represents the amount obligated by the Government
for the removal action. The OSC's/Ordering Officer's
authority to obligate the Government is limited to
$250,000. All initial Delivery Orders or Delivery Order
modifications for amounts greater than the initial 3250,000
must be obligated by the Contracting Officer. Unde r no
circumstances may the ERGS contractor develop the cost
IV-32
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OSWER Directive 9242.2-01B
(10/87)
estimate used here. This is the sole responsibility of the
Federal Ordering Officer who may, however, seek the
assistance of the Technical Assistance Team (TAT)
contractor or the Environmental Response Team (ERT) in
developing the estimate. Each Regional Administrator also
can choose to redelegate his or her authority to obligate
funds for removal actions to the Regional Division
Director, who may then redelegate this authority to OSCs.
(OSCs may exercise this authority only for obligations not
to exceed 350,000 for initiating removal actions.)
However, this is at the Regional Administrator's
discretion; it is not a requirement and, therefore, may not
be true in every Region.
Accounting and Appropriation Data (Box 6): Accounting and
appropriation data consist of four numbers, which should be
entered as follows:
Appropriation 4: 68-20X8145 (does not change).
Account ft and Document Control » (DON): Represented
by ten (10) and six (6) character numbers
respectively. These numbers will be obtained through
the Regional Financial Management Officer (FMO).
Object Class Code: 25.35 (for all EPA program
contracts; does not change).
Issued To: Contractor (Box 7a): Self-explanatory.
Program Manager (Box 7b): Enter the name and phone number
of the contractor representative authorized to receive the
Delivery Order and commit contract resources to provide the
services and supplies required to complete the Statement of
Work.
IV- 3 3
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OSWER Directive 9242.2-01B
(10/87)
Response Manager (Box 7c): Enter the name and phone number
of the contractor representative designated by the Program
Manager as the single point of contact for on-scene
coordination and responsible for management and execution
of cleanup activities as specified by the OSC or other
designated Federal officials.
Issued By: Ordering Officer (Box 8a): Self-explanatory.
EPA Region/USCG District (Box 8b): Enter the number for
the EPA Region and USCG District (as appropriate).
Zone (Box 8c) : Enter the number of the zone where the site
is located:
Zone 1 - Regions I-III
Zone 2 - Region IV.
Zone 3 - Region V
Zone 4 - Regions VI-X.
On-scene Coordinator (Box 8d): Self-explanatory.
Response Location (Box 9): Enter the location of the
release or site where services are to be performed by the
contractor.
Contractor Required on Site (Box 10): Enter the date and
time contractor personnel, equipment, and materials are
required on site to implement the removal action.
Required Work Completion Date (Box 11): Enter the
anticipated date by which contractor services are to be
completed. Estimates are acceptable and dates may be
revised through modifications issued by the Contracting
Officer.
IV-34
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OSWER Directive 9242.2-01B
(10/87)
Statement of Work (Box 12): This block contains the
description of the services to be performed by the ERGS
contractor. The Statement of Work should not be so narrow
as to restrict the contractor's effort nor so broad as to
permit the contractor to explore areas having little
relationship to the desired work. The block should either
contain, or refer to attachments that contain:
- Statement of Work, including a task breakdown and
schedule
Site-specific institutional requirements or clearances
that must be obtained by the contractor (e.g., permits
for transportation and disposal of wastes or
right-of-way clearances)
Any plans, including a site operations plan, health
and safety plan, or a quality assurance plan developed
for the specific removal.
Ordering Officer (Box 13): Self-explanatory.
Delivery Order Processing
The completed Delivery Order is signed by the Ordering Officer
and issued to the contractor Program Manager or designee (i.e.,
on-site Response Manager). The contractor is required to acknowledge
receipt of the Delivery Order in writing within one week or one half
of the time specified for performance of the order, whichever is
less, following receipt. The acknowledgment of receipt of the
Delivery Order must be submitted to the Ordering Officer, with a copy
forwarded to the Contracting Officer.
IV-35
-------
OSWER Directive 9242.2-01B
(10/87)
It is the Ordering Officer's responsibility to make sure that
the contractor submits an acknowledgment of receipt each time a
Delivery Order is issued. The acknowledgment of receipt will help
preclude misunderstandings between the Ordering Officer and the ERGS
contractor over the terms and conditions of the Delivery Order. It
will also serve as documented evidence when potential contractual
actions, such as Cure Notices (see Section 3.1 on liability in
Chapter II), are required to enforce the terms of a work order.
3. DELIVERY ORDER MODIFICATIONS
During the course of a removal, it may become necessary to modify the
Statement of Work, completion date, or ceiling amount specified in the
Delivery Order. All such changes must be authorized in a written amendment to
the Delivery Order using Standard Form 30 (Exhibit IV-6). If increased
funding is required for a project, the existing Delivery Order should be
amended; a new Delivery Order should not be issued.
Requests for amendments should be prepared by the Ordering Officer or the
OSC and forwarded to the Contracting Officer for approval. In most cases,
requests and approvals can be handled over the telephone. The Contracting
Officer will prepare and sign the amendment and issue it to the contractor.
Minor changes, such as adjustments in quantities of labor and equipment which
will not result in an increase to the Delivery Order ceiling can be provided
directly to the contractor by the OSC. Such changes, however, should be noted
in the written site documentation kept by the OSC, and should be forwarded in
writing to the contractor and the Contracting Officer.
4. NOTICE OF FAILURE TO PERFORM OR TO MAKE PROGRESS IN PERFORMANCE ("CURE
NOTICE")
In the event the contractor does not arrive within the required time frame
or does not perform assigned tasks satisfactorily, the OSC/Ordering Officer
should immediately notify the Contracting Officer. After being apprised of
all the pertinent facts, the Contracting Officer may advise the OSC/Ordering
IV-36
-------
OSWER Directive 9242.2-01B
(10/87)
AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
C3NT3AC* iO C3OE
GEQf ^AG
2. AMENDMENT/MODIFICATION NO.
3. EFFECTIVE DATE 4 SEQUlSi TlON/PuSCHAS£ SEQ. NO. .5 'BOjECTNO • amended m «1 form in lt»m 14 The hour and date «9ecified tor rvai
••"OKI
Qfftri must aetnomlcdgi r»e«iOt of tn» amendment erior to ttw hour «nd dan UMCifivd m tt* Mlioation or tt (mcndad, by on* of tn« following mcmodi.
(al By comoMting Itamt 8 «nd IS. and rt turning _ coew* of m« amendment: (bl By acknowledging receipt of this amendment on teen cooy of m« offtr
luomirted. or (c) By MOaran letter or telegram wnicn include* a reference to tne wiicitanon and amendment numbers. FAILURE OF YOUR ACKNOWLEDG-
MENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT
IN DEJECTION OF YOUR OFFER If by virtue of tnn amendment you denre to change an orfer already tubmitted. lucfi change may be made by telegram or
latter, provided aecn telegram or letter makaa reference to t»e toliciatton and tfiit amendment, and >i received prior to tne opening hour and date icecifnd
12. ACCOUNTING ANO AP*MOPMIATION OATA p« or print;
li«. CONTRACTOR/OFFEROM
rSvwnu* of unon mu»tonn4 to iitnt
UCOATE SIONEO
liA. NAMC ANO TITLE OF CONTBACTINQ OFFICER fTyp« or print;
!«•. UNITED STATES OF AMERICA
av
-------
OSWER Directive 9242.2-01B
(10/87)
Officer to issue a "Notice of Failure to Perform or to Make Progress in
Performance" to the contractor (See Ex-iibit IV-7). This notice is also known
as a "cure notice."* It must be issued on the form letter provided by PCMD
and no deviations from that format are permitted. All applicable times
(notification, response requirements, etc.) must be documented accurately.
When the Ordering Officer issues a "cure notice," he or she must
simultaneously notify the contractor of its issuance.
It is very important for the OSC to recognize that use of the "cure
notice" should not be limited to just those situations where the contractor
fails to show up or is late in showing up. The "cure notice" is a tool that
can be used whenever the contractor is not performing satisfactorily. For
example, if assigned tasks are not being carried out as specified in the
Delivery Order Statement of Work, the OSC can issue a "cure notice" to the
contractor.
Included in this notice is a "cure period," or a time frame in which the
contractor must cure his deficiencies or the Government may terminate the
Delivery Order for default. The cure period must be consistent with the
required response time for that area. In other words, if the contractor has 3
hours to respond from the time of notification, and has not responded within
that period, he must be given an additional 3 hours after issuance of the cure
notice before the Contracting Officer may terminate that Delivery Order for
default. If the contractor has agreed to a shorter response time than that
required by the contract (e.g., one hour), then that one-hour period
automatically becomes the required response time, and the same amount of time
should be given for the cure period.
Once the cure period has expired, the Contracting Officer .-nay institute a
termination for default. Since ail of this may take place in a very short
amount of time, it is extremely critical chat the OSC be in contact with the
* Additional information on "cure notices" can be found in EPA Superfund
Emergency Contracting Procedures, pp. 20-22.
IV- 3 8
-------
EXHIBIT IV-7 OSWER Directive 9242.2-013
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
AM
DATE ISSUED: _ TIME ISSUED: _ PM
(Time) (Time Zone)
NOTICE OP 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
(Tiae)(Time Zone)
were ordered:
IV-39
-------
OSWER Directive 9242.2-013
EXHIBIT IV-7 (Continued) (10/87)
As of this time, the following condition has occurred:
a. You have failed to arrive with any personnel or equipment
b. Only the following personnel and equipment have arrived:
You are hereby notified that the Government considers your failure
to arrive on-scene with all ordered personnel and equipment a
condition that is endangering performance of this delivery order
in accordance with its terms and the terms of your contract.
AM
Therefore, unless such failure to perform is cured by PM
(Time)
^ , the Government may terminate subject delivery order
(Time Zone)
for default under ARTICLE XLVI and General Provision No. 11 of
your contract.
Your attention is directed to your contractual liabilities in the
event the delivery order is terminated for default, and you are
requested to provide an explanation of your failure to perform the
services ordered within the time required. Such explanation must
AM
be received by PM . Failure to present such
(Time)(Time zone)
explanation may be taken as an admission that no valid explanation
exists.
Sincerely,
Signature Name (Print)
of Ordering Officer
cc: Contracting Officer
IV-40
-------
OSWER Directive 9242.2-01B
(10/87)
Contracting Officer as early and as often as necessary when such delays are
occurring. Any action taken by the OSC, no matter how unimportant it may
seem, could potentially waive the Government's right to collect liquidated
damages or to terminate a Delivery Order for default. Therefore, good
documentation and close communication are vital. It is critical that the OSC
keep a log and record exactly the time the contractor was notified and what
time the contractor was expected to arrive at the site. The OSC must take
care to be precise when communicating orally with the contractor, and have the
Program Manager (or his designee) repeat the time they are required to be on
scene and what personnel and equipment have been ordered. The OSC/Ordering
Officer should be very careful that time zones are clarified in areas where
there may be a question. When the contractor arrives, the time must also be
noted. In some cases, the OSC' s log may be the only available evidence
submitted in the event of a dispute, thus all conversations and activities and
the times they took place must be recorded with precision.
5. NOTICES REGARDING WORK STOPPAGE ("STOP WORK ORDERS")
An Ordering Officer, OSC or the Contracting Officer may, at any time, by
written order to the contractor, require the contractor to stop all, or any
part, of the work called for by any Delivery Order. The Stop Work Order will
be effective for a period not to exceed fourteen (14) calendar days after the
receipt of the order by the contractor. The form to be used for issuing a
Stop Work Order is shown in Exhibit IV-8*. Upon receipt of such a notice, the
contractor must comply with its terms and take all reasonable steps to
minimize the incurrence of costs allocable to the work covered by the order
during the period of work stoppage. Upon issuance or cancellation of a Stop
Work Order to the contractor, the Ordering Officer or OSC must immediately
notify the Contracting Officer. The OSC must be aware that standby costs may
be incurred for vehicles and other equipment left on site during the stop-work
period.
Detailed instructions are provided in the EPA Superfund Emergency
Contracting Procedures, pg. 25.
IV-41
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-8
NOTICE REGARDING WORK STOPPAGE
Date:
Contract or Order Number:
Contractor:
A. Q STOP WORK ORDER - 1. Pursuant to the contract provision entitled "Stop Work Order,"
you are hereby directed to stop:
D ell 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 reesonable steps to minimize the
'mcurrence of costs allocable to the work covered by this order during the work stoppage
period.
2. You may submit a claim for an equitable adjustment in the contract performance period or
contract price lor cost), or both, and in any other provisions of the contract that may be
affected by the work stoppage. Such claim shall be submitted within thirty (30) calendar
days after the end of the work stoppage period to the Environmental Protection Agency,
Headquarters Procurement Operations. Procurement Section H (PM-214-M), 401 M Street.
S.W., Washington, O.C. 20460.
B. D CANCELLATION OF STOP WORK ORDER
By stop work order dated , you were directed to ceese all, 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 aa stated in the contract.
D in part, and you shall reaume the portion of the work stated in the contract as follows:
The United Statea of America
By
Contracting Officer
Acknowledge Receipt by Contractor
Signature of Contractor Representative Date
IV-42
-------
OSWER Directive 9242.2-01B
(10/87)
When the Stop Work Order period expires or is cancelled by the Ordering
Officer, Contracting Officer or OSC, the contractor will resume work unless
the Headquarters Contracting Officer states otherwise. An equitable
adjustment will be made in the Delivery Order period of performance or
Delivery Order price, or both, and in any other provisions of the Delivery
Order that may be affected, and the Delivery Order will be modified in writing
accordingly, if the following two conditions apply:
The Stop Work Order results in an increase in the time required for,
or in the contractor s cost properly allocable to, performance of any
part of the Delivery Order.
The contractor submits a written claim to the Contracting Officer for
such adjustment within 30 calendar days after the end of the period
of work stoppage; provided that, if the Contracting Officer decides
the facts justify such action, he may receive and act upon any such
claim asserted at any time prior to the final payment under the
contract.
If a Stop Work Order is not cancelled and the work covered by such order
is terminated for the convenience of the Government, the reasonable costs
resulting from the Stop Work Order may be allowed by the Contracting Officer
in arriving at the termination settlement.
If a Stop Work Order is not cancelled, and the work covered by such order
is terminated for default, the reasonable costs resulting from the Stop Work
Order may be allowed by the Contracting Officer in equitable adjustment or
otherwise.
After the OSC obtains the contractor's acknowledgment of receipt of the
Notice as indicated on the form, distribution of copies of the Notices
Regarding Work Stoppage shall be as follows:
-------
OSWER Directive 9242.2-01B
(10/87)
Original - Contractor
Copy 1 - Procurement (EPA, Headquarters Procurement
Operations, Procurement Branch A, Emergency
Response Contracting Section (PM-214-F),
401 M St., S.W.,
Washington, D.C. 20460)
Copy 2 - Originator (OSC)
Distribution to the above EPA offices should be accomplished within
twenty-four (24) hours after issuance of the Notice Regarding Work Stoppage.
6. PROJECT SITE FILES
A project file should be established by the OSC upon authorization of each
new project. The file should be labeled and should contain all important
documentation generated by the project. At a minimum, each file should
include the documents shown in Exhibit IV-9.
All site-specific information should be maintained in a centralized
project file. This will ensure that whenever such information is needed, it
will be readily available and accessible to OSCs, DPOs, and other EPA staff.
The project file should be maintained by the OSC while the removal is in
progress; the OSC may use administrative support personnel or TAT to set up
and maintain files. After the project is completed, it should be maintained
by a Regional administrative staff member in a centralized project filing
system.
