vvEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: j>242.4-ou
TITLE: Technical Assistance Team (TAT) Contracts
Users' Manual (Revised July 1989)
APPROVAL DATE: July 1989
EFFECTIVE DATE: July 1989
ORIGINATING OFFICE: Office of Solid Waste
0 FINAL
D DRAFT
STATUS:
[ 1
{ 1
A- Pending OMB approval
B- Pending AA-OSWER approval
C- For review &/or comment
D- .In development or circulating
headquarters
REFERENCE (other documents):
OS WER OS WER OS WER
/£ DIRECTIVE DIRECTIVE Di
-------
Slatta e.ivironmtnrai ^iitenon
QC2Q*«0
OSWER Directive Initiation Request
2. Originator information
9242.4-01A
of Comae:
Susan Janowiak
3. n«a
aa«
Cffica
' OS-240 _j_ OERR/ERD 382-7732
M^i^B^itfVH^^^M^HBItfkl^HM
Technical Assistance Team (TAT) Contracts Users' Manual (Revised July 1989)
4 Summary ol Oi/»ciiv« (inouc* onel suiefntni ot pufDOJti
Revisions to the September 1987 manual.
5. *«yv.orngpst- TT. Di'rprfnr. OFPR
: Data
EPA Form 1315-17 (Rav. S-«7) Previous aditiona ara oosoiata.
OSWER OSWER OSWER C
VE DIRECTIVE DIRECTIVE DIRECTIVE
-------
United States Emergency And EPA 9242.4-01 A
Environmental Protection Remedial Response Revised July 1989
Agency (OS-2TO)
4>EPA Technical Assistance
Team (TAT) Contracts
Users' Manual
September 1987
-------
Revisions to the TAT Manual
TOPIC
Title Page
Table of Contents
List of Acronyms
Chapter II
Chapter III
INSTRUCTION
Delete original page
Replace with new page
Delete original section
Replace with new section
Delete original page
Replace with new page
Delete original section
Replace with new section
Delete original section
Replace with new section
LOCATION/PAGE
(iii-vi)
iii-vi
(ix)
ix
(II-3 - 11-17)
II-3 - 11-17
(III-7), (111-10),
(111-12)
III-7, 111-10,
111-12
Chapter IV
Chapter V
Chapter 6
Chapter 7
Appendix A, Training
Activities
Delete entire chapter
Replace with new chapter
See new Chapter IV title
page for location of sections
Delete original section
Replace with new section
Delete original section
Replace with new section
Delete original section
Replace with new section
Delete original section
Replace with new section
IV-1 - IV-7
(V-l), (V-5),
(V-7 - V-20),
(V-23), (V-25 - V-26)
V-l, V-5
V-7 - V-20
V-23, V-25 - V-26
(VI-8), (VI-10)
VI-8, VI-10
(VII-2),
(VII-16 - VII-38)
VII-2,
VII-16 - VII-35
(A-8)
A-8
-------
OSWER Directive 9242.4-01A September 1987
TABLE OF CONTENTS
(Continued)
Page
Number
III. CONTRACT MANAGEMENT: ORGANIZATION, III-l
ROLES AND RESPONSIBILITIES
1. Relationship Between EPA Head- III-2
quarters and Regional Offices
2. Contract Management Structure III-4
Within EPA Headquarters
2.1 TAT Project Officers III-4
2.2 TAT Contracting Officer III-5
2.3 Headquarters TAT Deputy
Project Officer III-5
3. Contract Management Structure III-6
Within EPA Regional Offices
3.1 TAT Deputy Project Officers III-6
3.2 On-Scene Coordinators III-7
4. TAT Contractor Management Structure III-8
4.1 TAT Zone Program Manager (ZPM) III-8
4.2 Technical Assistance Team III-9
Leaders
IV. INTERFACE WITH OTHER EPA CONTRACTS IV-1
AND EXTERNAL AGENCIES
1. National Contract Laboratory IV-2
Program (NCLP)
2. Field Investigation Team (FIT) IV-3
Contracts
3. Remedial Engineering Management IV-4
(REM) Contracts
4. Technical Enforcement Support (TES) IV-4
Contracts
5. Emergency Response Cleanup Services IV-5
(ERCS) Contracts
iii (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
TAB- LE OF CONTENTS
(Continued)
Page
Number
6. Alternative Remedial Contract Strategy IV-5
(ARCS)
7. Underground Storage Tanks (UST)
Program IV-6
8. Interaction of TAT with State IV-6
and Local Agencies, the U.S.
Coast Guard (USCG) and other Federal
Agencies
V. PROCEDURES FOR INITIATING AND MANAGING V-l
TAT ACTIVITIES
1. The Technical Direction Document V-2
(TDD)
1.1 Preparing the TDD . V-3
1.2 Processing the TDD V-ll
1.3 Amending the TDD V-12
1.4 Special Project TDDs V-12
2. Acknowledgment of Completion (AOC)/ V-13
Performance Observation Report (POR)
2.1 Preparing the AOC/POR V-14
•2.2 Processing the AOC/POR V-19
VI. MONITORING PROJECT PERFORMANCE AND VI-1
FINANCIAL MANAGEMENT
1. Contractor Reports VI-2
1.1 Financial Management Report VI-3
1.2 Monthly Status Report VI-3
1.3 Monthly Summary Progress VI-4
Report by the ZPM
1.4 Site-Related Financial Reports VI-4
1.5 Program Management Information VI-4
Reports
1.6 Draft and Final Year-End Report VI-4
1.7 Cleanup Activity Reports VI-5
1.8 Pollution Reports VI-5
1.9 ZPM TAT Office Review Report VI-6
1.10 Letter Reports VI-6
1.11 Socio-Economic Reports VI-7
iv (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
TABLE OF CONTENTS
(Continued)
Page
Number
2. Central Filing System VI-7
3. TDD Status Tracking Log VI-7
4. Regional TAT Contractor Office VI-7
Reviews
VII. PERFORMANCE EVALUATION PLAN .VII-1
1. Cost-Plus-Award-Fee (CPAF) VII-2
Performance Evaluation Plan
2. Regional Coordination of the VII-3
Performance Evaluation Process
2.1 Organization, Roles and Respon- VII-3
sibilities 'of EPA Regional and
TAT Contractor Personnel
272 Preparation of Award Fee VII-5
Performance Observation Reports
2.3 Preparing the Regional Perform- VII-8
ance Evaluation Package: The
Role of the Regional POR Coor-
dinator
3. Headquarters Coordination of the . VII-9
Performance Evaluation Process
3.1 Headquarters Evaluation Coor- VII-9
dinator
3.2 Performance Evaluation Board • VII-11
(PEB)
3<3 Fee Determination Official VII-11
'(FDO)
4. Performance Evaluation Categories VII-11
and Criteria
4.1 Performance Evaluation VII-12
Categories
(REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
TABLE
OF CONTENTS
(Continued)
4.2 Performance Evaluation Criteria VII-12
4.3 Rating the Performance Events VII-13
4.4 Determination of Award Fee VII-14
Percentages
VIII. MISCELLANEOUS MATERIALS
APPENDIX A TAT ZONE CONTRACTS STATEMENTS OF WORK
APPENDIX B MINIMUM EQUIPMENT NEEDS
APPENDIX C TAT ZONE 2 CONTRACT TECHNICAL DIRECTION
DOCUMENT: TYPE OF ACTIVITY
APPENDIX D
APPENDIX E
EXAMPLE FORMS FOR TAT CONTRACT
MANAGEMENT: TDDs AND AOC/PORs
DPO CHECKLIST FOR REVIEWING TAT
CONTRACTOR'S OFFICE
APPENDIX F GLOSSARY
APPENDIX G BIBLIOGRAPHY
VI
(REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
LIST OF ACRONYMS
AOC/POR
ARCS
CEAT
CERCLA
CO
CPAF
CWA
DPO
ERCS
ERD
ERT
FIT
FDO
LOE
NCLP
NCP
NEIC
NPL
OERR
OHM
OSC
OSHA
OWPE
PCMD
PEB
PO
POLREP
QA
RCRA
REM
RPM
RSO
SARA
SCBA
SMO
SPCC
SOW
TAT
TATL
TES
TDD
USCG
Acknowledgement of Completion/Performance
Observation Report
Alternative Remedial Contract Strategy
Contractor Evidence Audit Team
^Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 (PL
96-510), As Amended by the Superfund Amendments
and Reauthorization Act of 1986 (SARA)
Contracting Officer
Cost-Pius-Award-Fee
Clean Water Act
Deputy Project Officer
Emergency Response Cleanup Services
Emergency Response Division
Environmental Response Team
Field Investiga'tion Team
Fee Determination Official
Level-of-Effort
National Contract Laboratory Program
Oil and Hazardous Substances Contingency
CFR Part 300)
Enforcement Investigations Center
Priorities List
Emergency and Remedial Response
National
Plan (40
National
National
Office of
Oil and Hazardous Materials
On-Scene Coordinator
Occupational Safety and Health Administration
Office of Waste Programs Enforcement
Procurement and Contracts Management Division
Performance Evaluation Board
Project Officer
Pollution Report
Quality Assurance
Resource Conservation and Recovery Act
Remedial Planning Contractors
Remedial Project Manager
Regional Safety Officer (Contractor)
Superfund Amendments and Reauthorization Act of
1986
Self-Contained Breathing Apparatus
Sample Management Office (CLP)
Spill Prevention, Control and Countermeasures
Statement of Work
Technical Assistance Team
TAT Leader
Technical Enforcement Support
Technical Direction Document
United States Coast Guard
IX
(REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Consistent with the prior TAT contracts, the current
zone contracts are Cost-Plus-Award-Fee (CPAF) contracts.
With cost reimbursement of this type, the contractors are
guaranteed a fixed base fee, paid in monthly installments,
to which an award fee can be added. Funding for the TAT
contracts is based on contractor expenses incurred to
provide a specified level of effort (LOE) and other
resources to conduct activities specified in the Statement
of Work (SOW). Thus, EPA personnel must ensure that
sufficient work is assigned.to the TAT contractors to
fully and efficiently utilize the minimum levels of effort
specified for each team.
1.2 Period of Performance
Two zone contracts were awarded in December 1986 and
will expire in September 1990. In addition, the contracts
contain two two-month Continuity of Services (COS) options
that are intended to facilitate phase-out to the successor
contractor.
1. 3 Staffing Requirements
To carry out the responsibilities of the TAT
contracts, the contractors are required to staff each TAT
office with personnel having appropriate levels of
experience and areas of expertise. To differentiate among
various levels of experience in TAT contractor staff, EPA
has established seven labor classifications for
professional and technical positions. These are
summarized in Exhibit II-l. In addition, EPA has
specified the total number of positions for each TAT and
has provided a list of disciplines that should be used to.
guide staffing of the TATs with appropriate types of
expertise. The number of positions and disciplines (both
of which will fluctuate during the contract) are shown in
Exhibits II-2 and II-3, respectively. The mix of
disciplines and appropriate levels of experience to staff
the number of positions -required for the TATs will vary
among the Regions and generally will complement' the
capabilities of EPA personnel. Requirements concerning
staffing needs for each TAT should be developed by the TAT
Deputy Project Officer (DPO) and communicated to the TAT
Project Officer (PO). with the approval of the PO and the
TAT Contracting Officer (CO), amendments to the existing
discipline mix may be made as required to maintain program
responsiveness.
II-3 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
1.4 Nature of Work to Be Performed
The types of technical assistance to be provided under
the TAT contracts are described in detail in the contract
SOWs, which are included in Appendix A. These technical
support services will primarily support the On-Scene
Coordinators (OSCs) in the ten Regional offices, the ERT
office in Edison, and EPA Headquarters. They are intended
to augment EPA's response, remova-1 and prevention
programs. Within the overall program management effort,
tasks to be performed include: establishing and
maintaining the required TAT offices and personnel;
instituting recordkeeping, quality control and personnel
safety procedures; procuring laboratory or field analysis
services; and providing special projects support, as
needed, to the OSC.
Within the scope of the emergency response, removal
and prevention program, the TAT contractors perform
various specific tasks. In general, these tasks include:
conducting facility inspections; implementing EPA and
contractor personnel training programs; completing
pollution reports and damage assessments; reviewing and
analyzing response contingency plans; coordinating the
development and implementation of community relations
plans; conducting removal preliminary assessments and
other Section 104(b) activities; performing mini-remedial
investigations (this is a new task under the TAT contracts
and involves the limited investigation of a site where
response activity is in progress or has been completed)
and providing direct emergency response support, as well
as response monitoring services, to the OSC during removal
actions.
Appendix A contains the SOWs for both Zone 1 and
Zone 2 TAT contracts. All EPA and contractor personnel
involved with the TAT contracts should be thoroughly
familiar with these SOWs. It is noted that both SOWs are
virtually identical, except for differences in TAT office
locations.
In addition, the TAT contractors perform special
projects and analytical services, when requested. Special
projects are intended to provide EPA with specialized
equipment, personnel and services not routinelyvavailable
from a TAT office. Because the TAT contract does not
allow for personal services, special projects cannot serve
to perform routine EPA functions. Examples of special
projects include, but are not limited to: renting of
aircrafts; hiring of scuba divers; retaining expert
consultants; renting specialized equipment; and providing
temporary relocation of individuals. Analytical services
consist of rapid turnaround laboratory or field analysis
of multimedia samples. The TAT contractors will
II-4 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
coordinate these activities with EPA.'s National Contract
Laboratory Program (NCLP). If the NCLP is unable to
handle the samples, the TAT contractors can choose to
handle the samples themselves or contract for these
services.
1. 5 Zone Crossover
Each TAT contractor may be required to provide
services in the other contracto-r's geographical zone.
This may occur in the event of a conflict of interest or
in any other situation in which it is deemed by the CO to.
be in the best interest of the Government. Any use of a
contractor outside its zone must be coordinated by the
appropriate DPO, PO, and CO.
1.6 Personal Versus Nonpersonal Services
The TAT zone contracts provide for nonpersonal
services. In general, co.ntract services can be classified
as either personal or nonpersonal. With a nonpersonal
services contract such as the TAT contracts, the TATs
provide an approved resource for EPA in the accomplishment
of their programs while avoiding an actual
employee-employer relationship. Personal services
contracts are those where the contractor or its employees
seemingly act as employees of EPA, where EPA maintains the
right to direct, supervise,'or define the work to be
performed, or the manner of performance, on a dav-to-day
basis. Personal services are not allowed under the TAT
contracts.