There are two 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-44
-------
OSWER Directive 9242.2-01B
(10/87)
SECTION
EXHIBIT IV-9
REMOVAL SITE FILE STRUCTURE
1 Project Authorization
Notifications to potentially responsible parties
Authorization to spend Fund resources
Related OSC correspondence
2 Contract Awards
Contractor Selection Documentation
Delivery Order/Notice to Proceed
Acknowledgment of Receipt
Procurement Request(s)
Contract Amendments
TDD for TAT
3 Site Safety Plan
4 Community Relations Plan
5 POLREPS
6 Action Memo
7 Work Reports
8 Personnel/Equipment Loqs
9 Cost Documentation Index
10 Daily Cost Sheets (Form 1900-55)
11 Incident Obligation Log
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-9 (Continued)
12 Invoices
Cleanup contractor (ERGS)
Other (i.e., contract lab work, aerial photography)
13 OSC Log
14 EPA Time and Travel
15 TAT Costs
16 Photographs
17 Sample Results
18 Manifests or Permits
IV-46
-------
OSWER Directive 9242.2-01B
(10/87)
Improved Security - Site files maintained by the OSC are vulnerable
to loss or damage while the OSC is out of the office. Controlling
access through a central contact reduces this risk. Control can be
maintained through the use of locked cabinets and sign-out procedures.
Each Region should designate the appropriate time for file transfer; OSCs may
want to keep site files until the last invoice is certified, or until the
final OSC report is written.
Recently, as a result of a requirements in Section 113(k) of CERCLA, as
amended by the Superfund Amendments and Reauthorization Act (SARA), EPA must
establish administrative records containing information used by the Agency to
make its decision on selection of particular response actions under CERCLA.
The Regions should ensure that such information is assembled and available for
public, including potentially responsible party, review both in the Regional
office and "at or near the facility at issue." This requirement applies to
removal actions where an Action Memorandum has been signed or public comment
has been solicited.
The information contained in the administrative recori .s a subset of
information included in the site file. At the present time, tne specific
items to be included in the administrative record are being developed and
refined. Meanwhile, the items in Exhibit IV-10 should be used as an
indication of information that is to be placed in the administrative record.
For further information on administrative record requirements, consult EPA
memorandum entitled "Administrative Records for Decisions on CERCLA Response
Actions", Director of OWPE, May 29, 1987 (OSWER Directive 9833.3).
This concludes the discussion of procedures for initiating contractor
response services. The next chapter describes procedures for monitoring the
contractor's performance of activities specified in the Delivery Order and
payment of the contractor for services rendered.
IV-47
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-10
DOCUMENTS FOR REMOVAL ACTIONS*
QA/QC'd raw data**
Removal preliminary assessment
Site investigation report
Any other factual data relating to reasons why we selected a particular
removal action at the site
Chain of custody forms**
Engineering evaluations
Cost analysis documents
Final data summary sheets of technical models used to evaluate the site
* Drafts and internal memoranda are not included in the record unless they
contain information used to base the decision which the final document
does not contain, or the decision-maker chooses to base the decision on a
draft document.
** QA/QC'd raw data (e.g., results of QC runs, chromatograms, mass spectra),
and chain of custody forms are part of the record and available to the
public, but need not be in the same physical location as the record in the
Regional office or in the information repository at or near the site.
IV-48
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT IV-10
(Continued)
Action Memorandum
ATSDR health assessment {draft versions not included)
Memoranda on major site specific policy and legal interpretations (e.g.,
off-site disposal availability, compliance with other environmental
statutes, special coordination needs, e.g., dioxin, provisions for State
assumption of post-removal site control)
Information from telephone logs relied on in selecting response
Mew technical information presented by PRPs during negotiations
Guidance documents and technical sources ***
Community Relations Plan
Public comments, if any
Responses to significant comments
Copies of any notices, including notices to PRPs, States, Natural
Resources Trustees, notices of availability of information
*** Guidance documents and technical sources may be kept in a central
memorandum compendium by the docket clerk. They need not be in each
site-specific record. The index to the record should reference titles of
relevant guidance documents and technical sources.
IV-49
-------
OSWER Directive 9242.2-0IB
(10/87)
EXHIBIT IV-10
(Continued)
Documentation of meetings during which the public and PRPs present
information upon which the agency bases its decision on selection of a
removal action (may be after-the-fact restatement of issues raised
Administrative Orders
Consent decree(s), comments and responses to comments on the consent
decree
Affidavits or other sworn statements of expert witnesses
Amendments to Action Memorandum, including ceiling increase Action
Memoranda, and Action Memorandum on technical changes; information which
caused the agency to change the decision, comments, and responses to
comments
IV-50
-------
OSWER Directive 9242.2-01B
(10/87)
CHAPTER V
PROJECT MONITORING AND FINANCIAL MANAGEMENT
-------
OSWER Directive 9242.2-01B
(10/87)
CHAPTER V
PROJECT MONITORING AND FINANCIAL MANAGEMENT
KEY TOPICS
Daily Project Tracking
Page
V-4
Defining Contractor Activity
V-4
Monitoring Contractor Progress
V-5
Reviewing Project Status
V-10
Monthly Invoice Certification
V-12
Distributing the Invoice Package
V-12
Verifying Invoice Charges
V-13
Documenting Questionable Charges
V-13
Certifying the Invoice
V-13
Submitting the Invoice for Processing
V-15
OSC and Contractor Reporting Requirements
V-15
OSC Reporting Responsibilities Under ERGS
V-16
ERGS Contractor Reporting Requirements
V-16
V-l
-------
OSWER Directive 9242.2-01B
(10/87)
CHAPTER V
PROJECT MONITORING AND FINANCIAL MANAGEMENT
OSCs must be aware of, in control of, and responsible for each charge to
their sites. Once the Delivery Order has been initiated, the OSC is
responsible for monitoring services performed by the contractor to ensure
consistency with the Site Budget, Action Memo, Delivery Order Statement of
Work and time and material cost estimates. As site manager for the
Government, the OSC is responsible for:
Intramural and extramural expenditures
Scheduling work
Directing the contractor
Reviewing project status
Certifying invoices submitted by the ERCS contractor for payment.
The sequence of management interactions and support documentation required for
project monitoring and financial management is summarized in Exhibit V-l.
To assist the OSC in monitoring project performance and financial
management, procedures have been established and are detailed in the Removal
Cost Management Manual. This manual is currently being revised and will be
available in 1987. In addition, procedures relating to the review and
certification of contractor charges are detailed in the EPA Superfund
Emergency Contracting Procedures. Together, these manuals provide the OSC and
other Federal officials with the framework for assuring that public funds are
spent prudently. It should be stressed that OSCs share this responsibility
with the Contracting Officer, contract auditors, and with the ERCS contractor,
through specific contract provisions. This chapter complements the guidance
provided in the two manuals by outlining the procedures developed specifically
for monitoring contractor services procured under the ERCS contracts.
-------
OSWER Directive
EXHIBfT V 1
Project Monrtonng and Financial Management
9242.2-01B
(10/87)
ORIGINATORS)
RESPONSE
DOCUMENTATION
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-------
OSWER Directive 9242.2-01B
(10/87)
1. DAILY PROJECT TRACKING
The OSC assumes ultimate responsibility for the outcome of a removal
project. In order to maintain effective control during a removal response,
the OSC should develop a routine that includes:
Defining contractor activity
Monitoring contractor progress
Reviewing progress with the contractor.
The following sections will discuss procedures to be followed by the OSC
in defining, monitoring, and reviewing a contractor's progress in completing a
removal action.
1.1 Defining Contractor Activity
In many removal situations, the amount of time the Ordering Officer
or OSC has to assess the nature of the release and determine the scope of
the removal actions may be quite limited. In some instances, the OSC may
be required to conduct the assessment of the incident and implement
removal actions simultaneously, necessitating daily revision of the
personnel, equipment and materials needed to conduct the removal.
These conditions underscore the importance of providing frequent
written direction to the ERCS contractor during a removal. Frequent
communication will preclude misunderstandings between the OSC and the
contractor. All OSC directions given to the contractor on site should be
documented and maintained in the removal project file. The Removal Cost
Management Manual suggests using one of three documents for this purpose:
Work Report
POLREP
OSC Log.
V-4
-------
OSWER Directive 9242.2-01B
(10/87)
This documentation of authorized work must be retained to permit
reconciliation of disputes with the contractor and to support cost
recovery efforts. Examples of each of these documents are included in the
Removal Cost Management Manual.
Regardless of the form chosen by the OSC, the message should be the
same; the contractor must be given a clear understanding of the task to be
performed, the resources (personnel, equipment and materials) to be
employed, and the expected time frame in which to conduct the work. The
frequency with which these communications are issued is left to the
discretion of the OSC. If work conditions change rapidly, daily or even
hourly revisions may be required. If a particular phase of work is fairly
predictable and is to be performed for extended periods (e.g., drum
staging), weekly revisions may be more appropriate.
1.2 Monitoring Contractor Progress
The contractor is responsible for providing the resources to complete
tasks assigned by the OSC. At the end of each day the contractor must
identify in the Contractor Cost Report (EPA Form 1900-55) ail charges for
resources used (see Exhibit V-2).
The OSC or other designated Federal employee must verify and attest
to by signature the accuracy of the labor, equipment, materials and
subcontractors claimed in the Contractor Cost Report.* Verfication
procedures, described in the Removal Cost Management Manual, have been
developed to provide a basis for the evaluation of reported charges.
While cost-tracking methods may vary, they should provide, at a minimum,
Appendix C is provided for the purpose of illustrating allowable and
unallowable charges under the ERCS Zone 4 contract including a discussion
on labor rates, equipment rates, overtime rates, travel and per diem
costs, and other direct costs. However, since these charges vary from
zone to zone, it is very important that the OSC and DPO refer to the
specific contract for their zone to ascertain exactly which charges are
allowable and which are not.
V-5
-------
OSWER Directive 9242.2-01B
(10/87)
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OSWER Directive 9242.2-01B
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V-8
-------
EXHIBIT V-2d OSWER Directive 9242.2-01B
ln$tructton« for Completing EPA Form 1900-56 (10/87)
(ro t» eomoirtte Oy Contrtctor Rforts*»rir ,*•
• ti*cfc - Enttr tnt ntmt of tnt eontr»«tor
- Inttr tnt contract numotr from tnt contract
aooite*ott tnttr tnt w«e>'.c «ro'k
numotr orowdtd Ov int Qn-Sctnt Coordinator
- Inttr tnt mo«tn. o»». and »«•' tnt 'toon n rxtotxta
TON MMOMNIU HIPOHT ^»ft r «/<;
Inttr tnt n«mt of Met tmoiOvM K"OM mr,,ctt Mill M
en«r«M to tnt eantrtct 'or m« o*n«ui«r a*v
(nttf f*t ««fk ei»«i''eitiO« of ««0t »rn
fnrtr
om m« »or« ut*
Enttr tfi« (mount of ftrl»« time til ft Ov «Mft
•too i
of ">oun.
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i Ov Men *me<«v«« lifted m IIOCB I
Enttr tnt !Ot»i D*nenn«i tcotnitt to M
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Inttr mt timt Of *tv dunnf wrn.
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- £-•»• T»» au«ntitv Of mtttri«ii from Block 15 ^I
tnt a«rt'C<
-------
OSWER Directive 9242.2-01B
(10/87)
sufficient detail to supply the OSC with an alternate set of cost
estimates to which contractor charges can be compared. Prior to reviewing
the Contractor Cost Report at the end of the day, the OSC or designee
should collect and summarize documentation used in tracking resource usage
to develop estimates that will provide the basis for evaluating the
reasonableness of contractor charges. The Contractor Cost Report should
be signed by the OSC within 24 hours of the report's submission, even if
it cannot be reconciled with the OSC's cost documentation. If a
discrepancy exists, the OSC and contractor representative should try to
reconcile the difference. If the difference is irreconcilable, the OSC
should refer the matter to the EPA Headquarters Contracting Officer.
It is strongly suggested that the OSCs make use of the software in
Version Three of the User's Guide for Removal Cost Management Software.
This manual can be used to assist the OSC in preparation of cost
management forms, in cost tracking, and in cost estimating.
1.3 Reviewing Project Status
The OSC should review project status with the contractor at the end
of each work day. Progress should be reviewed with respect to 1) the
status of assigned tasks and 2) resources required to complete the tasks.
While reviewing the status of the day's activities, the OSC and the
contractor representative also should discuss potential problems and
approaches that might be incorporated in the development of new contractor
directions for the next day.
The primary objective of the review session is to reconcile the
charges for personnel, equipment and materials used each day and reported
in the Contractor Cost Report (see Exhibit V-2). An accurate record of
entry and exit of personnel and equipment must be maintained to help the
OSC verify contractor charges at the end of each day (and to ensure site
safety and security). An example Site Entry and Exit Log is presented in
V-10
-------
OSWER Directive 9242.2-01B
(10/87)
the Removal Cost Management Manual. OSCs can make use of the U.S. Coast
Guard Strike Team, the TAT contractor, or temporary personnel on site to
assist in maintaining the suggested logs.
The OSC must compare the costs claimed by the contractor with those
derived from daily site documentation. This can be made easy by the use
of the computer software described in the User's Guide. It should be
recognized that the ERGS contractor sometimes must estimate charges on the
cost reports, particularly subcontractor costs. If satisfied that the
charges claimed are reasonable, the OSC should sign page 3 of the
Contractor Cost Report. If a discrepancy exists, the OSC and contractor
representative should try to reconcile the difference. If the difference
is not reconcilable, the OSC should note on the form itself the amount
disputed and refer the matter to the Contracting Officer.
After agreeing on the charges for the day, the OSC should record the
amount in a personal file that functions as the project "checkbook,"
providing an accurate estimate of cumulative project funds used and
available. The Removal Cost Management Manual suggests the use of the
Incident Obligation Log or POLREPS to record cumulative costs. The OSC
may also use this "checkbook" to help verify invoice charges (discussed in
Section 2.2 of this chapter). By adding all charges for a billing period,
the OSC can estimate invoice charges for comparison with the actual
invoice received. The software in the User's Guide also provides an
estimate of invoice charges and other functions.
While the tracking and invoice reconciliation procedures described
above are essential, OSCs should recognize 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).
7-11
-------
OSWER Directive 9242.2-01B
(10/87)
2. MONTHLY INVOICE CERTIFICATION
To ensure timely payment for contractor services rendered, certification
procedures have been developed and include the following steps:
Distribute the invoice package
Verify invoice charges
Document questionable charges (if necessary)
Certify the invoice
Submit the invoice for processing.
The certification process described in the following subsections must not take
longer than five days after the ERGS DPO receives the invoice package. The
ERCS DPO will be responsible for ensuring that invoices are processed within
the five-day limit.
The contractor invoice is a written request for payment under the contract
for supplies delivered or for services rendered. In order to be proper, an
invoice under a cost-reimbursement contract must be prepared in accordance
with EPA Form 1900-34, "Guide for the Preparation of Contractor's Claims for
Reimbursement of Costs and Fees Under Cost Reimbursement Type Contracts" or
EPA Form 1900-34A, "Guide for the Preparation of Contractor's Claims for
Reimbursement of Costs and Fees Under Cost-Plus-Award-Fee (CPAF) Type
Contracts." The contractor should prepare and submit invoices in
quadruplicate unless otherwise specified.
2.1 Distributing the Invoice Package
Each month, the ERCS DPO will receive an invoice package from the
ERCS contractor consisting of one invoice for each removal project
conducted under the direction of an EPA 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 or submit by memorandum an itemized listing of questionable
charges within the five-day period.
V-12
-------
OSWER Directive 9242.2-01B
(10/87)
The ERGS DPO will not be responsible for distributing invoices to
non-EPA Federal officials such as USCG OSCs, who are managing removal
projects under an ERGS contract. Instead, these non-EPA officials will
receive the invoices directly from the contractor.