The following examples of personal and nonpersonal
services are provided for illustrative purposes only:
Personal
Contract for the furnishing of ordinary,
day-to-day stenographic and secretarial
services in a Government office under
Government supervision exercised either
directly or through a contractor supervisor
even if only for a peak work period of two
weeks;
Contract for preparation of a staff type
report on the operation of a particular
Government office or installation, where no
specialized skills are required and the
report would ordinarily be prepared by the
regular officers or employees of the office
or installation even if there is to be no
Government supervision and even if payment
is to be for an "end product" report;
II.-5 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Contract for the furnishing of persons to
perform the various day-to-day functions of
contract administration for a Government
agency, even if there is no Government
supervision (e.g., directing the ERGS
contractor);
Contract for the picking up of other
Government personnel at the airport;
Paying the luncheon tabs of Government
personnel.
Nonpersonal
Contract for field engineering work
requiring specialized equipment and training
personnel unavailable to the Government but
not involving the exercise of discretion on
behalf of the Government, where the
contractor performs work adequately
described in the contract, free of
Government supervision;
Contract with an individual for delivery of
lectures without Government supervision, at
specific places, .on specific dates, and on a
specialized subject/ even if payment is by
the hour.
It is recognized that during the course of a response the
distinction between providing personal and nonpersonal
services may be unclear. For example, directing the ERCS
contractor is not the responsibility of the TAT
contractor; however, monitoring its performance is
acceptable. Should questionable situations arise that
require interpretation, the OSC or the TAT member should
confer with the TAT DPO or Leader, respectively. If
further clarification or interpretation is necessary, the
TAT Zone Program Management Office (ZPMO), TAT PO, or
TAT CO may be contacted.
1.7 Contract Equipment
In order to perform the diverse tasks required under
the TAT contract, each TAT will be furnished equipment for
monitoring, safety and recordkeeping. Appendix B contains
a detailed listing of the minimum equipment needs required
to implement the contracts. The TAT contractor is
responsible for the maintenance of all equipment and
ensuring that disposable equipment inventories are
maintained and replenished as required. Should the TAT
II-6 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
contractor determine that certain equipment is. not being
utilized, the TAT Zone Program Manager (ZPM), in
coordination with the DPO, should be notified that the
equipment is available for use in other TAT offices.
If new equipment requirements are identified as EPA
missions change, the TAT contractor (with DPO concurrence)
may request this new equipment by sending a written
request for its purchase to' the PO. This request should
include justification of the needs, estimated cost and
recommended source. The DPO should consult with Chapter 5
of EPA's Contract Management Manual for further
information on justification of needs. EPA may either
provide the required equipment to the contractor or
authorize the contractor to acquire it under the TAT
contract.
1.8 Property Management
The use of property provided either directly by the
Federal Government or procured through the TAT contracts
requires careful management. Not only is careful property
management required by Federal law and the TAT contracts,
it is essential for efficient use of contract resources.
For example, accurate property inventories allow the TAT
'contractor management to distribute equipment among its
offices in the most useful way.
In light of the importance of property management, the
TAT contractor is required to provide training in property
management for TAT property management officers at the
ZPMO and in the Regions. The TAT must also develop and
use standard operating procedures for all aspects of
property management. The DPO should ensure that the TAT
properly manages government property by conducting
periodic on-site visits to the contractor's office and
reviewing all of the items contained on the DPO checklist,
presented in Appendix E. The DPO should also seek the
assistance of the EPA Superfund Property Administrator, as
necessary, in conducting these visits.
Both the TAT contracts and Federal regulations
(Federal. Acquisition Regulation, Part 45) require written
standard operating procedures for property management.
The TAT must develop standard procedures in the following
areas:
Acquisition
Receiving
Recordkeeping
Storage, movement and protection
Loss, damage and destruction
Utilization rate
Maintenance and calibration
II-7 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Inventory
Subcontractor use
Contract closure and equipment disposition.
Development and use of these procedures are essential for
managing property under the TAT contracts.
Standard procedures .will also aid in preparing the
periodic reports requested by the EPA Property
Administrator. To ensure proper .handling of Government
property, the EPA Property Administrator requires the
following information from TAT property management
officers:
Annual inventory of property
Immediate reports of loss, damage or destruction
of Government property
Requests for purchase or replacement of
Government property (as needed)
Semi-annual reports of Government property in
excess of needs
• Justification for retention of low use items
(annually)
Certification of required training of property
management officers (annually).
In addition, all other reports required by the "Guide for
Control of Government Property by Contractors" should be
submitted as required. This guide is available from the
EPA Property Administrator and should be consulted when
questions arise regarding the management of Government
property.
2. CONTRACTOR REQUIREMENTS IN EXECUTING SOW ACTIVITIES
•
The .following sections describe special contract
requirements to which the TAT contractors must adhere.
Included are discussions on health and safety, training,
quality assurance, confidentiality, conflict of interest,
chain-of-custody, cost management, and 24-hour call center
2.1 Health and Safety
The nature of the work to be performed under the TAT
contracts may involve inherently hazardous situations.
The OSC is responsible for coordinating the standards of
safety for all individuals on-site at all times. The TAT
contractor, if required to work on-site, shall ensure that
II-8 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A . September 1987
all contractor personnel working at the site work in a
healthy and safe manner and adhere to the standard EPA
safety protocols as well as appropriate Federal/State
health and safety standards (i.e., 29 CFR 1910.120). It
is Office of Solid Waste and Emergency Response (OSWER)
draft policy that the contractor shall be responsible for
implementing the Office of Emergency and Remedial Response
(OERR) Standard Operating Safety Guides (SOSG) for its
employees and operations, including employee rights to
know. If the contractor believes that a higher level of
protection is necessary, or there is any other dispute
with respect to health and safety that cannot be resolved
between the OSC and the contractor's Health and Safety
representative, the matter will be referred to the
Response Operations Branch Regional Coordinators and to
the contractor's corporate Health and Safety
representative for determination. If the health and
safety issue still cannot be resolved, then the matter
will be referred to the EPA Environmental Response Team's
(ERT) Safety and Occupational Health Manager, Edison,
N.J., in consultation with the HQ Occupational Health and
Safety Director, for final determination.
.If a specific safety plan is required as part of
performance of a Technical Direction Document (TDD), or
such plan is required as part of standard operarting
procedure, this plan shall be submitted to the OSC for
review. Upon review, if there is a dispute over the
safety plan that cannot be resolved between the OSC and
the contractor's Health and Safety representative, the
matter shall be referred to the first line approval
committee, which is the Response Safety Committee
described in EPA Order 1440, Chapter 9. If there is still
a dispute over the safety plan, then the matter shall be
referred to the EPA ERT's Safety and Occupational Health
Manager, Edison, N.J., in consultation with the HQ
Occupational Health and Safety Director, for final
determination. If a site safety plan is provided by the
Government, the contractor agrees to follow such a plan
unless objections are made known to the OSC within 24
hours of its' submission to the contractor. In any event,
commencement of cleanup services without notification to
the OSC of objections will be deemed to constitute
acceptance of the safety plan, unless conditions in the
field change to warrant a change in the plan.