2.2 Verifying Invoice Charges
The OSC or designated Federal official will evaluate whether the
charges listed on the invoice and supporting information are correct by
comparing them with the logs, reports, or other records kept for the
removal project during the month. This can be made easier by use of the
software and procedures described in the User's Guide. If any charges are
questionable, OSCs should follow the procedures described in the following
section. The OSC should also verify the accuracy of the accounting
information entered, including the contract number and accounting number.
2.3 Documenting Questionable Charges
If any charges appearing on the invoice are questionable, the OSC
should first attempt to resolve the issue with the contractor within the
five-day period. If this is not successful, the OSC should contact the
assigned Negotiator or the Contracting Officer through the 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
After reviewing the invoice and supporting information, the OSC or
designated Federal official should certify the invoice by signing and
V-13
-------
OSWER Directive 9242.2-0IB
(10/87)
^ \ff T ^ *•) • «^» f » "3
_,Xr.-3_i v-J
Documenting Questionable Charges - Sarr.ple 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 S be withheld
from the total amount paid.
Attachments: Certified invoice
Explanation of charges not accepted
cc: Contracting Officer
Contractor
V-14
-------
OSWER Directive 9242.2-01B
(10/87)
dating the OSC Certification Statement stamped or typed on the invoice.
Potential disputes will be easily resolved where this date is clarified.
Certification of an invoice implies only that the services have been
rendered. Certification is not intended to signify that invoiced costs
are absolutely accurate or complete. The Contracting Officer is
responsible for reviewing, definitizing and ultimately accepting the final
costs. Ensuring reasonableness of prices paid will be the responsibility
of the Procurement and Contracts Management Division (PCMD).
The certification process shall not exceed five days, even in the
event of a dispute. The invoice should be signed with the disputed amount
indicated. If an EPA OSC is out of town or otherwise unavailable, the
ERGS DPO is authorized to certify the invoice for the OSC. Mon-EPA OSCs
or other Federal officials must designate in advance an alternate who will
be responsible for invoice certification in their absence.
2.5 Submitting the Invoice for Processing
The invoice should be forwarded to:
Environmental Protection Agency
Financial Management Division
Contracts Financial Operations (MD-32)
Research Triangle Park, NC 27711
If any amounts are questioned, a copy of the cover memo (see Exhibit V-3)
should be sent to the Contracting Officer.
3. OSC AND CONTRACTOR REPORTING REQUIREMENTS
Regular reporting is required to provide timely status information as well
as historic removal incident documentation. Much of the responsibility for
reporting and documentation falls on the OSC and the contractor.
V-15
-------
OSWER Directive 9242.2-01B
(10/87)
3.1 OSC Reporting Responsibilities Under ERGS
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 ERGS DPO, Project Officer and Contracting Officer within 30 days of
completion of a project. The report should provide a concise review of
the contractor's project performance that can be used by the ERCS DPO to
identify trends or recurring difficulties relating to cleanup actions.
In addition to providing ERCS contract management with a vehicle for
conducting regular contractor reviews, the performance summary report may
also be used by the OSC or Federal designee as supporting documentation in
development of award fee Performance Event Reports (PERs). The
performance evaluation award fee process, discussed at length in Chapter
VI, enables the Agency to provide the contractor with an award fee in the
form of financial reward for outstanding performance.
3.2 ERCS Contractor Report ing Requirements
Each ERCS contractor is required to provide several reports to EPA on
a periodic basis for use in monitoring project performance. A list of
these reports is presented in Exhibit V-5. The DPO and/or the OSC are
responsible for ensuring the accuracy, timeliness and completeness of all
submitted reports. Detailed information on each required contractor
report is presented below.
Daily Contractor Cost Report (EPA Form 1900-55)
This form should contain the estimated or actual daily cost
information on personnel, equipment, material analysis, transportation,
disposal, subcontract handling charge, miscellaneous, travel and
subsistence, using EPA form 1900-55. This report is completed and signed
by the Contractor Response Manager, and is then reviewed and signed by the
OSC. Copies of the form are then provided to the OSC, the Contracting
V-16
-------
OSWER Directive 9242.2-01B
(10/87)
1 OF 2
ERGS CONTRACTOR PERFORMANCE SUMMARY
ACT N0. 2. DELIVERY ORDER NO. 3. EPA REGION/ uSCG DISTRICT
RY ORDER CEILING AMOUNT:
3 TO: CONTRACTOR l/V«/n*. AMnsa */»rf Zia CoHfl
NSE MANAGER: l/V«/n» tna Phon* No.)
5. ZONE:
7. RESPONSE LOCATION. (Sin Ntmv, Aadnss tna Zio Cotf»!
9. ON-SCENE COORDINATOR: l/V«/n« ind Pbor* No. I
IIBE SCOPE OF WORK:
INNEL AND EQUIPMENT ON SITE WITHIN REQUIRED RESPONSE TIME? COMMENT:
PERFORMED BY: ERCS CONTRACTOR
ONTRACTOR
13. INITIAL COST ESTIMATE:
FINAL COST.
ROBLEMS RESULTING FROM
F SUBCONTRACTOR?
15. REASONS FOR COST SAVINGS/OVERRUN, IF ANY:
IATION OF CONTRACTOR'S COST CONTROLS.
COST REPORTS:
CURRENT ACCURATE
V-17
-------
_,.„,_„ .. . ,_ , OSWER Directive 9242.2-01B
EXHIBIT V-4 (Continued) (10/87)
PAGE 2 OF 2
ERGS CONTRACTOR PERFORMANCE SUMMARY
CONTRACT NO.
DELIVERY ORDER NO.
19. PERSONNEL AND EQUIPMENT USED IN AN EFFICIENT MANNER? COMMENT:
20. INTERACTIONS BETWEEN ERGS CONTRACTOR AND OTHER ON-SCENE PERSONNEL d.t., TAT. RSM/ffT. Saw
~ GOOD ~ SATISFACTORY 3 UNSATISFACTORY COMMENT:
21. NECESSARY SAFETY PRECAUTIONS TAKEN? ~ YES ~ NO COMMENT:
22. UNUSUAL PROBLEMS/OCCURRENCES AFFECTING CONTRACTOR'S PERFORMANCE:
23. OVERALL ASSESSMENT OF CONTRACTOR'S PERFORMANCE: UWdrno/wrf p*y«» m»y tit tad**, as n«c«*Mry)
of Qn-Setrtt Coordinator Sigmnin
r i WMTI OK car*
$*wr i CMMOT of» McrwnoN ca*' V - 18
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT V-5
Required Contractor Reports
Report
Daily Contractor Cost
Report (EPA Form
1900-55)
CERCLA Off-Site
Disposal Report
Monthly Contract
Status Report
Monthly Regional
Statua Report
Year-End Report
Quality Assurance
Program Plan
Quality Assurance Data
Report
Site-Specific Allocation
Report
Initial Financial
Management Report
Monthly Financial
Management Report
Property Management
Program Plan
Fixed-Rate Coat Report
Site Safety Plan-
Work Report
Site Progress Report
Contractor's Final
Report
Originator
Contractor
Response Manager
Contractor
Response Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor
Response Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor Program
Manager
Contractor
Response Manager
Contractor
Response Manager
Contractor
Response Manager
Contractor
Response Manager
Reporting
Frequency
Dally
10 Days Following
Disposal
Second Monday
Following the Month
Second Monday
Following the Month
30 Days Following
End of Period of
Performance
15 Days Following
Award of the
Contract
Second Monday
Following the Month
Dec. 31 of Each Year
and 90 Days
Following Contract
Completion
15 Days Following
Effective Date of
Contract
Second Monday
Following the Month
30 Days Following
Contract Award
60 Days Following
Completion of Each
Six-Month Period of
the Contract
Prior to Beginning
Cleanup at Site
Prior to Beginning
Each Phase of
Cleanup at Site
As Specified by the
OSC
30 Days of
Conclusion of On-
Site Work
Distribution
OSC, CO, RTP
DPO, PO
PO (2 Copies)
CO (2 Copies)
DPO
PO (5 Copies)
PO (2 Copies)
DPO, HRSD
PO
PO (2 Copies)
CO
PO (2 Copies)
CO
Property
Administrator
CO
OSC
OSC
OSC
OSC
V-19
-------
OSWER Directive 9242.2-01B
(10/87)
Officer, and the Financial Management Division office in Research Triangle
Park (RTF), North Carolina. If removal cost management software is used,
the OSC should archive the disk to be transmitted to PCMD for
definitization.
The Daily Contractor Cost Report should be prepared on site at the
end of each work day or no later than noon the following day. This
information shall be updated in weekly summaries to reflect actual or
corrected cost information using EPA form 1900-55. The OSC reviews and
signs 1900-55s daily.
CERCLA Off-Site Disposal Report
The specific information required to report CERCLA off-site waste
management activities should be recorded on the form presented in
Exhibit V-6. The form is submitted by the Contractor Response Manager to
the Project Officer and DPOs within 10 days, after disposal has been
completed at each site.
Monthly Contract Status Report
This report is prepared by the Contractor Program Manager and
contains highlights of all contractor activities during the month being
reported and activities anticipated during subsequent report periods. It
includes a description and the status of all active Delivery Orders
including work progress, percent of completion, problems or unique
situations encountered and corrective actions taken, and changes in
personnel associated with the Delivery Order. It provides a graphic
presentation of equipment and materials and the contract expenditures
versus yearly minimum and maximum contract amounts. It also provides the
following cumulative financial data for each removal action: funds
obligated; estimated or actual costs for all cost categories associated
with personnel, equipment, materials and any other service.
V-20
-------
OSWER Directive 9242.2-01B
(10/87)
EXHIBIT V-6
THE CEKCLA OFF-SITE DISPOSAL REPORT
Information Required for CERCLA Off-site Waste Management Activities
1. Superfund site name/State/ERRIS number:
2. Type of action (Check one)
Removal
- Remedial
3. Type and form of waste:
Type: Form:
Use RCRA Type Listing - fluid
waste
Sludge (solid or non-solid)
4. Quantity of waste:
cubic yard (CY)
gallons (gal)
- drums
lab packs
5. Pre-treatment of waste before transportation:
precipitation
neutralization
solidification
- fixation
stabilization
other
6. Receiving RCRA facility name/location/I.D. number/unit
7. Receiving Region
8. Receiving Region contact for approval. (Note - this is the individual
designated pursuant to the May 6, 1985 Policy)
Name Date
Date(s) of Shipments
V-21
-------
OSWER Directive 9242.2-0IB
(10/87)
EXHIBIT V-6
THE CERCLA OFF-SITE DISPOSAL REPORT
(continued)
10. Pretreatment of waste at site before final treatment or disposal:
precipitation
neutralization
- solidification
fixation
stabilization
other
11. Final method of treatment or disposal/unit receiving:
precipitation
neutralization
incineration
landfill
land treatment
injection
recovery/re-use
other
12. If waste was landfilled:
What disposal cell number or location?
Type of liner in cell? (e.g., PVC, clay, hypalon)
13. Date of initiation and date of completion of cleanup:
Date of cleanup initiation:
Date of cleanup completion:
14. Cost of activities (include cost per unit, then denote cost basis):
cost based on treatment/disposal only (no transportation cost)
cost for transportation
V-22
-------
OSWER Directive 9242.2-01B
(10/87)
The report provides data regarding Delivery Order [and program
management]* billings made during the reported month, formatted as follows:
Delivery Order Billings:
Invoice number
Invoice date
Amount billed at fixed rates (except per diem and provisional
rate items)
Amount billed at cost (including per diem and provisional rate
items)
Total amount billed
Program Management Billings:
Voucher number
Voucher date
Total costs billed
Base fee billed
Total amount billed
Both the Project Officer and the Contracting Officer will receive two
copies of the monthly status reports on the second Monday following the
month being reported on.
* Text applicable only to the Zone ERGS Contracts.
-------
OSWER Directive 9242.2-0IB
(10/87)
Monthly Regional Status Report
This report is prepared by the Contractor Program Manager and
highlights all contractor activities in the appropriate EPA Region during
the month being reported and activities anticipated during subsequent
reporting periods. This includes a description and the status of all
active Delivery Orders including work progress, percent of completion,
problems or unique situations encountered and corrective actions taken,
and changes in personnel associated with the Delivery Order. The
contractor also provides the following cumulative financial data for each
removal action in the appropriate EPA Region:
Funds obligated
Estimated or actual costs for all cost categories associated
with personnel, equipment, materials, and any other services.
The report is to be submitted to the DPOs on the second Monday following
the month being reported on.
Year-End Report
The Contractor Program Manager prepares this report, which provides a
summary of the activities performed and planned for completion under the
contract during the twelve (12) month period being reported. The report
includes an assessment of the overall contract program, recommendations
for improving the effectiveness of the program, and a summary of all
removal actions taken, including technical and financial information. In
addition, the report contains a cumulative summary of the usage and costs
billed for 1) labor by individual labor category; 2) equipment utilized by
individual type; 3) individual common materials utilized and 4)
miscellaneous subcontracted items.
V-24
-------
OSWER Directive 9242.2-01B
(10/87)
The Project Officer should receive five copies of the report within
30 days following the end of the period of performance.
Quality Assurance Program Plan
The Contractor Program Manager should prepare this report in
accordance with "Interim Guidelines and Specifications for Preparing
Quality Assurance Project Plans (QAMS-005/80)," dated December 29, 1980.
Two copies of the Plan should be submitted to the Project Officer within
15 days following award of the contract.
Quality Assurance Data Report
The Contractor Response Manager should provide a copy of all
analytical data generated from sample analysis and one (1) copy of any
sample analysis subcontracts to the DPOs and the Hazardous Site Evaluation
Division (HSED) by the second Monday following the month being reported on..
Site-Specific Allocation Report
The Contractor Program Manager is required to furnish a report
summarizing site-specific allocation of costs incurred for the Program
Management and base and award fees. This report shall be delivered to the
Project Officer by December 31 of each year and ninety (90) days after
contract completion.
Initial Financial Management Report
The Contractor Program Manager shall furnish three copies (two to the
Project Officer, and one to the Contracting Officer) of a Financial
Management Report in graph form depicting the projected rate of
expenditure of the Management Portion under the contract. The initial
report shall be delivered within fifteen (15) days after the effective
date of the contract and shall contain the following:
V-25
-------
OSWER Directive 9242.2-01B
(10/87)
Identification - Contractor name and contract number
Vertical Axis - dollars
Horizontal Axis - time (contract period of performance in months)
Solid line depicting the projected rate of expenditure on a
cumulative basis of the estimated contract cost over the period
of contract performance by month. This projection (base line)
shall not change during the life of the contract without the
concurrence of the Contracting Officer.
Monthly Financial Management Report
The Contractor Program Manager shall furnish a monthly Financial
Management Report which, using the initial report submitted in compliance
with the description above, relates costs incurred during the month being
reported to the projected expenditures contained on the initial report.
This Monthly Financial Management Report shall be submitted to the Project
Officer (two copies) and the Contracting Officer (one copy) on the second
Monday following the month being reported on.
The Monthly Financial Management Report shall contain the data in the
format required in the initial report with the following information:
Identification - add the month being reported
Vertical Axis - dotted line representing the actual cumulative
costs incurred to date by month
Horizontal Axis - red line extended from the dotted line
representing the current estimated cost to contract completion.
The Monthly Financial Management Report shall be accompanied by a
reporting of costs incurred in managing the cleanup services portion of
V-26
-------
OSWER Directive 9242.2-01B
(10/87)
the contract (i.e., ]ob category, labor hours, indirect costs, management,
travel).