The Occupational Safety and Health Administration has
issued the "Hazardous Waste Operations and Emergency
Response Interim Rule" (December 19, 1986), which sets
forth the following required elements for site safety
plans:
Names of key personnel and health and safety
personnel
II-9 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Task/operation safety and health risk analysis
Employee training for all equipment operators and
general laborers who risk exposure to hazardous
materials
Personal protective equipment to be used
Medical surveillan.ce program
Frequency and types of air monitoring, personnel
monitoring, and sampling techniques
Site control measures
Decontamination procedures
Site standard operating procedures
Contingency plan
Confined space entry procedures.
2.2 Training Program for Contractor Personnel
.The TAT contractor is responsible for providing
initial and routine training of workers before such
workers are permitted to engage in hazardous waste
operations that would expose them to toxic substances.
The requirements include a minimum of 40 hours of initial
instruction off the site, and a minimum of three days of
actual field experience under the direct supervision of a
trained, experienced supervisor, at the time of
assignment. These requirements, however, do not apply to
workers who have already received the equivalent of such
training. Workers who may be exposed to unique or special
hazards should be provided additional training.
2 .3 Quality Assurance
The TAT contractor shall institute a quality assurance
program that will ensure environmental monitoring data of
known quality. The program will consist of both an
auditing and a corrective function. The auditors will
report directly to the contractor corporate management,
bypassing the contractor ZPM, to minimize any actual -or
perceived bias. Corporate management will then be
expected to utilize the firm's resources to solve any
problems uncovered. The EPA publication entitled "Interim
Guidelines and Specifications for Preparing Quality
Assurance Program Plans" (QAMS-004/80) contains detailed
information on EPA's quality assurance program and can be
obtained from the Assistant Administrator for Research and
Development in the Office of Monitoring Systems and
Quality Assurance.
11-10 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
2.4 Confidentiality of Information
During the performance of the contract, TAT members
may, by necessity, be entrusted with confidential
information. All information received by EPA is subject
to EPA's disclosure of information policy, 40 CFR Part 2,
which is based on the Freedom of Information Act,
5 U.S.C. 552, and provisions for patents and rights as set
forth by law. Generally, information is not
confidential. However, if a TAT member should have access
to information granted confidentiality by EPA, all TAT
members shall follow Agency procedures set forth in 40 CFR
Part 2 safeguarding such information.
In response to an initial submission of information
with a request of confidentiality from a responsible
party, private industry or any.person or business, all EPA
personnel and contractor employees should be aware of the
proper procedures. All information requested by EPA for
which a confidentiality claim is asserted must be
submitted to the DPO or PO. Any person submitting
information to EPA may assert a business confidentiality
claim by covering or placing on the information, at the
time of submission to EPA, a cover sheet, stamped or typed
legend, or other form of notice with language such as
"TRADE SECRET," "PROPRIETARY," or "COMPANY CONFIDENTIAL."
The EPA office handling the information will make the
initial determinations of whether the information is
entitled to confidential treatment. Procedures for the
validity of confidentiality claims and special rules
governing certain information obtained under specific
legislation, such as the Clean Water Act (CWA), are set
forth in 40 .CFR Part 2, Subpart B.
Provisions for rights in data and copyrights and
patents are complex and will not be discussed here. If
the question of rights with these issues should arise, the
EPA Office of Regional Counsel should be contacted to
pursue the proper legal course.
2 . .5 Conflict of Interest
The TAT contractor must notify the cognizant DPO "in
writing" of any actual, apparent or potential conflict of
interest with regard to any work assigned by the" DPO prior
to- accepting that work. This includes both personal (TAT
staff) and organizational conflicts of interest. The DPO
is then responsible for notifying the CO of this conflict.
If an organizational conflict of interest appears to
exist, the CO is responsible for determining whether the
contractor should be permitted to perform the work. The
11-11 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
CO will then notify the ZPM in writing of. this
determination. If a personal conflict of interest appears
to exist, the individual TAT member who is affected will
be disqualified from taking part in any way in the
.performance of the work.
The TAT contractors are required to notify each DPO in
advance of all known sites within a Region where an
organizational or personal conflict of interest may
exist. In cases where the conflict of interest does not
become known until after performance of the work has
begun, the contractor is required to notify the CO
immediately and to discontinue work until notified by the
CO of the appropriate action to be taken.
2.6 Chain-of-Custodv and Document Control Procedures
Any work conducted by the TAT 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. EPA-330/9/78/001-R, U.S. Environmental
Protection Agency, National Enforcement Investigations
Center (NEIC), Denver, Colorado, revised June 1985.
Copies of this document should be obtained by all EPA
Regional offices and be distributed to the TAT
contractor's offices as well. The document will serve as
the official EPA guidance for ensuring that the procedures
are followed. In addition, Regions may establish their
own specific procedures for ensuring that the NEIC
chain-of-custody and document control requirements are met
2 . 7 Cost Management Support
During removal actions, the TATs. may assist the EPA
OSC in implementing a comprehensive system for managing
the site operations and effectively monitoring the costs.
This management system must ensure the efficient use of
public funds and enable all removal costs to be measured
against the site-specific and statutory ceilings. The
system recommended for use by OSCs is presented in the
Removal Cost Management Manual. January 1985 (revised
April 1988). This manual outlines a comprehensive cost
management system that require.s specific on-scene cost
data to be documented while offering flexibility to the
OSC in documentation techniques. The TATs, in assisting
the OSC in tracking removal costs, should have a working
knowledge of the practices outlined in this manual.
Another EPA manual, User's Guide for Removal Cost
Management Software (Version 3.1), was developed in
conjunction with the cost management manual to describe
the application of basic computer tools to cost estimating
11-12 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
and cost tracking at CERCLA removal sites. The TATs
should also be familiar with this manual, which can be
very useful for on-site cost management.
2.8 24-Hour. 7-Dav-A-Week Call Center
The TAT contractors are responsible for operating a
24-hour, 7-day-a-week call center. This call center will
provide EPA with access to TAT technical support services
at all times.
2.9 Subcontracting -—
As part of the TAT zone contracts, the contractor is
responsible for performing special projects and analytical
services. In most cases, the contractor will subcontract
this type of work utilizing competitive acquisition
procedures as required by the Competition in Contracting
Act. DPOs should ensure that reasonable lead times and
delivery-schedules are given so as not to unnecessarily
restrict the contractor's efforts to obtain competition.
According to Federal Acquisition Regulation (FAR)
52.244-2, the contractor must notify the Contracting
Officer (CO) reasonably in advance of entering into any
subcontract if:
The proposed subcontract is of the
cost-reimbursement, time-and-materials, or
labor-hour type;
The proposed subcontract is fixed-price and
exceeds either $25,000 or five percent of the
estimated cost of this contract;
The proposed subcontract has experimental,
developmental or research work as one of its
purposes; or
The proposed subcontract provides for the
fabrication, purchase, rental, installation or
other acquisition of special test equipment
.valued in excess of $10,000 or of any items of
facilities.
Upon notification of the CO, the contractor may be
requested to provide EPA with certain information such as
a description of the services to be subcontracted,
11-13 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
identification of the type of subcontract to be used, and
an explanation of why and how the proposed subcontractor
was selected, including the competition obtained.
According to FAR 52.244-5, the contractor shall select
subcontractors on a competitive basis to the maximum
extent consistent with the objectives and requirements of
the contract.
Depending on the. dollar amount and type of subcontract
involved, the contractor must obtain the CO's written
consent before placing any subcontract for services under
the TAT contracts.