This Financial Management Report in no way changes the notification
requirements of the Limitation of Cost Clause or Limitation of Funds
Clause of the contract, nor does submission of the report constitute
notice as required by the Limitation of Cost Clause or Limitation of Funds
Clause. The notice to the Contracting Officer is required as a separate
notice .in accordance with the provisions of said clauses and will be
applicable only to the Management portion of the contract.
Property Management Program Plan
The Contractor Program Manager should prepare a property management
program plan in conformance with Federal Acquisition Regulation (FAR) Part
45 - "Government Property" and EPA's "Guide for Control of Government
Property By Contractors (Nov. 1981)." One copy should be provided to the
Property Administrator within 30 days following award of the contract.
Fixed-Rate Cost Report
The Contractor Program Manager should prepare a report containing
actual costs for all labor and equipment fixed-rate items. The report
shall detail the base pay to employees as well as itemized costs for
employee benefits. In the equipment rate area the report shall detail
actual ownership costs to include maintenance and operating costs. This
report should be submitted to the Contracting Officer within 60 days after
the completion of each six-month period of the contract.
The Contractor Response Manager may also be requested by the OSC or
other designated Federal official to provide several reports in the format
specified in the Delivery Order by the Ordering Officer. These reports
are described below.
V-27
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OSWER Directive 9242.2-01B
(10/87)
Site Safety Plan
This plan covers three major areas: (1) the site itself, including
any geographic hazards that may exist, (2) the materials/chemicals
involved, including nature of each (e.g., explosive), exposure,
recommendation for level of safety equipment to be used at site as well as
personal protection and (3) all emergency services available locally, such
as fire department, ambulance and hospitals, with telephone numbers for
each. The contractor should provide the plan to the OSC prior to
commencing cleanup action for a particular site.
Work Report
This is a written work report prepared in advance of each day's
activities specifying work to be performed and the number and types of
personnel, equipment, and materials to be used, and any other activities
to be performed. This report also documents work accomplished. The
contractor should provide the plan to the OSC in advance of commencing
each phase of work on the site.
Site Progress Report
Written daily, weekly, or bi-weekly progress reports should be
provided to the OSC or other designated Federal official summarizing the
amount of material treated or removed from a site, transportation and
disposal methods used, analytical data, and estimated or actual costs to
date. The report should be submitted as specified by the OSC.
Contractor's Final Report
A final report will be provided to the OSC or other designated
Federal official within thirty (30) days of the conclusion of the on-site
work. This report shall detail all costs, approach used and any problems
encountered.
V-28
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OSWER Directive 9242.2-01B
(10/87)
Finally, the Contractor Response Manager provides daily oral progress
reports to the OSC or other designated Federal official.
This chapter, together with Chapter IV, has described the entire cycle
from project initiation to project completion for conducting a removal using
the services of the ERCS contractor. The next chapter. Award Fee Performance
Evaluation Plan, highlights procedures that may be used to award the
contractor a fee for exemplary performance in conducting removal actions.
V-29
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OSWER Directive 9242.2-01B
(10/87)
CHAPTER VI
AWARD FEE PERFORMANCE EVALUATION PLAN
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OSWER Directive 9242.2-01B
(10/87)
CHAPTER VI
AWARD FEE PERFORMANCE EVALUATION PLAN
KEY TOPICS
Page
The Award Fee Process VI-2
Preparation of Performance Event Reports VI-7
Organization, Roles and Responsibilities VI-7
Preparation of Award Fee Performance Event Reports VI-9
Preparation of the Summary Evaluation Package VI-14
Project Officer (Evaluation Coordinator) VI-14
The Summary of Performance Evaluation Reports VI-15
Performance Evaluation Review and -Award Fee Recommendation VI-17
The PEB VI-17
Award Fee Computation VI-19
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OSWER Directive 9242.2-01B
(10/87)
CHAPTER VI
AWARD FEE PERFORMANCE EVALUATION PLAN
Performance of the ERGS contracts requires the contractors to furnish a
substantial amount of labor and equipment services and materials at cost,
fixed rates not having been established. The major portion of these services
and materials are provided by the use of subcontracts. Reimbursement is on a
cost only basis because the sources and costs therefore cannot be accurately
computed to establish a prospective fee base. EPA believes that a management
fee should be allowed to recognize the contractors' risk in providing these
services and has established an award fee pool to achieve this purpose.
Excluded from award fee calculation are all items for which the contractor
will be reimbursed at fixed rates set forth in the contract provision entitled
"FIXED RATES FOR SERVICES - INDEFINITE DELIVERY/ INDEFINITE QUANTITY CONTRACT."
Exhibit VI-1 illustrates the award fee performance evaluation process for
the ERCS contracts. This process, which is described in the next section,
consists of two evaluation periods each year, each lasting six months. The
process pertains both to the ERCS zone contracts and to the Regional contracts
(mini-ERCS). The only difference is that the Zone contracts award fee process
is conducted at EPA Headquarters with a Headquarters Performance Evaluation
Board (PEB), whereas the Regional contracts award fee process is held in the
Regions with a Regional PEB (this is discussed in Section 3.2). The remaining
sections discuss the process in greater detail, including the roles and
responsibilities of EPA and contractor personnel and the procedures and
requirements that are to be followed.
1. THE AWARD FEE PROCESS
The award fee process can be divided into three major steps:
Step 1: Prepare and Submit Performance Event Reports (PERs)
VI-2
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OSWER Directive 9242.2-01B
(10/87)
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OSWER Directive 9242.2-01B
(10/87)
Step 2: Comment on PERs and Prepare a Summary Evaluation Package
Step 3: Review the Summary Evaluation Package and Make an Award Fee
Pecommendat ion.
Each step is described below.
Step 1; Prepare and Submit Performance Event Reports
The- award fee process is initiated in each Region by the OSCs and
Contractor Response Managers. OSCs are responsible for preparing
PERs on selected Delivery Orders (active and closed) implemented
during the evaluation period. Contractor Response Managers are not
required to prepare PERs on any Delivery Orders, but they may do so
if they choose. Both the OSC and the Response Manager should use the
same PER form for evaluation purposes (see Exhibit VI-2).
If PERs are prepared for closed Delivery Orders, PERs should be
• completed and submitted as part of the Delivery Order closeout
process, rather than waiting until the end of the evaluation period.
For active Delivery Orders, PERs should be prepared at the end of the
evaluation period. All OSC-initiated PERs must be submitted to the
DPO no later than Day 5 (see Exhibit VI-1) of the award fee process.
Likewise, all contractor PERs must be submitted to the Contractor
Program Manager no later than Day 5. Day 1 represents the first day
of the award fee process, which follows immediately the six-month
evaluation period.
OSCs should follow certain guidelines in deciding which Delivery
Orders are to be evaluated. OSCs first need to ascertain what
activities were provided for under each Delivery Order. If the
activities were only routine (e.g., routine bottled water delivery,
guard services or fence building), no evaluation is required unless
performance was either exceptional or substandard. These Delivery
Orders should be excluded from the award fee process. The OSC should
then determine the number of remaining Delivery Orders. If fewar
VI-4
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OSWER Directive 9242.2-01B
(10/87)
than six, all must be evaluated; if between six and ten, at least 80%
must be evaluated; if over ten, at least 70% must be evaluated. In
selecting Delivery Orders to evaluate, the OSC should be sure to
include sites where alternative technologies were used and sites of
particular significance for any reason.
Upon receipt of the OSC's PERs, the DPO is responsible for reviewing
the forms for completeness and accuracy. The PERs should be examined
to make sure that the ratings provided are supported by the narrative
comments. Narrative comments should provide sufficient detail to
explain how and why performance was either meritorious or deficient.
Upon receipt of the contractor PERs, the Contractor Program Manager
is responsible for reviewing them for completeness and accuracy. The
Contractor Program Manager should make certain that the ratings on
all PERs reflect closely and fairly the supporting comments that
describe contractor performance. Modifications should be made as
appropriate. By Day 7 of the award fee process, the original PERs
should be submitted to the EPA Project Officer, and copies should be
forwarded to the Regional DPO.
Step 2: Comment on PERs and Prepare a Summary Evaluation Package
Upon receipt and review of the contractor and EPA PERs, the EPA
Project Officer, who also serves as the Award Fee Evaluation
Coordinator, is responsible for commenting on each PER by providing
an assessment and rating of the contractor's performance on the
assignment, based on information contained on the PER as supplied by
the OSC and, if submitted, by the Contractor Response Manager. The
Project Officer should provide these assessments and ratings on the
EPA PERs only. It is not necessary to comment on the contractor
PERs, since they will not be submitted to the PEB. It is important,
however, that the Project Officer review the contractor's PERs in
order to gain an idea of how the contractor evaluated its own
performance on each Delivery Order. Also, the Pro]ect Officer should
be aware that most likely there will be some PERs submitted by the
VI-5
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OSWER Directive 9242.2-01B
(10/87)
contractor on Delivery Orders that were not evaluated by the OSC.
These PERs should not be evaluated by the- Project Officer and should
not be submitted to the PEB. These fall in the remaining 20-30%
range where not all Delivery Orders are submitted to the PEB.
In reviewing and comparing the EPA and contractor PERs, the Project
Officer may identify discrepancies between EPA's and the contractor's
ratings. The Project Officer should describe any such discrepancies
on the PER. It is not necessary, however, for the Project Officer to
resolve these EPA-contractor discrepancies but rather to make sure
that the PEB is aware that there are differences in how EPA and the
contractor have assessed the contractor's performance. The Project
Officer may need to seek explanatory information from the OSC, DPO,
and/or Contractor Program Manager to use in describing the
discrepancies on the PER.
After commenting on all PERs, the Project Officer should prepare a
package .of all the PERs, including a Summary of Performance Event
Reports. The Summary of PERs is a one-page compilation of all
individual PERs and is intended to help the EPA Evaluation Board
quickly assess the overall contractor performance for the evaluation
period. This package should be submitted to the PEB no later than
Day 20 of the award fee process.
Step 3: Review the Summary Evaluation Package and Make an Award Fee
Recommendation
The PEB shall convene no later than Day 30 of the award fee process.
Upon receipt of the package of PERs and the Summary of Performance
Event Reports, the PEB is responsible for reviewing and evaluating
the contractor's performance. The PEB should then compute the amount
of award fee that will be recommended for award to the contractor.
VI-6
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OSWER Directive 9242.2-01B
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Following conclusion of the PE3 meeting, the EPA Project Officer,
serving as PEB Executive Secretary, is responsible for preparing a
report of the PEB' s findings and recommendations. This must be
completed by Day 40 of the award fee process.
Upon receipt of the PEB's report and recommendations, the Fee
Determination Official must make a final determination of the award
fee and forward the report and approved recommendation to the
Contracting Officer. This should be completed by Day 47 of the award
fee process.
By Day 50 of the award fee process, EPA's Contracting Officer is
responsible for issuing an award fee notification letter to the
contractor.
Only after receipt of the notification letter is the contractor
allowed to invoice for the award fee payment.
2. PREPARATION OF PERFORMANCE EVENT REPORTS
This section describes the organization, roles and responsibilities of EPA
Regional and ERCS contractor personnel who are involved in preparing PERs. It
also discusses the PER form and how it should be filled out.
2.1 Organization, Roles and Responsibilities
There are four distinct types of EPA and contractor personnel
involved with preparation and processing of PERs at the Regional level:
EPA OSCs
EPA DPOs
Contractor Response Managers
Contractor Program Manager.
The roles and responsibilities of each are highlighted below.
VI-7
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OSWER Directive 9242.2-01B
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EPA OSCs
OSCs are the Ordering Officers who initiate orders for ERGS
contractor services and resources. They are responsible for day-to-day
management and monitoring of contractor performance in carrying out
removal actions. As part of this responsibility, they prepare PERs for
selected Delivery Orders on which they have worked during the evaluation
period. Details concerning the preparation of PERs are discussed later in
this section.
EPA DPOs
The DPO is responsible for reviewing all OSC-initiated PERs to ensure
that they have been completed accurately and fairly. The DPO also must
ensure that the OSC ratings are supported by the accompanying narrative
justification. If there are any problems with the way in which the OSC
has completed a PER, it is the DPO's responsibility to discuss these
problems with the OSC, determine why the particular rating was given, and
then make a decision as to , whether or not the evaluation should be
changed. If the DPO concludes that the evaluation should be changed, the
ratings should be adjusted, as appropriate.
Once the DPO is satisfied with the PERs, they should be submitted by
Day 7 of the evaluation process to the Project Officer for review and
evaluation. Copies should be maintained in a central file for historical
and reference purposes.
Contractor Response Managers
Contractor Response Managers may voluntarily prepare PERs on any
Delivery Orders implemented during the evaluation period. This is
entirely at the discretion of the Response Manager. PERs prepared by the
Response Managers must be forwarded to the Contractor Program Manager by
Day 5 of the award fee process.
VI-8
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OSWER Directive 9242.2-01B
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Contractor Program Manager
The Contractor Program Manager receives and reviews PERs prepared by
the Contractor Response Managers. In reviewing PERs, the Program Manager
is responsible for ensuring that they have been prepared accurately and
fairly and that their ratings are supported by the accompanying narrative
justification. The Program Manager should discuss any PER problems (e.g.,
ratings that are not justified) with the Contractor Response Managers and
adjust ratings and assessments appropriately. The Contractor Program
Manager also is responsible for providing a written statement to the ERGS
Project Officer (Evaluation Coordinator) at the close of each evaluation
period that specifies the total amount billed to EPA during the period.
The billings are to be divided into two components:
Total fixed rate billings — The total amount billed by site
based upon the fixed rates specified in Article 3-1
Total billings to be reimbursed at cost — The total amount
billed for subcontract costs for off-site analysis, disposal,
transportation and other materials and services billed at cost,
travel and subsistence, and any other items billed at cost
including items billed at provisional rates.
2.2 Preparation of Award Fee Performance Event Reports
PERs are required for selected Delivery Orders (active and closed)
implemented during the evaluation period. EPA is required to complete
these PERs; the contractor can voluntarily prepare PERs. A copy of the
PER form, which should be used by both EPA and the ERGS contractor, is
shown in Exhibit VI-2.
VI -9
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EXHIBIT VI-2
OSWER Directive 9242.2-01B
(10/87)
CPAF CONTRACT INDIVIDUAL PERFORMANCE EVENT
CONTRACT NO. CONTRACTOR TASK ORDER NO.
REPORTING ELEMENT
OATE
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OSWER Directive 9242.2-01B
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In completing the top one third of the PER, the following information
should be provided:
Contract No.: Write the contract number
Contractor: Write the contractor's name
Task Order No.: Write the Delivery Order Number
Reporting Element: This is the Region (e.g., Region III)
Dates of Reported Event: The period of performance of the
Delivery Order being evaluated
Performance Evaluation: The task area as shown in the Statement
of Work.
In using the PER form to evaluate the contractor's performance on a
Delivery Order, the evaluator should use the three performance criteria
listed on the PER as the basis for this evaluation. These criteria, which
are presented in detail in Exhibit VI-3, cover three important areas of
performance — management, schedule, and cost — that were developed to
provide a uniform basis by which to evaluate any work performed by the
contractor.
Next to each of the criteria on the PER is a box for rating the
contractor's performance. The ratings are as follows:
Performance (%)
Ratings Points Definition
Superior (-(-) Baseline % for Contractor's performance
satisfactory significantly exceeds
performance plus requirements
21% to maximum
total of 100%
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OSWER Directive 9242.2-01B
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EXHIBIT VI-3
ERGS Performance Evaluation Criteria
Management
Adequacy and timeliness of subcontracting and purchasing procedures
and documentation supporting: award and purchase decisions; extent
of competition; basis for non-competitive selections; Contracting
Officer/OSC consent.
Prompt and accurate submission of subcontract reports.
Review of subcontractor vouchers for reasonableness and accuracy.
Coordination and liaison with subcontractors.