2.10 Site-Specific Invoicing
The contractor is required to provide site-specific
billing information on monthly invoices in accordance with
EPA's "Site-Specific Invoicing.Requirements for Superfund
Contractors Whose Funds Are Not Obligated Site-
Specifically," February 1986. All invoices sent to EPA's
Financial Management Division (FMD) for payment must
contain proper site and activity codes, as well as the
following additional requirements:
A cost element summary that summarizes all costs
being invoiced by cost element, such as labor,
travel, equipment, other direct, subcontractor
and overhead or indirect co'sts, as identified
elsewhere in the contract
A site-specific attachment, on which the invoiced
costs are broken down by:
Each site with an EPA S/S ID
All other sites, i.e., those without an EPA
S/S ID, on one line item per Region
Program management
Base and award fees
Non-site activities, identified separately
such as training of state personnel or
coordination of Regional activities
Non-Superfund costs, as applicable, on one
line item.
Specific instructions on completing the site-specific
invoice can.be found in the above-mentioned publication.
The TAT contractor is required to submit four copies of
the invoice, one to the PO and three to FMD.
11-14 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT II-l
TAT Personnel Qualifications and Levels of Experience
Professional Level
Zone Program Manager (ZPM)
Master's Degree or equivalent with 12 years
or more relevant experience
Bachelor's Degree with 14 years or more
relevant experience
Level Three
Master's Degree or equivalent
6-12 years relevant experience
Level Two
Bachelor's Degree or equivalent
3-8 years relevant experience
Level One
Bachelor's Degree or equivalent
0-3 years relevant experience
Technical Level
Level Three
6 or more years relevant experience
Level Two
2-6 years relevant experience
Level One
0-2 years relevant experience
11-15 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT II-2
TAT Contract Staffing Distribution
Zone 1
Region I
Region II
Region III
Region IV
Region V
Headquarters
ERT-Edison
TOTAL
Number of
Personnel
16
35
45
33
36
11
5
181
Zone 2
Region
Region
Region
Region
Region
VI
VII-ESD
VIII
IX
X
36
34
14
23
15
TOTAL
GRAND TOTAL
122
303
11-16
(REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT II-3
TAT Staffing Disciplines
Administrative Assistant
Administrative Technician
Biological Technician
Biologist
Chemical Engineer
Chemist
Civil Engineer
Community Relations Specialist
Computer Programmer
Computer Systems Ana.lyst
Emergency Contingency Planner
Engineer
Engineering Technician
Environmental Air Pollution Specialist
Environmental Biologist
Environmental Engineer
Environmental Scientist
Equipment Technician
Gephydrologist
Geologist
Groundwater Engineer
Hydrogeologist
Hydrologist
Industrial Hygienist or Toxicologist
Interdisciplinary Scientist
Laboratory Technician
Organic Chemist
Personal Computer Specialist
Program Analyst
Response Specialist
Sanitary Engineer
Spill Prevention Engineer
Toxicologist
Writer/Editor
NOTE: The above disciplines are subject to change as EPA
Regional needs develop. Therefore, they will
fluctuate during the contract period of performance
11-17 (REVISED-JULY, 1989)
-------
Complete Acknowledgement of Completion/
Performance Observation Report (AOC/POR)
forms for the Regional Award Fee Performance
Evaluation package (see Chapter VII)
Implement Headquarters and Regional contract
management policy and technical guidance
Receive and review all contractor reports
(e.g., monthly financial and status reports)
for Regional accuracy.
Effective management of the TAT contract by the DPO
translates' into efficient utilization of the TAT
contract resource.
3.2 On-Scene Coordinators
The On-Scene Coordinator. (OSC) is the Federal
official responsible for monitoring and directing all
activities conducted on site during a removal action.
The basic duties, activities and functions of an OSC
include the following:
Assess degree of threat
Develop Action Memos
Direct response operations
Ensure site safety
Review and certify contractor cost reports
. . Coordinate with state, local, or Federal
agency personnel
Prepare work reports
Participate in community relations activities
Determine project status
Monitor contractor performance
Write pollution reports
Maintain site files (cost recovery
documentation)
Track project budgets against ceilings
Control site access.
The OSC is responsible for establishing the
standards of safety for all individuals on site at all
times. If required to work on site, the TAT shall
ensure that all TAT contractor personnel working at
the site follow the direction of the OSC with regard
to health and safety to include the required level of
protection. The ERT's Safety and Occupational Health
Manager makes the final determination concerning
safety.
III-7 (REVISED-JULY, 1989)
-------
EPA-CONTRACTOR TAT MANAGEMENT STRUCTURE
CONTRACTING
OFFICER
PROCUREMENT AND
CONTRACTS MANAGEMENT
DIVISION
WASHINGTON, D.C. •
M
M
C-10 (REVISED - JULY, 3
'
•
CONTRACTOR
ZONE
PROGRAM
MANAGER
ZONE 1
(REGIONS!- V.ERT
AND HO)
CONTRACTOR
TAT
LEADERS
(REGIONS I • V.
ERT AND HO)
1
1
-i
-|
-]
EPA TAT EPA TAT
PROJECT OFFICER PROJECT OFFICER CONTR
7Q
FMFRGFNCIY RFSPOMSF DIVISION FMFnriFNPY RF^PDNSF DIVISION — — ^^ PROC
OFFICE OF EMERGENCY AND OFFICE OF EMERGENCY AND WIMW*
REMEDIAL RESPONSE REMEDIAL RESPONSE ZOl
WASHINGTON. D.C. WASHINGTON, D.C. (REGION
l-i "l-i CONTRA!
EPA REGIONAL, -| EPA REGIONAL -| TAT
ERT AND HO. DPOs' DPOs' LEADE
1 1 1
1 1 1
1 1 1
ACTOR
NE
1RAM
XGER -
JE2
IS VI - X)
CTOR
RS
VI- X)
-
-
-,
0
to
W
o
p-
1-1
(D
O
ft
H-
0>
U>
N)
*.
W
*w
1
O
(-•
>
CO
(D
'd
rt
CD
ID
THERE ARE 12 TAT-DPOs RESPONSIBLE FOR OVERSEEING AND DIRECTING WORK ORDERS TO EACH OF 12 TATs
(7 TATs ASSOCIATED WITH ZONE 1 AND 5 TATs ASSOCIATED WITH ZONE 2). ONE TAT IS ASSOCIATED WITH
EACH OF THE TEN REGIONAL OFFICES ( PLUS ONE ADDITIONAL TAT IN REGION VII). ONE TAT IS ASSOCIATED
WfTH THE ENVIRONMENTAL RESPONSE TEAM IN EDISON, NEW JERSEY. AND ONE TAT PROVIDES DIRECT SUPPORT
TO EPA HEADQUARTERS.
(D
H
CD
-------
OSWER Directive 9242.4-01A
Seotember 1987
EXHIBIT 111-3
ORGANIZATION OF ZONE 2 TAT CONTRACT
EPA
CONTRACTING
OFFICER
EPA
PROJECT
OFFICER
REGION VI
DEPUTY
PROJECT OFFICER
REGION VII (ESD)
DEPUTY
PROJECT OFFICER
REGION VIII
DEPUTY
PROJECT OFFICER
REGION IX
DEPUTY
PROJECT OFFICER
REGION X
DEPUTY
PROJECT OFFICER
CONTRACTOR
ZONE PROGRAM
MANAGER (ZPM)
HOUSTON
SATELLITE
BATON ROUGE
SATELLITE
TAT/REGION VI
TAT LEADER
ST. LOUIS
SATELLITE
TAT/REGION VII (ESD)
TAT LEADER
TAT/REGION VIII
TAT LEADER
LOS ANGELES
SATELLITE
TAT/REGION IX
TAT LEADER
TAT/REGION X
TAT LEADER
PROJECT ORGANIZATION CONTROL
PROJECT COORDINATION LINKS
111-12
(REVISED - JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
CHAPTER IV
INTERFACE WITH OTHER EPA CONTRACTS AND PROGRAMS
AND EXTERNAL AGENCIES
KEY TOPICS
Page
National Contract Laboratory Program (NCLP) IV-2
Field Investigation Team (FIT) Contracts IV-3
Remedial Engineering Management (REM) IV-4
Contracts
Technical Enforcement Support (TES) IV-4
Contracts
Emergency Response Cleanup Services (ERCS) IV-5
Contracts
Alternative Remedial Contract Strategy IV-5
(ARCS)
t
Underground Storage Tanks (UST) Program IV-6
State and Local Agencies, the U.S. Coast IV-6
Guard (USCG) and other Federal Agencies
IV-1 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
CHAPTER IV
INTERFACE WITH OTHER EPA CONTRACTS
AND EXTERNAL -AGENCIES
There are seven other EPA contract and program efforts
that complement the TAT contract program:
National Contract Laboratory Program (.NCLP)
contracts
Field Investigation Team (FIT) Contracts
Remedial Engineering Management (REM) Contracts
Technical Enforcement Support (TES) contracts
Emergency Response Cleanup Services (ERCS)
contracts
Alternative Remedial Contract Strategy (ARCS)
Underground Storage Tanks (UST) program.
In addition,, significant interaction may occur between
the TAT contractor and:
State and local agencies
United States Coast Guard (USCG)
.Other Federal agencies (e.g. DOI) on a
site-specific basis.
The following sections provide a description of, and/or
highlight procedures for utilizing and interfacing with,
each of the above contracts, programs or agencies.
1. NATIONAL CONTRACT LABORATORY PROGRAM (NCLP)
Chemical analytical support is essential to the
successful investigation and cleanup of spills and
hazardous substances sites. To meet this requirement, EPA
has established a nationwide network of contract
laboratories under the National Contract Laboratory
Program (NCLP). Wholly funded with CERCLA funds, the
NCLP's purpose is to provide analytical data for samples
collected at sites to identify threats to public health
and the environment, base assessments of risk, institute
remedial response, and initiate response actions.
IV-2 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
The TAT contractor is encouraged to use the NCLP for
all analytical services except when samples can be
analyzed by EPA Regional labs. The TAT contractor should
contact the Regional Sample Control Center to confirm the
availability of services under the NCLP or the
Environmental Services Division. If specific services
cannot be provided by the NCLP, or if services are not
available.on a timely basis, the TAT contractor may
subcontract for laboratory-analytical services. When the
TAT contractor subcontracts the analytical services,
maximum competition must be obtained in accordance with
Federal Acquisition Regulations. Further, the TAT
contractor is responsible for implementing a plan for
quality assurance. That plan has to provide quality
assurance/quality control comparable to that required
under the NCLP, where analysis is being done by a non-NCLP
laboratory.
Work conducted by the NCLP is coordinated by a
contractor, the Sample Management Office (SMO). In its
efforts to match the analytical needs of the NCLP users
with appropriate contractor laboratories, the SMO has
developed a'manual entitled User's Guide to the National
Contract Laboratory Program. December 1986. In addition
to describing procedures for using the NCLP, the manual
provides a complete description of all analytical.
services, sample requirements, and reports offered under
the program. ~ This is an extremely useful document and
should be referred to in assessing analytical service
needs. For further information regarding the NCLP, write
or call: Hazardous Site Evaluation Division (WH-548A) ,
U.S. EPA, Washington, D.C. 20460, 202/382-7906 or
FTS 8-382-7906.
2. FIELD INVESTIGATION TEAM (FIT) CONTRACTS
The FIT contracts provide technical support for EPA's
field investigation activities at selected uncontrolled
hazardous substance sites. Field investigation activities
under FIT contracts are primarily pre-remedial and
composed of preliminary .assessments and site inspections.
These activities are needed to determine the nature of the
problem at a site as well as the site's eligibility for
remedial response.
The interface of TAT and FIT activities exists when a
removal is required based on the findings made during
field investigations or when a remedial action may be
required after a removal has been completed. Full
cooperation between the personnel of these contracts is
essential. Coordination of the -Regional TAT DPO, FIT
IV-3 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Regional Project Officers, and/or contractor efforts will
ensure a timely response to remedial site situations. All
information regarding the status and technical evaluation
of conditions at a particular site must be communicated to
the appropriate party as warranted by a change in response
actions (i.e., removal to remedial or vice versa). For
further information regarding the FIT contracts, write or
call; Hazardous Site Evaluation Division (WH-548A), U.S.
EPA, Washington, D.C., 20460; 202/382-2467 or FTS
8-382-2467.
'3. REMEDIAL ENGINEERING-MANAGEMENT (REM) CONTRACTS
The REM contracts provide management support for EPA's
remedial planning activities at uncontrolled hazardous
substance sites. Remedial planning activities under the
REM contracts include the implementation of certain
non-time-critical removal measures (e.g., Expedited
Response Actions), remedial investigations/feasibility
studies, and technical and management support activities
including engineering design and construction of small
remedial actions, community relations activities, and
support of enforcement actions.
The interface of TAT and REM activities can exist when
a remedial action may be required after a removal has been
completed or when an emergency response must be initiated
based on a change at a site where remedial planning or
action is in progress. An effective and efficient
response to remedial site situations detailing the type
and extent of contamination at a hazardous waste site can
be ensured through the full cooperation and coordination
among the Regional TAT DPO, REM Regional Project Officers,
and/or contractor efforts. For further information
regarding REM contracts, write or call: Hazardous Site
Control Division, (WH-548E), U.S. EPA, Washington, D.C.
20460; 202/382-6704 or FTS 8-382-6704.
4. TECHNICAL ENFORCEMENT SUPPORT (TES) CONTRACTS
In addition to the technical enforcement support
provided by the TAT, REM and FIT contractors,-EPA
enforcement requires other capabilities that are, in large
measure, unique to the enforcement function, such as
private investigations, title searches, and acquisitions
and analyses of financial records. To obtain these and
similar capabilities, the EPA Office of Waste Programs
Enforcement (OWPE) engages the TES contractors to provide
the following services, which include, but are not limited
to:
IV-4 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Private investigations
Risk/exposure assessments
Responsible party searches
Title searches
Acquisitions and analyses of financial records
Establishment of linkages among corporate entities
General case development support.
There exists a strong potential for interaction
between the TAT contractors and TES contractors. General
management areas for coordination and communication should
be anticipated. For further information regarding the TES
contracts, write or call: Office of Waste Programs
Enforcement (WH-527), U.S. EPA, Washington, DC 20460;
202/382-2105 or FTS 8-382-2105.