Practice and enforcement of appropriate safety measures on site.
Adequacy of decision to use subcontracted effort in lieu of
performance by Prime.
Adequacy of program and site management in directing and supporting
performance of the cleanup effort.
Adequacy and timeliness of submission of ail reports.
Compliance with contract terms for subcontracted services.
Schedule
Prime and subcontractors' adherence to site work schedule.
Prime monitoring and coordination of subcontractors.
Cost
Overall control of cost incurred, including subcontractors.
Accuracy and completeness of cost data and cost reports, invoices,
and supporting data.
Prime monitoring of subcontractor cost.
Overall control of program management costs.
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OSWER Directive 9242.2-01B
(10/87)
Performance (%)
Ratings Points Definition
Satisfactory (0) Baseline % for Contractor's performance
satisfactory meets requirements
performance plus
or minus 20%
Substandard (-) 0% to Baseline % Contractor's performance
for satisfactory is less than required.
performance less There are very few areas
21% of good or better
performance.
Performance {%) points are used to calculate the percentage of award fee
payable in accordance with the procedures described in Section 3.2 of this
chanter.
In addition to rating each individual criterion, the evaluator should
also provide supporting comments to justify the rating given. It is very
important that these comments, particularly for criteria rated Superior
( + ) or Substandard (-), include examples of how and why performance was
either meritorious or deficient. Space is provided on the PER for this
purpose. If additional space is needed, plain bond paper should be used
and then attached to the PER. The PER also provides for an overall rating
for each major criterion (i.e., management, schedule, and cost) and for
all three criteria taken together. Once the PER has been completed by the
OSC or Contractor Response Manager, it should be signed and dated. A copy
of the PER must be maintained in EPA Regional office files.
A space also is provided at the bottom of the PER for the Pro]ect
Officer (Evaluation Coordinator) to assess the contractor's performance.
The Project Officer should also use this space to describe discrepancies
in ratings and evaluations between EPA and the contractor. The Project
Officer should always complete the same PER that was completed and
submitted by the OSC or DPO.
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OSWER Directive 9242.2-013
(10/87)
In order to facilitate the preparation of PERs, both by EPA and the
contractor, it is suggested that they be completed as soon as a Delivery
Order has been closed, rather than waiting until the award fee process
begins. This will not only expedite the preparation of PERs, it will also
prevent an excessive amount of paperwork that otherwise would be necessary
at the end of the evaluation period. In addition, by completing the PER
immediately following the completion of the Delivery Order, the
contractor's performance will be fresh in the mind of the individual who
is evaluating the work on the Delivery Order. By waiting until the end of
the evaluation period, relevant information may be forgotten or be more
likely to be misinterpreted than if the PER is filled out at the time when
the Delivery Order is completed.
3. PREPARATION OF THE SUMMARY EVALUATION PACKAGE
This section discusses the roles and responsibilities of the ERGS Project
Officer, who is also referred to as the Evaluation Coordinator. It also
describes the preparation of the Summary of Performance Evaluation Reports.
3.1 Project Officer (Evaluation Coordinator)
The ERGS Project Officer is responsible for organizing and overseeing
the award fee performance evaluation process. In this capacity, the
Project Officer will serve as Evaluation Coordinator. Specific
responsibilities include:
Receiving, reviewing, and completing PERs submitted by the OSCs
and the contractor
Ensuring that the contractor submits total fixed rate and
subcontract billings for the period
Obtaining information, where necessary, on discrepancies in EPA
and contractor ratings as a means of explaining the reasons and
rationale for these discrepancies to the PEB
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OSWER Directive 9242.2-01B
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Preparing an evaluation package for the PEB containing
individual PERs and a Summary of PERs
Attending the PEB review meetings, serving as PEB Executive
Secretary, and presenting information contained in the
evaluation package.
Upon receipt of the PERs from each Regional EPA office, the Project
Officer should review each PER. Particular attention should be given to
comparing EPA's assessments with the contractor's assessments, whenever
possible. Discrepancies in ratings should be noted by the Project Officer
on the PER. The ?ro]ect Officer can modify the ratings in either the EPA
or contractor PERs, as appropriate. Any such modifications should be
explained in the box designated for "Coordinators Assessment."
In reviewing the PERs, the Project Officer should assess evaluation
ratings and supporting comments for consistency and clarity. If problems
are encountered, the Project Officer should resolve them through
discussions with the OSC who originated the PER.
After reviewing and commenting on each PER, the Project Officer
should sign and date the PER, and assemble it with other PERs from that
Region for submission to the PEB.
3.2 The Summary of Performance Evaluation Reports
Prior to submitting the PERs, however, the Project Officer should
prepare a Summary of Performance Evaluation Reports. Exhibit VI-4 shows
the form that should be used for this purpose. The Project Officer is
responsible for completing this Summary, which provides a quick assessment
of the contractor's overall performance. Contractor and SPA overall
ratings are listed for each Delivery Order evaluated during the period,
along with a brief description of the activities carried out under the
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OSWER Directive 9242.2-01B
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EXHIBIT VI-4
SUMMARY OF PERFORMANCE EVENT REPORTS
CONTRACT #
DELIVERY
ORDER
NUMBER
CONTRACTOR
TOTAL
HOURS
REGION EVALUATION PERIOD
FROM: TO:
RATING
EPA
CON-
TRACTOR
EVALUATION COORDINATOR
SIGNATURE
DESCRIPTIVE TITLE
OF WORK
DATE
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OSWER Directive 9242.2-01B
(10/87)
Delivery Order. Upon completion of this one-page Summary, the Project
Officer should submit it, along with the PERs, to the PEB for review. The
evaluation package must be submitted to the PEB by Day 20 of the
evaluation process.
4. PERFORMANCE EVALUATION REVIEW AND AWARD FEE RECOMMENDATION
This section discusses the role of the PEB in reviewing the Evaluation
Package submitted by the Project Officer. It also describes the method for
calculating award fee and provides an example of how this is done.
4.1 The PEB
The Performance Evaluation Board will conduct an in-depth review of
information contained in the performance evaluation package submitted by
the ERGS Project Officer. The PEB will rate the contractor on each
criterion and sub-criterion listed in Exhibit VI-3. The ob]ective.of the
PEB is to evaluate the contractor's performance and to recommend an
appropriate award fee in accordance with the contract's provisions.
The PEB will consist of a chairman, an executive secretary, and
several board members all appointed to evaluate the contractor's
performance. The EPA officials who will serve on the PEB are listed in
Exhibit VI-5. As shown, each Region must decide who will serve as
Chairman of its PEB. If Alternative 1 is chosen, it will be the Regional
Division Director or Branch Chief. If Alternative 2 is selected, it will
be the PCMD Eastern or Western Response Section Head as appropriate.
The PEB will rate the contractor on each criterion and sub-criterion
listed on the PER shown in Exhibit VI-2, based upon assessments provided
by the OSCs, Contractor Response Managers, and the SRCS Project Officer.
The PEB will then establish consensus ratings for each Region, taking into
account whether the contractor has consistently provided performance of a
high/low quality; whether the contractor has shown a substantial or
steady progression of improvement over the previous evaluation periods and
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OSWER Directive 9242.2-01B
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EXHIBIT VI-5
ERGS Performance Evaluation Board
Performance Evaluation Board for ERGS Zone Contracts
Chairman: Director, Emergency Response Division
Members: Deputy Director, Emergency Response Division {Alternative Chairman)
Eastern' or Western Section Chief,
Response Operations Branch
Regional Member (one per Region)
Cognizant Zone ERCS Contracting Officer,
Contract Specialist, or Contract Administrator
ERT Representative
Performance Evaluation Board for ERCS Regional Contracts
Alternative 1 -
Chairman: Regional Division Director or Branch Chief
Members: Cognizant Regional ERCS Contracting
Officer, Contract
Specialist, or Contract Administrator
Regional ERCS Project Officer
Senior On-Scene Coordinator
Alternative 2 -
Chairman: PCMD Eastern or Western Response Section Head
Members: Cognizant Regional ERCS Contracting Officer,
Contract Specialist, or Contract Administrator
Regional ERCS Project Officer
Senior On-3cene Coordinator
VI-1S
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OSWER Directive 9242.2-01B
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whether the contractor, although receiving a consensus rating of
satisfactory or above, has received justified substandard ratings on an
individual PER.
4.2 Award Fee Computation
The award fee earned for each award period will be computed as
follows:
The PEB shall determine the baseline award fee amount for the
midpoint of the satisfactory performance range after
establishing the probable fee amount the contractor would have
earned had the effort been performed on a Cost-Plus-Fixed-Fee
basis. In establishing the probable fee amount, the PEB shall
consider the contractor's performance and cost risks during the
period. Such risks include, but are not limited to, use of
innovative technology; urgency of actions to which the
contractor responded; cost of services provided; need to obtain
and use scarce or hard-to-obtain resources: contractor
indemnification and liability issues. The oaseline award fee
amount for satisfactory performance is the amount of available
award fee pool that, when added to the base fee amount earned by
the contractor during the period, is equal to the probable fee
amount established by the PEB.
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OSWER Directive 9242.2-01B
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Once the baseline award fee amount has been determined, the
baseline percentage for satisfactory performance shall be
calculated by determining the percentage the baseline award fee
amount for satisfactory performance is of the available award
fee amount. The baseline percentage for satisfactory
performance shall be used to determine the Performance (%) Point
ranges assigned to each rating according to the formulae set
forth in section 2.2 of this chapter.
Each PEB member evaluates contractor performance relative to
each evaluation criterion and assigns a rating and a Performance
(%) Point rating in the range assigned to the rating as
specified in Section 2.2. Individual PEB member Performance (%)
Point ratings are combined to yield a consensus Performance (%)
Point score for each criterion.
The award fee pool available in the period is multiplied by the
evaluation criteria weights yielding that period's available
award fee amount for each evaluation criterion.
For each evaluation criterion, the consensus Performance (%)
Point rating is multiplied by the award available, which yields
the amounts to be awarded for each criterion for that period.
The criterion amounts are summed, yielding the total amount to
be awarded to the contractor for the period.
A sample calculation is provided below to illustrate how this will be done:
1. Total award fee available: 379,056
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OSWER Directive 9242.2-01B
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2.
Category
Criterion
Cost
Management
Schedule
Weights
.25
.50
.25
Pool
$79
$79
$79
,056
,056
,056
Pools
= $19
= $39
= $19
,764 x
,528 x
,764 x
Consensus
Score
77%
85%
69%
Award
Amount
$15
$33
$13
,218
,599
,637
Six-Month Award Fee Total = $62,454
Following the PEB meeting at which the award fee recommendation is
reached, the Executive Secretary (Project Officer) will prepare a PEB
report that will be the official record of the PEB meeting and an award
fee letter for approval and signature by the Fee Determination Official.
This letter will inform the contractor of the amount and basis of the fee
award. The Fee Determination Official will review the PEB report and the
fee recommendation made by the PEB and make a final determination of fee.
Following final determination of the fee, the Contracting Officer will
prepare a modification to the contract implementing the award fee decision
and send it, together with the award fee notification letter, to the
contractor. The contractor will, in turn, submit an invoice for payment
of the award fee.
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CHAPTER VII
INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND
FEDERAL, STATE, AND LOCAL AGENCIES
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OSWER Directive 9242.2-01B
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CHAPTER VII
INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND
FEDERAL, STATE, AND LOCAL AGENCIES
KEY TOPICS
Page
Superfund Contractors VII-2
Technical Assistance Team (TAT) Contractors VII-4
Underground Storage Tanks (UST) Program VII-4
Remedial Planning (REM) and Field Investigation Team (FIT) VII-5
Contractors
Technical Enforcement Support (TES) Contractors VII-7
Contract Laboratory Program (CLP) VII-8
Response Engineering and Analytical Contract (REAC) VII-9
Other Federal Agencies VII-9
U.S. Coast Guard (USCG) VII-9
Other Federal Agencies VII-11
State and Local Government Agencies VII-11
VII-1
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OSWER Directive 9242.2-01B
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CHAPTER VII
INTERACTIONS WITH OTHER EPA SUPERFUND PROGRAM CONTRACTORS AND
FEDERAL, STATE, AND LOCAL AGENCIES
Interactions among the ERCS contractors, other Superfund program
contractors, and Federal, state or local agencies that complement the ERCS
contracting effort are likely to occur during implementation of a removal
action. Contractors and agencies that may interact with the ERCS contractor
are shown in Exhibit VII-1. Communication and careful coordination must be
emphasized to assure optimum use of services offered by each, as well as to
execute a smooth and timely response to the removal at hand. The following
sections briefly describe the functions of other Superfund contractors, the
situations in which the ERCS contractors may interact with these contractors
or other military or civilian entities, and basic guidelines to help
coordinate the interactions.
1. SUPERFUNP CONTRACTORS
The ERCS contractor is one of several Superfund contractors tnat 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.
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OSWER Directive 9242.2-01B
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EXHIBIT VIM
ERGS Contractor Interactions With Superfund Contractors
and Other Agencies
REMEDIAL
PLANNING
ZONE
(REM)
FIELD
INVESTIGATION
TEAM
(FIT)
TECHNICAL
ASSISTANCE
TEAM
(TAT)
UNDERGROUND
STORAGE
TANKS
(UST)
TECHNICAL
ENFORCEMENT
SUPPORT
(TES)
CONTRACT
LABORATORY
PROGRAM
(CLP)
ENVIRONMENTAL
EMERGENCY
RESPONSE
UNIT
(EERU)
SUPERFUND CONTRACTORS
ON-SCENE COORDINATORS
ERGS
CONTRACTORS
STATE AND
LOCAL
GOVERNMENTS
FEDERAL AGENCIES
U.S. COAST
GUARD
U.S. NAVY
U.S. ARMY
COE
OTHER
AGENCIES
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OSWER Directive 9242.2-01B
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1.1 Technical Assistance Team (TAT) Contractors*
The Technical Assistance Team (TAT) contracts were designed by ERD to
provide technical and management assistance to the removal response and
prevention program. TAT contractor support tasks during a response may
include the following activities:
Response monitoring
Work plan development
Response documentation
Damage assessment
Federal disaster assistance activities.
It is highly likely that the OSC will have both the ERGS contractor
and the TAT contractor on site simultaneously during a removal action.
The TAT contractor may provide support to the OSC by assisting in
monitoring the progress of the response action and by helping the OSC in
performing various cost control functions to verify and document cleanup
costs. The TAT contractor assumes only a support role in these
situations, directing all comments or recommendations concerning the work
of the ERCS contractor to the OSC. The TAT may not supervise the ERGS
contractor.
1.2 Underground Storage Tanks (UST) Program**
Under the Superfund Amendments and Reauthorization Act of 1986
(SARA), EPA's Office of Underground Storage Tanks (OUST) has been given
authority to undertake corrective action with respect to any release of
For more information about the TAT contracts and possible interactions
with the ERCS contractors, refer to the TAT Contract User's Manual or
write or call TAT Contract Project Officer, at U.S. Environmental
Protection Agency, 401 M Street, S.W., Wasnington, D.C. 20460
(FTS 382-2458).
For further information regarding the UST contracts, write or call the
Office of Underground Storage Tanks, U.S. Environmental Protection Agency,
401 M Street, S.W. , Washington, D.C. 20460 (FTS 382-4756).
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petroleum into the environment from an underground storage tank if such
action is necessary to protect human health and the environment. A
Leaking Underground Storage Tank Trust Fund (LUST) of S500 million
separate and distinct from Superfund has been established to provide funds
for these corrective actions.
In responding to petroleum releases from underground storage tanks,
the OSC in charge of the Federal response may use the ERGS contractor, as
well as the TAT contractor, to provide support in carrying out the cleanup
effort. The type of assistance provided by the ERGS contractor will be
the same as that provided under CERCLA (i.e., containment; cleanup;
disposal, etc.). It is EPA's policy that most responses will be conducted
by responsible parties, or States under cooperative agreements with EPA or
under State-authorized programs. EPA will undertake a response action
only in instances where there is a major public health emergency and where
no State or responsible party is able to respond in a timely manner.
1.3 Remedial Planning (REM) and Field Investigation Team (FIT)
Contractors*
The REM and FIT contracts provide technical and management services
necessary to successfully implement the remedial response program. The
FIT zone contractors provide support in the conduct of field
investigations (e.g., preliminary assessment and site inspection of
hazardous substance sites) in order to assess initially a site's
situation. These pre-remedial activities aid in determining the need for
removal or remedial response activities. For example, the FIT contractor
aids EPA in ranking sites for inclusion in the National Priorities List.
For further information about the REM contracts and how they relate to the
ERGS contracts, write or call: Hazardous Site Control Division, U.S.
Environmental Protection Agency, 401 M Street, S.W., Washington, D.C.
20460 (FTS 382-2339). For the FIT contracts, write or call: Hazardous
Site Evaluation Division, U.S. EPA, Washington, D.C. 20460 (FTS 475-9748)
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OSWER Directive 9242.2-0IB
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The REM contractors support the Superfund program in three major
areas:
Remedial planning activities involving the identification,
evaluation and recommendation of remedial response options
(e.g., remedial investigation and feasibility study)
Implementation of expedited response actions (ERAs) (e.g., fence
construction, drum removal) using removal authorities required
at sites that will later undergo longer-term remedial measures
Technical and management support activities, enforcement support
and community relations.
The REM and FIT zone contractors and the ERGS contractor may be
required to coordinate activities in responding to hazardous substance
releases when the response _status of a site changes (i.e., removal to
remedial or vice versa). This may occur in any of the following
situations:
A removal action is required based on the results of field
investigation activities conducted by the FIT contractor
A removal action is necessary at a site undergoing pre-remedial
activities because of unanticipated threats
Determination of a remedial action may be required after a
removal has been completed
Emergency response must be initiated based on a change in
conditions at a site where a remedial action is in progress.
EPA personnel responsible for overseeing the response and the
contractor used at a site will be determined by the site's current status
(e.g., removal response — OSC and ERGS contractor; remedial response —
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RPM and REM and FIT zone contractors). Cooperation among these
individuals is essential for a smooth transition of responsibility, an
efficient interchange of site-specific information, and a timely removal
response.
1.4 Technical Enforcement Support (TES) Contractors
The Office of Waste Programs Enforcement (OWPE) has responsibility
for compliance actions and for recovering Federal funds expended under
CERCLA, and for assuring compliance with RCRA. The Technical Enforcement
Support (TES)* contracts were awarded to assist OWPE in the following
services which include, but are not limited to:
Private investigations
Risk/exposure assessments
Responsible party searches
Title searches
Acquisition and analysis of financial records
General case development support.
The TES contracts will not duplicate the efforts of other contracts
awarded by the Office of Emergency and Remedial Response (OERR); they are
strictly enforcement contracts to provide support to OWPE.
The TES contractor may be on site during a removal conducted by an
ERCS contractor. The OSC is responsible for coordinating activities of
the two contractors to avoid duplication of efforts and to encourage the
exchange of pertinent information.
For further information on the TES contracts and situations that may
involve the ERCS contractor, write or call Office of Waste Programs
Enforcement, U.S. Environmental Protection Agency, 401 M Street, 5.W.,
Washington, D.C. 20460 (FTS 382-4830).
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1.5 Contract Laboratory Program (CLP)
The Contract Laboratory Program (CLP) was established by EPA in 1979
to provide chemical analytical support in the investigation 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 response actions.
In emergency situations, an OSC normally will not use the CLP because
it is difficult for the CLP to provide a 24-hour turnaround time for
sample analyses. However, the OSC may be able to use the CLP analytical
services when the request lead time is sufficient and the data turnaround
time for sample results is greater than 24 hours.
'^ork conducted by the CLP is coordinated by the Sample Management
Office (SMO)* through the EPA Regional Sample Control Center (RSCC). The
SMG has developed a manual entitled User's Guide to the Contract
Laboratory Program which describes procedures for using the CLP and
provides a complete description of all analytical services, sample
requirements, and reports offered under the program.
Additional information on alternative Superfund sample analysis
resources available to the removal program is described in the EPA
memorandum "Analytical Support for Superfund", Director of OERR,
March 20, 1986.
For further information about the CLP, write or call: CLP-Mational
Program Manager, Hazardous Site Evaluation Division, 'J.S. Environmental
Protection Agency, 401 M Street, S.W., Washington, D.C. 20460,
FTS-382-7906.
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OSWER Directive 9242.2-01B
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1.6 Response Engineering and Analytical Contract (REAC)
As of mid-September 1987, the Response Engineering and Analytical
Contract (REAC) will provide support to the Environmental Response Team.
REAC will supply engineering consultation, sampling and analysis, an
analytical mobile laboratory, treatability studies, specialized treatment
equipment, and logistical support. Should REAC be requested to assist in
responding to a hazardous substance release where an ERCS contractor is
also on scene, all efforts of REAC and the ERCS contractor will be
coordinated by the OSC.*
2. OTHER FEDERAL AGENCIES
The services of the ERCS zone contractors are available to other Federal
agencies in addition to EPA via Inter-Agency Agreements (lAGs). A few
examples of situations where the ERCS zone contractors may be called upon by
other agencies are discussed in the following sections-,
2.1 U.S. Coast Guard (USCG)
Under a Memorandum of Understanding (MOU) between EPA and USCG
(Note: the MOU had not been signed as of this printing), the USCG can
access the ERCS zone contracts through EPA's ERCS Contracting Officer and
can use the contractors in response to the release or threat of release of
hazardous substances in the Coastal Zone, Great Lakes waters, and ports
and harbors. Situations in which the USCG may use the ERCS zone
contractors include:
For further information about REAC, contact the Environmental Response
Branch, U.S. EPA, Edison, MJ [(201) 321-6740 or FTS 340-6740].
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OSWER Directive 9242.2-01B
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Responses to releases or threats of releases from vessels
Removal actions concerning releases or threats of releases at
active or inactive hazardous waste management facilities when a
USCG OSC determines that such action must be taken pending the
arrival of an EPA OSC
Removal actions concerning releases or threats of releases at
facilities other than active or inactive hazardous waste
management facilities.
The Memorandum of Understanding between EPA and USCG describes the
procedures the USCG must use in activating, supervising, and monitoring
the ERGS zone contractor. When the USCG uses the ERCS zone contractor for
a cleanup operation, the ERCS contractor Response Manager is under the
direction of a USCG-designated OSC.
In addition, during an EPA-lead removal the EPA OSC may request the
services of the USCG National Strike Force (NSF) (i.e.. Pacific and Gulf
Strike Teams) to conduct removal actions. The Strike Teams are an
important Federal resource that can provide OSCs with experienced
personnel and sophisticiated equipment to assess, implement, and monitor
actions taken in response to hazardous substance releases.
Members of the NSF maintain a stock of specialized equipment for
deployment anywhere in the nation and in some cases overseas. This
equipment includes open water oil contaminant and recovery systems, high
capacity pumps for transferring oil and some cnemicais, and protective
clothing for v/ork with hazardous materials. Diving equipment along with
trucks, trailers, mobile command posts, communications gear and other
support equipment complete the MSF inventory. Most of this equipment is
designed to fit into Coast Guard C-130 cargo planes or load onto flatbed
trucks for fast response.
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OSWER Directive 9242.2-01B
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2.2 Other Federal Agencies
Federal agencies other than EPA, such as the U.S. Army Corps of
Engineers (COE) and the U.S. Navy, may benefit from the services of the
ERGS zone contractors. Designated non-EPA officials may access ERGS
resources through the EPA ERGS Contracting Officer. The ERGS Contractor
Response Manager will be under the direction of these authorized officials.
In addition to those Federal agencies that may call on the services
of the ERGS zone contractors, other Federal agencies may be present during
a removal response. These may include representatives from the Agency for
Toxic Substances and Disease Registry (ATSDR), The National Institute of
Occupational Safety and Health (MIOSH) and the Federal Emergency
Management Agency (FEMA). Interaction between the ERGS zone contractors
and these representatives shall be mediated by the EPA OSC.
3. STATE AND LOCAL GOVERNMENT AGENCIES
A state or local agency may be performing contractual or non-contractual
work for an OSC when a removal is required and an ERGS contractor arrives on
site. The state or local agency may be performing such duties as installing
water lines, operating heavy construction equipment, or providing safety,
security and traffic control. In such situations, the OSC is responsible for
coordinating the work conducted by the ERGS contractor with the state or local
agency to ensure that an efficient removal is accomplished.
The ERGS contractor Response Manager may find it necessary to contract the
use of equipment owned by a state's transportation department, or to tap city
water lines to prevent well-water users from exposure to toxic chemicals in
groundwater. In situations such as these, the ERGS contractor Response
Manager, under the direction of the OSC, is responsible for arranging the
required services. The ERGS contractor Response Manager is also responsible
for securing any rights-of-way required, obtaining any state or local permits,
and adhering to all state and local regulations and ordinances.
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OSWER Directive 9242.2-01B
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Two different contract forms can be used by EPA to procure services from a
state or local government. The first is known as an "Order for Services" and
is used when the total contract will not exceed $2,500. The second is a
"Letter Contract" and is used when the services are estimated to exceed 32,500
but not more than $10,000, unless authorized by the Contracting Officer. For
further information on these two types of contracts and their advantages and
disadvantages, consult "EPA Superfund Emergency Contracting Procedures", PCMD,
October 9, 1985.
This chapter described the responsibilities of the ERCS contractors as
they interact with other agencies and contractors involved in the Superfund
program. This concludes the textual portion of the users' manual. Following
this section are the appendices, glossary, and bibliography for further
clarification of and references for the text material.
VII-12
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OSWER Directive 9242.2-01B
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APPENDIX A
ERGS ZONE CONTRACTS
STATEMENT OF WORK
The following statement of work applies to eacn EPA zone. Zone One
consists of EPA Regions I through III, Zone Two consists of EPA Region IV,
Zone Three consists of EPA Region V, and Zone Four consists of EPA Regions VI
through X.
The contractor shall provide all personnel, materials, and equipment types
specified by the Ordering Officer in quantities specified in delivery orders
to conduct removals of oil, petroleum, and hazardous substances releases
conducted under Section 311 of the Clean Water Act and Section 104 of the
Comprehensive Environmental Response, Compensation and Liability Act of 1980
as amended by Superfund Amendments and Reauthorization Act of 1986 (SARA), and
Subtitle I of the Resource Conservation and Recovery Act as amended by SARA of
1986. The contractor shall also provide all necessary administrative and
supervisory personnel to ensure that cleanup personnel are available on a
24-hour-a-day basis and that responses are conducted in accordance with the
specifications of Federal On-Scene Coordinators (OSC) or other designated
Federal officials. The contractor shall provide such services by establishing
an organization consisting of a Zone Program Manager and as-needed Zone
Response Managers. The Program Manager shall retain, maintain, and support a
zone network of cleanup personnel, equipment and materials and supervise
Response Managers. Response Managers shall manage and supervise cleanup
personnel, equipment and materials on-scene and ensure that responses are
conducted in exact accordance with OSC or other designated Federal official
instructions.
The EPA Pro]ect Officer and regional Deputy Pronect 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
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OSWER Directive 9242.2-0IB
(10/87)
work. Ordering Officers will include OSCs and other designated Federal
officials. OSCs and other designated Federal officials will direct the
execution of the Delivery Order through the Response Managers. Support shall
be provided to Federal OSCs (EPA, U.S. Coast Guard, or other) and other
designated Federal officials located in each EPA Region or Coast Guard
District Office in the contractor's zone. All cleanup activities will be
conducted in accordance with the National Contingency Plan (40 CFR Part 300).
The contractor shall provide all personnel, material, and equipment types, as
specified in Delivery Orders. These items shall be provided to any zone
location within the response time limits specified in Appendix C, or longer as
specified in the Delivery Order. The contractor shall not be precluded from
providing these items in less than the response time limits specified in
Appendix C. To accomplish this scope, the contractor shall perform the
following functions:
I. PROGRAM MANAGEMENT
A. The contractor shall designate a Program Manager and provide support
staff, facilities, and administrative capabilities as needed to ensure the
successful and efficient accomplishment of this Statement of Work. The
Program Manager (or designee) shall be the single point of contact for
coordination with the EPA Project Officer (PO) and Deputy Project Officer
(DPO), and shall be responsible for receiving and managing the implementation
of all Delivery Orders under this contract. Specific management
responsibilities of the Program Manager shall include but may not be limited
to the following:
1. Maintaining close communications and coordination with EPA PO and
DPO, including reporting any and all problems encountered in
performing Delivery Orders and implementing any special controls
specified by EPA.
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OSWER Directive 9242.2-01B
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2. Retaining and managing the distribution of cleanup personnel,
equipment, and materials so that all necessary items are available at
any zone location within the response time limits specified in
Appendix C and elsewhere.
3. Receiving and implementing Delivery Orders issued by the Ordering
Officers.
4. Designating a Response Manager for each separate cleanup action to
work directly with the OSC or other designated Federal official on
scene.
5. Providing overall supervision and administrative support to all
Response Managers.
6. Maintaining a response-by-response accounting of all costs incurred
in accordance with reporting requirements, and controlling costs at
all levels of work.
7. Developing procedures and forms as necessary to enable uniform record
keeping and program management documentation.
8. Preparing and submitting all reports as specified in the contract
schedule.
9. Completing special reports or studies pertaining to the contract
effort as requested by EPA.
10. Developing, implementing, and managing a quality assurance program
that will ensure that all environmental measurements obtained are of
known quality. Developing, implementing, and managing a quality
assurance project plan for each separate cleanup action in which
environmental measurements will be made. Ensuring that the
performance of assigned tasks adhere to all quality assurance program
and project plan requirements as well as EPA Region-specific quality
assurance requirements.
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OSWER Directive 9242.2-01B
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11. Obtaining special services in a timely and cost efficient manner,
such as specialized cleanup equipment or personnel upon direction
from the Ordering Officer.
12. Implementing a comprehensive program safety plan to protect all
cleanup personnel.
13. Providing and maintaining a twenty-four-hours-per-day, seven-days-
per-week zone call center to provide Ordering Officers with immediate
access to cleanup services.
B. For each cleanup action Delivery Order issued to the contractor, the
Program Manager shall designate a Response Manager. This Response Manager
shall be fully dedicated to the specific cleanup action for the duration of
the response, unless substitutions are approved by the OSC or designated
Federal official. The Response Manager shall be the single point of contact
for on-scene coordination, and shall be responsible for the management and
execution of all cleanup activities in exact accordance with the
specifications of an CSC or otner 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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FIGURE A-1
ERCS Contract Management Structure
OTHER FEDERAL
ORDERING OFFICERS
ERCS
PROJECT OFFICER
111111111
DEPUTY/REGIONAL
PROJECT OFFICERS
EPA OSC«/
ORDERING OFFICERS
111111111111111111111
CONTRACTING
OFFICER
PROGRAM
MANAGERS
RESPONSE
MANAGERS
• FEDERAL GOVERNMENT INTERACTION
' CONTRACTOR/GOVERNMENT INTERACTION
HEADQUARTERS/CORPORATE MANAGEMENT
REGIONAL MANAGEMENT
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OSWER Directive 9242.2-01B
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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 of assigned tasks adheres to all
quality assurance, quality control and cham-of-custody procedures
specified in the QA program and project plans and in accordance with
EPA Region-specific QA requirements. The quality assurance program
will insure that all environmental measurements obtained are of known
quality.