5. EMERGENCY RESPONSE CLEANUP SERVICES (ERGS) CONTRACTS
When initiating a. removal action in response to a
hazardous substance release, the On-Scene Coordinator
(OSC) may require the services of the ERCS contractors for
containment, cleanup and disposal of the released
materials. Though the actual work of these cleanup
contractors is directed only by the OSC, TAT personnel may
assist the OSC by monitoring their progress and by
performing various cost control functions to verify and
document ERCS contractor costs. In this capacity, the TAT
contractor assumes only an advisory role to the OSC. Any
comments or suggestions from the TAT regarding the cleanup
contractor activities should be directed only to the OSC.
For further information regarding the ERCS contracts,
write or call: Emergency Response Division, U.S. EPA,
Washington, D.C. 20460; 202/382-7731 or FTS 8-382-7731.
6. ALTERNATIVE REMEDIAL CONTRACTS STRATEGY (ARCS)
OERR has recently developed the Alternative Remedial
Contracts Strategy (ARCS). The purpose of these contracts
is to obtain project management and technical services in
support of EPA's remedial response activities at
uncontrolled hazardous waste disposal sites. ARCS
establishes a pool of remedial response contractors
available in each Region or Multi-Regional Zone.
Contractor activities under ARCS are similar in scope to
the REM contracts described above. ARCS includes remedial
investigation, feasibility studies, remedial design, and
remedial construction.
There exists a potential for interaction between TAT
and ARCS contractors; when working on the same site,
IV-5 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
communication and coordination between these contractors
should occur. For further information regarding ARCS,
write or call: Hazardous Site Control Division (WH-548E),
U.S. EPA, Washington, D.C. 20460, 202/382-7996 or
FTS 8-382-7996.
7. UNDERGROUND STORAGE TANKS (UST) PROGRAM
Under the Superfund Amendments and Reauthorization Act
of 1986 (SARA), EPA's Office of Underground Storage Tanks
(OUST), or a state agency under Cooperative Agreement with
EPA, has been given authority to undertake corrective
action with respect to any release of 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 $500 million 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 TAT, as well as the ERCS-contractor, to
provide assistance in carrying out the cleanup effort.
The type of assistance provided by the TAT contractor may
be similar to that provided under the CERCLA and CWA 311
programs .(i.e., contractor oversight, response monitoring,
site assessment, etc.). However, OSWER Directive
9360.0-16A (Guidance for Conducting Federal-Lead
Underground Storage Tank Corrective Actions) and
Appendix H of that Directive establish UST-specific
procedures for preparation and processing of TDDs for TAT
activities in the UST program. Given EPA policy that LUST
Trust Fund-financed responses at UST petroleum releases
will be conducted by states under Cooperative Agreements
with EPA, except in rare instances, TAT contractor
activity is not likely to be significant in this area.
Only public health emergencies will be handled by the
Federal government. Given the small amount of funding
currently available for UST activities under TAT, Project
Officer approval should be obtained before issuing a TDD
for UST work. For further information regarding the UST
contracts, write or call: Office of Underground Storage
Tanks (WH-562A), U.S. EPA, Washington, D.C. 20460,
202/382-4756 or FTS 8-382-4756.
8. INTERACTION OF TAT WITH STATE AND LOCAL AGENCIES, THE
U.S. COAST GUARD (USCG) AND OTHER FEDERAL AGENCIES
TAT interaction with state and local agencies, the
U.S. Coast Guard (USCG) and other Federal agencies can
occur when TAT monitoring efforts in support of the OSC
IV-6 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
are under the supervision of any of these entities. In
some cases, the OSC may designate an OSC representative to
act in that capacity on a temporary basis. This OSC
representative may be an employee of EPA, the USCG, or a
state or local agency official. For example, the USCG can
proqure the support of a TAT contractor during removal
actions in which the USCG is acting in the capacity of
OSC. The assigned OSC or OSC representative (USCG, state,
local or EPA) can direct the TAT only within the scope of
the TDD issued by the DPO. The TAT may not perform duties
that go beyond the scope of the TDD without the DPO's
modification of the TDD. .When conducting response
activities, the TAT contractors should be fully aware of
the particular roles and responsibilities of these
external concerns and ensure that all interactions are
carefully coordinated by the OSC.
IV-7 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
CHAPTER V
PROCEDURES FOR INITIATING AND
MANAGING TAT ACTIVITIES
KEY TOPICS
Page
The Technical Direction Document (TDD) v-2
Preparing the TDD V-3
Processing the TDD V-ll
Amending the TDD V-12
Special Project TDDs V-12
Acknowledgement of Completion (AOC)/Performance V-13
Observation Report (POR)
Preparing the AOC/POR V-14
Processing the AOC/POR . V-20
V-l (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
data for similar tasks to derive these
estimates. Also, they should coordinate with the
TAT contractor to obtain estimates.
Estimated Hours (Box 9A): The estimate of the
technical labor hours needed to accomplish the
TDD assignment will be the responsibility of the
appropriate PO/DPO. The estimate should be based
on best engineering judgment considering
knowledge of the project or task requirements,
data needs, estimated cost of the project and
previous experience on similar projects. __
Historically, estimated hours have been too low
in several cases. DPOs should be sure to make
reasonable allowances in the future.. This
judgment is generally made in consultation with
the TAT Leader.
Specific Task Elements'(Box 10): This section is
to be used to elaborate on the general task
description and to define interim task
objectives. This section should provide the TAT
Leader with a clear understanding of the
objectives, expected results, and required
deliverables and/or reports. If more space is
needed, the continuation of the description of
specific task elements should be made on a
separate sheet of paper that can be attached to
the TDD. It is permissible to attach
standardized detailed task descriptions to the
TDD for commonly occurring assignments [e.g.,
Spill Prevention Control and Countermeasures
(SPCC) inspections].
Interim Deadlines (Box 11): This box is to be
used to denote completion dates for interim task
objectives, where applicable, within the overall
task to be performed. (If not applicable, mark
the box N/A.)
Desired Report Form (Box 12D): The DPO should
indicate the type of end product desired for the
TDD assignment. Additional information can be
provided in Box 13 or by attaching additional
sheets to the TDD.
Comments (Box 13): This section can be used for
any pertinent items not covered in any of the
above sections.
V-5 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Priority (Box 3A): This box is used to denote
the priority of the request. For example, the
priority should reflect whether an immediate
action is required (high priority), an action is
to be taken within a definite time period
designated in Box 7 (medium priority), or an
action is to be taken within a flexible time
period (low priority).
Key EPA Contact (Box 3B): -This is the name and
phone number of the EPA DPO or PO who issued the
TDD.
Estimate of Total Hours and Total Costs (Box
_4A) : An estimate of the total technical hours
and costs (meant to be a "not to exceed" amount)
including labor and other expenses needed to
accomplish the TDD assignment. The estimate
should be developed by -the DPO based on best
engineering judgment considering knowledge of the
project or task requirements, data needs, and
previous experience on similar projects.
Overtime Approved (Box 4B) : The DPO must specify
whether overtime (time and 1/2) hours are
allowable for the task outlined in the TDD.
•^ -^' ' '
Non^dedicated Approved (Box 4C) : This bo-x
denotes when a work assignment requires services
from personnel not included within the TAT
contract.
EPA Site Name (Box 5A): EPA site name as
specified in CERCLIS. (If not applicable, mark
the box N/A.)
SSID No. (Box 5B): This number will be supplied
by the DPO from the CERCLA Information System
(CERCLIS). (If not applicable, mark the box N/A.)
City/County/State (Box 5C): The city, county,
and state where the EPA Superfund site is
located. This can be.entered by either the DPO
or the TAT Leader.