7. Providing the OSC or other designated Federal official with a
detailed accounting of all cost incurred at a specific site in a
format and frequency specified in the delivery order.
8. Implementing a comprehensive response action safety plan to protect
all contractor cleanup personnel.
II. PROGRAM CLEANUP OPERATIONS
The contractor shall provide cleanup services for spills of oil and for
immediate or planned removals and initial remedial measures for hazardous
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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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A. Containment and Countermeasuras
Defensive actions shall be taken to protect the public health and welfare,
which shall include but may not be limited to: sampling and analysis to
determine the source, spread, and disposal options of a release; containing
the release at its source and preventing further acute flow of the pollutant;
controlling the source of discharge; using chemicals or other materials to
restrain the spread of the pollutant; placing physical barriers to deter the
spread of a pollutant; constructing slurry trenches; placing diversionary
booms; earth moving; drum handling; containerizing pollutants; diverting
streams; keeping waterfowl and other wildlife away from the polluted areas;
controlling water discharge from upstream impoundments; providing alternative
drinking water supplies on a temporary basis; providing temporary housing for
evacuees; providing traffic, crowd, and navigation controls; providing
security; and executing damage control or salvage operations.
B. Cleanup, Mitigation and Disposal
Actions shall be taken to recover the pollutant from the affected media.
These actions shall include but may not be limited to: using chemicals for
flocculation, coagulation, neutralization and separation; using biological
treating agents; physical and chemical treatment of affected water and soil;
using specialized equipment such as mobile carbon treatment systems; aerating
affected media to selectively release volatile components; fixing or treating
the polluted media in place; salvaging or destroying vessels; and destroying
contaminated equipment and facilities.
In lieu of or following any treatment action, physical collection of
pollutants shall be accomplished followed by temporary storage prior to
ultimate disposal. Work conducted shall include but may not be limited to
flushing contaminants from marsh areas followed by collection and holding;
skimming materials from the surface of water; washing soils with subsequent
collection and storage of recovered material; pumping contaminated groundwater
with subsequent storage; and segregating waste chemicals at uncontrolled
hazardous waste sites.
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Following removal and temporary storage, any contaminated material shall
be disposed of consistent with all appropriate Federal, State and local
regulations. The OSC - shall have the option to accomplish disposal through
this contract or through other contractual mechanisms, at his discretion.
Disposal shall be conducted on-site or off-site. Disposal techniques shall
include but may not be limited to: controlled or uncontrolled combustion,
land disposal, fixation, injection, degradation, and recycling. The disposal
operations shall include temporary storage and ultimate disposal. Depending
upon the material contaminated, disposal operations shall also include
demolition.
All storage, transportation, treatment and disposal of pollutants shall be
accomplished meeting all regulatory, safety and environmental laws and
regulations at the Federal, State, and local level. The contractor shall be
responsible for all necessary transportation and disposal permits.
C. Restoration
Activities shall be taken to repair or replace material damaged by the
cleanup operations and actions to restore the damaged environment to as near
pre-emergency conditions as possible. Such actions shall include but may not
be limited to restocking, regrading, reseeding, replanting and soil
replacement.
D. Analytical
On-site and off-site analytical activities shall be taken on a rapid
turn-around basis (24 hours or less) to provide chemical and analysis or high
sample quantity volume analyses, to include but not limited to pH, flash
point, oxidation reduction, organic vapor analysis, TOG sulfides, and TOG
phenols. This shall include sample collection, storage, transportation,
analysis and disposal.
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APPENDIX B
RESPONSE TIME LIMITS*
The contractor is reqvired to have all items of equipment, material and
personnel specified in rapid response time personnel, equipment and materials
available at any zone location within the following response time limits.
These items may be provided in response times longer than those indicated, if
specified in the Delivery Order. The contractor is not precluded from
providing these items in less than these response time limits.
A. 1. The contractor shall provide rapid response time personnel, equipment
and materials in EPA Region 1 of ERGS Zone 1 within 1 hours of the
receipt of a written or oral Delivery Order within a 50-mile radius,
or 3 hours within a 100 mile radius, of the following cities:
Portland, Maine
Boston, Massachusetts
New Bedford, Massachussetts
Hartford, Connecticut
Mew Haven, Connecticut
Burlington, Vermont
2. The contractor shall provide rapid response-time personnel, equipment
and materials within 4 hours of the receipt of a written or oral
Delivery Order for all other areas in EPA Region 1 of ERGS Zone 1.
B. 1. The contractor shall provide rapid response time personnel, equipment
and materials within 1.5 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:
50 mile radius of New York City, Mew York (from Columbus Circle)
* ERGS Zone Contracts only (response time limits for other prime contracts
will be specified as those contracts are awarded).
3-1
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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 ERGS Zone 1:
50 mile radius of Albany, Mew York (measured from State Capital
building).
75 mile radius of Rochester, Mew York (measured from the Federal
Building).
Remainder of Long Island, New York, not covered in B.I. above.
Lake George, Mew York (in its entirety).
20 mile radius of Syracuse, Mew 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 Slmira, New York (measured from junction of
Mew York Rtes. 17 and 14).
B-2
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20 mile radius of Mewburgh, 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. 37 and 587).
20 mile radius of Utica, New York (measured from the junction of
New York Rtes. 90 and 12).
20 mile radius of Watertown, New York (measured from the
junction of New York Rtes. 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 Mew Jersey not specified in item B.I above.
4. The contractor shall provide rapid response time personnel, equipment
and materials within 3.5 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:
10 mile radius of Fa]ardo, Puerto Rico (measured from junction
of Puerto Rico Rtes. 3 and 195).
20 mile radius of Guayamila, Puerto Rico (measured from
junction of Puerto Rico Rtes. 2 and 3852).
B-3
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20 mile radius of Mayaguez, Puerto Rico (measured from junction
of Puerto Rico Rtes. 2 and 106).
20 mile radius of Arecibo, Puerto Rico (measured from junction
of Puerto Rico Rtes. 2 and 10).
25 mile radius of Guayama, Puerto Rico (measured from junction
of Puerto Rico Rtes. 3 and 15).
5. The contractor shall provide rapid response time personnel, equipment
and materials within 4 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:
Remainder of New York not specified in B.I through 4 above.
6. The contractor shall provide rapid response time personnel, equipment
and materials within 5 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 2 of ERGS Zone 1:
Remainder of Puerto Rico and U.S. Virgin Islands not specified
in B.2 and 4 above.
C. 1. The contractor shall provide rapid response time personnel, equipment
and materials within 2 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:
25 mile radius of Philadelphia, Harrisburg and Pittsburgh,
Pennsylvania.
25 mile radius of Morfolk, Richmond, and Roanoke, Virginia; and
Washington, D.C.
12 mile radius of Winchester, Virginia.
25 mile radius of Baltimore, Maryland.
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2. The contractor shall provide rapid response time personnel, equipment
and materials within 3 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:
25 mile radius of Scranton, Allentown, Erie and the Alleghany
National Forest, Pennsylvania.
State of Delaware.
50 mile radius of Pittsburgh and Warren, Pennsylvania and
Charleston, West Virginia.
3. The contractor shall provide rapid response time personnel, equipment
and materials within -i hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:
Remainder of Pennsylvania and Maryland not specified above.
4. The contractor shall provide rapid response time personnel, equipment
and materials within 5 hours of the receipt of a written or oral
Delivery Order for the following areas in EPA Region 3 of ERGS Zone 1:
Remainder of West Virginia and Virginia not specified above.
ERGS ZONE 2
A. The contractor shall provide rapid response time personnel, equipment and
materials within 2.5 hours of the receipt of a written or oral Delivery
Order within a 50 mile radius of the following ERGS Zone 2 cities:
ALABAMA
Mobile
Montgomery
Birmingham
3-=
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FLORIDA
Jacksonville
Tampa
Miami
Pensacola
Orlando
GEORGIA
Atlanta
Savannah
KENTUCKY
Louisville
Paducah
NORTH CAROLINA
Asheville
Charlotte
Raleigh-Durham
Wilmington
MISSISSIPPI
Jackson
Natchez
SOUTH CAROLINA
Columbia
Greenville-Spartanburg
Charleston
TENNESSEE
Memphis
Knoxville
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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 ERGS Zone 2.
ERGS ZONE 3
A. The contractor shall provide rapid response time personnel, equipment and
materials within 3 hours of the receipt of a written or oral Delivery
Order for the following ERCs Zone 3 areas:
St. Louis County, Minnesota, South of Latitude 47
Carlton County, Minnesota
Douglas County, Wisconsin
Anoka County, Minnesota
Hennepin County, Minnesota
Ramsey County, Minnesota
Milwaukee County, Wisconsin
Waukesha County, Wisconsin
Lake County, Illinois
Cook County, Illinois
Dupage County, Illinois
Lake County, Indiana
Marion County, Indiana
Madison County, Illinois
St. Clair County, Illinois
Saginaw County, Michigan
Bay County, Michigan
Midland County, Michigan
Oakland County, Michigan
Wayne County, Michigan
Monroe County, Michigan
Lucas County, Ohio
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Cuyahoga County, Ohio
Franklin County, Ohio
Hamilton County, Ohio
B. The contractor shall provide rapid response time personnel, equipment and
materials within 12 hours of the receipt of a written or oral Delivery
Order for the following ERGS 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.
ERGS'ZONE 4
A. The contractor shall provide rapid response time personnel, equipment and
materials for all areas of EPA Region 6 of ERCS Zone 4 within 6 hours of
the receipt of a written or oral Delivery Order.
B. 1. The contractor shall provide rapid response time personnel, equipment
and materials for the Department of Commerce 1980 Standard
Metropolitan Statistical Area (SMSA) for Kansas City within 2 hours
of the receipt of a written or oral Delivery Order.
2. The contractor shall provide rapid response time personnel, equipment
and materials for the St. Louis, Missouri SMSA within 3 hours of the
receipt of a written or oral Delivery Order.
3. The contractor shall provide rapid response time personnel, equipment
and materials within 4 hours of the receipt of a written or oral
Delivery Order for the following SMSA locations in EPA Region 7 of
ERCS Zone 4:
B-8
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Des Moines, Iowa
Omaha, Nebraska
Wichita, Kansas
Springfield, Missouri
4. The contractor shall provide rapid response time personnel, equipment
and materials within 6 hours of the receipt of a written or oral
Delivery Order for the remainder of EPA Region 7 of 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 4:
Sacramento, California
San Jose, California
Anaheim/Santa Ana/Garden Grove, California
Los Angeles/Long Beach, California
Riverside/San Bernardino/Cntario, California
Pheonix, Arizona
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2. The contractor shall provide rapid response time personnel, equipment
and materials within 3 hours of the receipt of a written or oral
Delivery Order for Oahu, Hawaii.
3. The contractor shall provide rapid response time personnel, equipment
and materials within 3 hours of the receipt of a written or oral
Delivery Order plus transportation time from Oahu for the remainder
of the Hawaiian Islands not specified in D.2 above, and for the
Pacific Trust Territories.
4. The contractor shall provide rapid response time personnel, equipment
and materials within 6 hours of the receipt of a written or oral
Delivery Order for the remainder of EPA Region 9 of ERGS Zone 4 not
specified in D.I through 4 above.
E. 1. The contractor shall provide rapid response time personnel, equipment
and materials within 3 hours. of the receipt of a written or oral
Delivery Order for the following SMSA locations in EPA Region 10 of
ERGS Zone 4:
Seattle, Washington
Portland, Oregon
2. The contractor shall provide rapid response time personnel, equipment
and materials within 24 hours of the receipt of a written or oral
Delivery Order for the State of Alaska.
3. The contractor shall provide rapid response time personnel, equipment
and materials within 6 hours of the receipt of a written or oral
Delivery Order for the remainder of EPA Region 10 of ERGS Zone 4.
B-10
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APPENDIX C
DESCRIPTION OF ALLOWABLE AND UNALLOWABLE CONTRACTOR CHARGES
(ZONE 4 ONLY)*
Fixed Rates
Labor rates are listed for the prime contractor and named subs.
Rates DO NOT apply for contractors not listed by name. Labor
categories are in most cases broken down into "Levels." These rates
by levels will be charged to each site depending on the individual's
yearly salary that is performing the work. The salary ranges are
listed in clause B.3 paragraph 11 of the contract. It is not
expected that you need to know the individual's annual salaries
working on your site(s) but the contractor shall tell you what Level
an individual is and will be charged at on your ]obs when asked by
you.
All rates listed are fixed price ra.tes and include the contractors'
and subcontractors', burden rates and profit. You should NEVER see
any additional percentages or costs added when a fixed price rate is
used.
Equipment rates listed are only applicable for the contractor named
and then only for use when that contractor is using his OWN
equipment. If contractors are not listed by name, these provisional
rates shall apply if the equipment they are using is owned by them.
Equipment provisional rates may be adjusted at a later time if a
contractor can substantiate his cost to the satisfaction of the
Government. If equipment is rented, the cost of the rental shall be
charged to the Delivery Order. Rental costs shall have the
contractor 3 3&A rate added to them, which is a provisional rate.
*This Appendix provides information on the Zone 4 Contract only and is
intended to be illustrative only. Allowable and unallowable charges for the
Zone 1, 2, and 3 contracts will vary from the examples provided here. Each
contract should be consulted for details.
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The provisional rate will be adjusted to the actual rate each year,
which means your site costs may go up or down depending on what the
actual rate comes in at.
Both labor and equipment rates will be effective for the period in
which the work is performed. Wo longer will rates be effective for
an entire job if the period of performance crosses into another
period. The only exception is if a job crosses into another period
by not more than 30 days, then the rates in effect for the original
period of performance would remain in effect. NOTE: The 30 days
would be at the new period rates if the existing job crosses into
another period by more than 30 days.
Overtime rates will be paid after eight hours of work in one day and
after 40 hours per week. You shall be notified by the contractor
before he uses employees for which overtime will be charged and the
OSC or CO must authorize overtime BEFORE it is incurred.
Equipment rates listed do not include operators' time.
There are to be NO charges by the contractor or ANY of its subs for
mobilization and demobilization because costs are included in the
fixed rates.
Travel and Per Diem
Travel and Per Diem cost shall be billed at actual costs plus G&A for
the contractor and at cost only for any subcontractors. Costs shall
be in accordance with Federal Travel Regulations or Joint Travel
Regulations and a receipt for all items above $25.00 is required.
Standby Rates
Standby rates may be charged from time to time only when ordered "on
standby" by the OSC. Standby rates will only be charged by the
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OSWER Directive 9242.2-01B
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contractor for its OWN equipment when applicable,
Other Direct Costs
You should NOT see a direct charge for any of the following items on
your jobs. The cost associated with all of these items is included
in the labor and equipment rates in this contract.
Cascade systems
Full face respirators
Half face respirators
Hard hats
Oil, grease, etc. necessary for operation of equipment
Mileage, breathing air and all other "surcharges"
Hand tools (including non-sparking)
Portable communication radio
Trash bags
Electric, duct, and CAUTION, tapes
pH paper
Drum/barrel punch (small for sampling)
Drum/barrel punch (large for emptying drums)
Welding stand
Sampling tools (i.e., stainless steel pails, pans, and trowels)
Maintenance vehicle/truck
Barrel cart
Metal detector
Portable eye wash
Cutting torch
Chain saw
pH meter
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Personal Protective Items as follows:
Coveralls
Chemical resistant steel toe and shank boots
Long cotton underwear
Pressure-demand self-contained breathing apparatus
Fully encapsulating chemical resistant suit
2-way radio communication/portable
Face shield for hard hat
Escape mask
Mose cup
Outer gloves, chemical resistant
One- or two-piece chemical splash suit
Any item with an acquisition cost of less than 3500-31,000 that the
contractor expenses in its indirect accounts in accordance with its
accounting system.
You WILL see direct charges for any of the following items if used on
your ]obs. These items will be charged at cost plus the applicable
burden rate for Contractors and 0% for any subs.
Security guards
Fencing
Passenger cars and vans
Sorbent pads
Sorbent bag
Sorbent sweep
Sorbent loose
Containment booms (i.e., 4"-6" skirt and 12"-18" skirt)
Boom anchors
Passive dosimeter
VGA bottles
Tank patch kit
3-4
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OSWER Directive 9242.2-01B
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Amber jugs 1/2 gallon
Glass tubes 16mm x 4'
Stainless steel spoons
Vermiculite
Paint cans 1 gal. w/lids
Pollution cans
DOT labels
Neutralizing acids
Neutralizing bases
Lime
Activated carbon
Calcium carbonate
Hydrogen peroxide
Alconox
Trichloroethylene
Acetone
Hexane
Sodium hypochlorite
Visquene (4 mil, 20' x 100')
Dry chemical fire extinguisher (125 Ibs)
Emergency oxygen
Oil dry
Silica sand
Mash sanitizer
Split spoon soil sampler
Portable ground fault circuit interrupters
All-terrain vehicles
Pool liners
Drums, all sizes
Pumps, all types, unless listed in Article B.I.
Personal protection items as follows:
Disposable coveralls/suits
Cannisters/cartridges for respirators
C-5
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OSWER Directive 9242.2-01B
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Inner gloves, chemical resistant
Outer boot covers
Fuel
Material
Items owned or rented by the contractor or subcontractors listed in
Article B.I. for which fixed rates are not established.
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APPENDIX D
RCRA CONTACTS
COMPLIANCE STATUS OF RCRA DISPOSAL FACILITIES
Region
Contact
Phone Numbe r
Linda Murphy, Chief
MA Waste Management Branch
FTS 8-223-5655
(617) 223-5655
Ira Leighton, Chief FTS 8-835-3694
CT and ME Waste Management Branch (617) 565-3694
Dennis Huebner, Chief
VT, RI and MH Waste Management
Branch
FTS 8-835-3626
(617) 565-3626
II
Joel Golumbek, Chief FTS 3-264-6151
Hazardous Waste Compliance Branch (212) 264-6151
III
Peter Schaul, Chief
RCRA Enforcement Section-PA
FTS 8-597-8334
(212) 597-3334
John Armstead, Chief
RCRA Enforcement Section-
DE, MD, VA, Washington DC and
West Virginia
FTS 8-597-3039
(215) 597-3039
IV
Allan Antley. Chief
Waste Compliance Section
FTS 3-257-7603
(404) 347-7603
V
Bill Muno, Chief
RCRA Enforcement Section
FTS 3-886-4434
(312) 386-4434
D-l
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APPENDIX D (Continued)
Region
Contact
Phone Number
VI
Bill Taylor, Chief
RCRA Enforcement Section
FTS 3-255-6775
(214) 655-6775
VII
David Doyle, Chief
RCRA Compliance Section
FTS 8-757-2891
(913) 236-2891
Luetta Flournoy, Chief
Iowa Section
FTS 757-2888
(913) 236-2888
VIII
Diana Shannon, Chief
RCRA Compliance Section
FTS 8-564-1500
(303) 293-1500
IX
Karen Schwinn, Chief
RCRA Enforcement Section
FTS 3-454-3129
(4.15) 974-3129
X
Chuck Rice, Chief
RCRA Enforcement Section
FTS 3-399-0695
(206) 442-0695
D-2
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GLOSSARY
activity: a group of tasks that together comprise a segment(s) of the
sequence of events undertaken in determining, planning, and completing a
response to a release or potential release of a hazardous substance.
Activities include, for example, remedial investigation, feasibility study,
remedial design, and remedial construction.
allocation: the amount of funding provided to a Region for all removal
activities.
allowance: an amount established during the budgeting process signifying the
level of resources at which an organization can operate. An allowance serves
as an unofficial spending limit from which commitments and obligations are
withdrawn.
allowable costs: costs that are eligible, reasonable, necessary and aliocable
and that are permitted under the appropriate Federal cost principles, in
accordance with EPA policy. For example, allowable costs might include
contractual services, response by State employees (under a Cooperative
Agreement or contract), materials and supplies, equipment, and other direct
and indirect costs.
cleanup: actions undertaken during a removal or remedial response to address
a release of hazardous substances that poses a threat or potential threat to
human health and welfare, the environment and/or real and personal property.
Cleanup activities may include removal and disposal of contaminated material,
provision of alternate water supplies, on-site monitoring and temporary
evacuation and relocation of threatened individuals. Sites are considered
cleaned up when EPA removal or remedial programs have no further expectation
or intention of returning to the site and threats have been mitigated or do
not require further action.
disposal: the discharge, deposit, injection, decomposing, spilling, leaking
or placing of any solid waste or hazardous waste into or on any land or water
1
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so that such substances or any constituent thereof may enter the environment
or be emitted into the air or discharged into any waters, including ground
waters.
Emergency Response Cleanup Services (ERGS) Contracts: contracts awarded to
contractors who provide specific services, equipment and materials to conduct
emergency response cleanups of hazardous substance and oil releases under the
direction of OSCs.
EPA lead: means that the EPA has primary responsibility for planning and
conducting either part of or an entire removal or remedial action.
expenditure/expense: means the incurring of a liability or a payment of
cash. The term(s) is often used synonymously with "disbursement" or "outlay."
facility: (a) any building, structure, installation, equipment, pipe or
pipeline (including any pipe into a sewer or publicly owned treatment works),
well, pit, pond, lagoon, impoundment, ditch, landfill, storage container,
motor vehicle, rolling stock, or aircraft, or (b) any site or area where a
hazardous waste has been deposited, stored, disposed of, placed or otherwise
came to be located; but does not include any consumer product in consumer use
or vessel.
feasibility study: a study intended to a) evaluate alternative remedial
actions from a technical, environmental, and cost-effectiveness perspective,
b) recommend the cost-effective remedial action, and c) prepare a conceptual
design, cost estimate for budgetary purposes, and a preliminary construction
schedule.
hazardous substance: hazardous substance means (a) any substance designated
pursuant to Section 31i(b) (2) (A) of the Federal Water Pollution Control Act,
(b) any element, compound, mixture, solution, or substance designated pursuant
to Section 102 of this Act, (c) any hazardous waste having the characteristics
identified under or listed pursuant to Section 3001 of the Solid Waste
Disposal Act (excluding any waste the regulation of which under the Solid
Waste Disposal has been suspended by Act of Congress), (d) any toxic pollutant
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•OSWER Directive 9242.2-01B
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listed under Section 307(a) of the Federal Water Pollution Control Act, (e)
any hazardous air pollutant listed under Section 112 of the Clean Air Act, and
(f) any imminently hazardous chemical substance or mixture with respect to
which the Administrator [EPAj has taken action pursuant to Section 7 of the
Toxic Substance Control Act. The term does not include petroleum, including
crude oil or any fraction thereof which is not otherwise specifically listed
or designated as a hazardous substance under Subparagraphs (a) through (f) of
this paragraph, and the term does not include natural gas, natural gas
liquids, liquefied natural gas or synthetic gas usable for fuel (or mixtures
of natural gas and such synthetic gas).
incident: a release or potential release of oil or hazardous substance at a
waste site, abandoned facility or fixed operating facility, or resulting from
a transportation-related accident or deliberate dumping.
Incident Obligation Log: a log that may be kept during a removal action to
provide the OSC with an accurate record of daily charges and an estimate of
total project funds available.
invoice package: a package prepared by the ERCS contractor for the ERGS DPO
on a monthly basis consisting of one invoice for each removal project
conducted for the previous billing period and one cost accounting form
itemizing costs for each removal project conducted for the previous billing
period.
Memorandum of Understanding (MOU): an agreement between the EPA and another
agency (Federal, State, or local) that sets forth basic policies and
procedures governing the relationship on matters of mutual interest and
responsibility. There is no exchange of funds under this type of agreement.
National Contingency Plan (MCP): officially known as the National Oil and
Hazardous Substances Pollution 3ontingency Plan, the MCP outlines the
responsibilities and authorities for responding to releases into the
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OSWER Directive 9242.2-01B
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environment of hazardous substances and other pollutants and contaminants
under the statutory authority of CERCLA and section 311 of the Clean Water Act
(CWA).
National Priorities List: a list of the highest priority releases or
potential releases of hazardous substances, based upon State and EPA Regional
submissions of candidate sites and the criteria and methodology contained in
the Hazard Ranking System (HRS), in order to allocate funds for remedial
actions.
obligation: the amount of orders placed, contracts awarded, services
received, and similar transactions during a given period that will require
payments during the same or a future period. These will include outlays for
which obligations have not been previously recorded and will reflect
adjustments for differences between previously recorded ooligations and actual
outlays to liquidate those obligations (OMB Circular A-J4).
On-Scene Coordinator (OSC): the Federal official predesignated by the EPA or
the USCG to coordinate and direct a Federal response under -the National Oil
and Hazardous Substances Pollution Contingency Plan (NCP); or the DOD official
designated to coordinate and direct the removal actions from releases of
hazardous substances or pollutants or contaminants from DOD vessels and
facilities.
Ordering Officer: the EPA-designated Federal official, listed in the
administrative recitals of each ERCS contract, who has been delegated
authority to place orders against the ERCS zone contracts. The role may be
assumed by EPA OSCs, EPA Remedial Project Managers, and other designed Federal
officials.
POLREP: reports submitted by the OSC to EPA Headquarters (RRT) 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).
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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 ERCS contractor official who serves as the single point
of contact for coordination with the EPA HQ Project Officer and Regional
DPOs. He receives and is responsible for managing and implementing all
Delivery Orders.
project: a group of activities conducted at a site intended to
eliminate/remedy a release or potential release of a hazardous substance which
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.
project ceiling: represents the total funding approved for a removal action
and is established in the initial removal Action Memorandum. The total
project ceiling is comprised of an itemized breakout of the following cost
categories: cleanup contractor, letter contracts with states, site-specific
lAGs, TAT, NCLP analytical services, ERT/EERU, and EPA intramural costs. RAs
may authorize ceilings up to 52 million, provided the project is not expected
to exceed that amount. Costs that would exceed the project ceiling require a
ceiling increase, which must be approved through a ceiling increase request.
Project Officer: the EPS official with overall responsibility for managing
and directing activities under the ERCS zone contracts. The Project Officer
provides a single point of contact for the Contracting Officer and the ERCS
zone contractors.
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release: Any spilling, leaking, pumping, pouring, emitting, emptying,
discharging, injecting, escaping, leaching, pumping, or disposing of into the
environment (including the abandonment or discarding of barrels, containers,
and other closed receptacles containing any hazardous substance or pollutant
or contaminant), but excludes: any release that results in exposure to
persons solely within a workplace, with respect to a claim that such persons
may assert against the employer of such persons; emissions from the engine
exhaust of a motor vehicle, rolling stock, aircraft, vessel, or pipeline
pumping station engine; release of source, byproduct or special nuclear
material from a nuclear incident, as those terms are defined in the Atomic
Energy Act of 1954, if such release is subject to requirements with respect to
financial protection established by the Nuclear Regulatory Commission under
section 170 of such act, or, for the purpose of section 104 of CERCLA or any
other response action, any release of source, byproduct, or special nuclear
material from any processing site designated under section 122(a) (1) or 302(a)
of the Uranium Mill Tailings Radiation Control Act of 1973; and the normal
application of fertilizer. For the purpose of the NCP, release also means
substantial threat of release.
remedial action: subactivity in remedial response involving actual
implementation, following design of the selected source control and/or
off-site remedial measure. A Federally funded remedial action will be
undertaken only at those sites included on the National Priority List.
remedial investigation: an investigation intended to gather the data
necessary to: (1) determine the nature and extent of problems at the site;
(2) establish cleanup criteria for the site; (3) identify preliminary
alternative remedial actions; and (4) support the technical and cost analyses
of the alternatives.
removal: the cleanup or removal of released hazardous substances from the
environment; such actions as may be necessary to monitor, assess, and evaluate
the release or threat of release of hazardous substances; the disposal of
removed material or the taking of such other actions as may be necessary to
prevent, minimize, or mitigate damage to the public health or welfare or the
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environment, which may otherwise result from a release or threat of release.
The term includes, in addition, without being limited to, security fencing or
other measures to limit access, provision of alternative water supplies,
temporary evacuation and housing of threatened individuals not otherwise
provided for, action taken under section 104{b) of CERCLA, as amended by SARA,
and any emergency assistance that may be provided under the Disaster Relief
Act of 1974.
reportable quantity: under Section 102 of CERCLA, the quantity of a hazardous
substance, that if released to the environment, may present substantial danger
to the public health or welfare or the environment and must be reported to
either the National Response Center or the EPA. Reportable quantities are set
forth in 40 CFR 302.
start: date the contractor/OSC mobilizes on site. This is reported through
OSC pollution reports.
Statement of Work (SOW): an element of a Delivery Order that specifies in
detail the tasks and objectives to be performed by a contractor. The SOW
should contain the salient points regarding the background of the release or
potential release, problem definition, purpose of the work, and a description
of the services to be performed by the contractor.
Stop Work Order: a Notice of Work Stoppage form prepared by an Ordering
Officer, OSC, or Contracting Officer requiring the contractor to stop all, or
any part, of the work called for in a Delivery Order.
task: a discrete piece of work that addresses a single ob]ective specified by
a Statement of Work for planning, evaluating, or implementing a response
action (e.g., hydrogeological study, hazardous waste characterization,
alternative analysis, construction of a fence, or installing a leachate
control system).
Work Plan: the contractor's submittal of a written response to a Delivery
Order defining the technical approach for the project, the budget, and the
schedule.
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OSWER Directive 9242.2-01B
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BIBLIOGRAPHY
EPA Superfund Emergency Contracting Procedures, U.S. Environmental Protection
Agency, Procurement and Contracts Management Division, Washington, D.C.,
October 9, 1985.
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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, Wasnington, D.C., May 1985.
Management Plan and Operating Procedures: Remedial Planning/Field
Investigation Team Zone Contracts - U.S. Environmental Protection Agency,
Hazardous Site Control Division, Washington, D.C., October 1982.
National Oil and Hazardous Substances Contingency Plan, (40 CFR Part 300) U.S.
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Qn-Scene Coordinators (OSC) User Guide, U.S. Environmental Protection Agency,
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Procedures for Identifying Responsible Parties: Uncontrolled Hazardous Waste
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Protection Agency, National Enforcement Investigations Center (MEIC), Denver,
Colorado, February 1982.
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OSWER Directive 9242.2-01B
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"Procedures For Planning and Implementing Off-Site Response Actions/'
Memorandum from Jack McGraw, Acting Assistant Administrator, to Regional
Administrators, Regions I-X, May 6, 1985.
Project Officers Handbook, U.S. Environmental Protection Agency, Procurement
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Removal Cost Management Manual, U.S. Environmental Protection Agency, Office
of Emergency and Remedial Response, Washington, D.C., January 1985 (revised
August 1987).
Resource Conservation and Recovery Act of 1976 (RCRA), 42 U.S.C. Sections
6901-6991i, PL 94-580 (amended Nov. 8, 1984).
State Participation in the Superfund Remedial Program (Revised Guidance), U.S.
Environmental Protection Agency, Office of Emergency and Remedial Response,
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Superfund Community Relations Handbook, U.S.^ Environmental Protection Agency,.
Office of Emergency and Remedial Response, March 1987.
Superfund Remedial Project Manager (RPM) Handbook for Federal-Lead Projects,
Draft, U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, December 1985.
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