Source of Funds (Box 6): The .source of funding
for the TAT activity [i.e., either CERCLA, Clean
Water Act (CWA) Section 311, Underground Storage
Tank (UST) Trust Fund or other (e..g., Federal
Emergency Management Agency)]. Only one source
of funding may be used.
V-7 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
CERCLIS ID (Box 7): The DPO is to enter the
CERCLIS identification number for work
assignments at a CERCLIS site. (If not
applicable, mark the box N/A.)
Completion Date (Box 8): This is the date
specified by the DPO for the TAT contractor
submittal of the completed TDD assignment.
Completion dates must not be left "OPEN."
Reference Info. (Box 8A): This item allows the
DPO to provide the TAT contractor with any
reference materials or supplemental information
necessary to expedite TDD completion. At the
same time, accountable control of such
information is maintained.
Type of Activity (Box 9): The specific type of
service to be provided'by the TAT. Definitions
of thesre £ypes are presented as Appendix C.
General Task Description (Box 10): In this
section, the DPO indicates the following:
The type of support desired
r The level of intensity required (the depth
.to which certain issues-should be.pursued)
- Any other pertinent information.
The task description must clearly delineate the
goals and objectives of the activity and the
desired products and/or deliverables. Ambiguous
phrases such as "assist OSC" are not sufficient.
Desired Report Form (Box 11): The PO/DPO should
indicate the type of end product desired for the
TDD assignment. The report may be as a formal
report, letter report, formal briefing, or other
specified format.
Specific Elements (Box 12): This section is to
be used to elaborate on the general task
description and to define interim task
objectives. This section should provide the TAT
Leader with a clear understanding of the
V-8 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
objectives, expected results, and required
deliverables and/or reports. If more space is
needed, the continuation of the description of
specific task elements should be made on a
separate sheet of paper that can be attached to
the TDD. It is permissable to attach standarized
detailed task descriptions to the TDD for
commonly occurring assignments [e.g., Spill
Prevention Control and Countermeasures (SPCC)
inspections.]
Interim Deadlines (Box 13): This box is to be
used to denote completion dates for interim task
objectives, where applicable, within the overall
task to be performed. (If not applicable, mark
the box N/A.)
Authorizing DPO (Box 14): Signature of the DPO
issuing the TDD.
<"Date (Box 15): The date on which the TDD was
signed and issued.
Received bv (Box 16): Signature of the TAT
Leader and indication of whether the TDD is
accepted, accepted with exceptions, or rejected.
If 'the TDD is' accepted with exceptions, this
should be explained on a separate piece of paper.
Date (Box 17): The date on which the TAT Leader
signs the TDD.
Distribution: Indicates who gets which copies of
the TDD.
An example of a completed TDD is provided in
Appendix D. This example helps to illustrate three
important points for the DPO to keep in mind when
preparing a TDD. First, the DPO must be as specific as
possible in describing the scope of work to be performed
by the TAT. Second, the DPO must clearly indicate
contractor reporting requirements. And, finally, it is
extremely important that the DPO include in the TDD
realistic estimates for technical hours and costs needed
to accomplish the assignment.
Although exact tasks and response activities,
particularly those involving emergency situations, may be
somewhat difficult to define, it is very important to the
extent possible to provide specific guidance to the
contractor on the expected work scope (TDD form, Boxes
V-9 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
9-10 on either form) . The task description sho'uld be as
detailed as available information permits so that there is
a clear understanding by the TAT contractor of the
activity objective yet allow some flexibility for
alternative and innovative actions by the contractor as
conditions warrant. Examples of candidate tasks which
could be performed for different types of removal response
or prevention work can be extracted directly from the TAT
contract SOWs contained in Appendix A.
' Care must be taken by the DPO and TAT Leader to ensure
that all tasks requested and performed are within the
bounds of the TAT contract SOWs. Particular attention
must be given to ensure that TDDs do not involve personal
services. For example, the DPO must not direct the TAT to
provide clerical support, travel arrangements, or other
personal services for EPA staff. The DPO is also
forbidden from specifying an individual TAT member to
perform a task. Specific TAT- staffing decisions are the
responsibility of the TAT contractor.
The h
-------
OSWER Directive 9242.4-01A September 1987
completion date, can help to identify the need for
overtime to complete the task. Since the contract limits
the overtime which may be charged, overtime must be
monitored.
The third use for the estimate of technical hours is
to provide the basis for comparison of total estimated
hours for all active TDDs with the total technical hours
available. Total technical hours available can be
computed from the information in the contract. The
difference between the two figures will tell the DPO to
what extent available contractor resources are being
utilized. The TAT contractor can also provide this
information on a regular basis (e.g., biweekly).
1.2 Processing the TDD
Once the TDD is completed it is signed by the DPO or
the DPO's alternate* and forwarded to the contractor TAT
Leader. The contractor TAT Leader can take one of three
actions on the TDD/' If the TDD is acceptable to the TAT
Leader a^i-ssued by the DPO, the TAT Leader signs the TDD
and prtJ^eeds with performance of the assigned activities.
In general, the TAT contractor should be willing to" accept
any assignment within the bounds of the TAT contract SOW.
However, as stated earlier, conducting personal services
for EPA staff is not allowed.
The TAT Leader .can accept the TDD with exceptions". In
this case, the exceptions are to be noted on the form and
a copy is returned to the DPO. The DPO and TAT Leader are
to resolve these exceptions prior to the contractor
commencing work. If necessary, a revised TDD should be
issued reflecting.resolution of any exceptions. If the
issue cannot be resolved on this level, the DPO should
consult with, the PO in Headquarters for guidance. If
necessary, the PO will consult with the contractor ZPM to
try to resolve the situation. If it is resolved, the DPO
may issue a revised TDD reflecting the issue resolution,
and the contractor will proceed with task performance. If
the PO and contractor ZPM cannot resolve the issue, the
matter is referred to the CO for final resolution. Where
possible, and with concurrence of the DPO, the contractor
should begin work on the acceptable work elements of the
TDD, pending resolution of the points at issue.
When the DPO plans to be out of the office and
unavailable to perform contract management functions
the DPO must submit a written request, or telephone
the TAT PO and CO (followed up with a written
request), for approval to appoint an alternate DPO.
V-ll
-------
OSWER Directive 9242.4-01A. September 1987
If the TAT Leader rejects the TDD, it is returned to
the .DPO with an explanation of the reasons for rejection.
The DPO and TAT Leader are to confer to resolve the
situation. If a resolution is reached, a revised TDD can
be issued, if necessary, and the contractor proceeds with
the task. If the DPO and the TAT Leader cannot resolve
the problem, the DPO should contact the PO for guidance as
explained above.
When the TDD is acceptable to both the TAT Leader and
the DPO, it should be signed and dated. Appropriate
copies should be placed in the contractor's and EPA's
central TDD files. The DPO should then send copies of the
TDD to the. PO and CO.
1.3 Amending the TDD
In the event that an issued TDD needs a revision, the
DPO must issue a TDD amendment containing the appropriate
changes. Events that require TDD amendments may include,
for example, an original underestimation of a project's
magnitude or an acceleration of a project's period of
performance^-) For the Zone I contract, the original TDD' s
number wiTil be used together with a suffix capital
letter. Tor example, referring to the previously cited
example, if the TDD is revised, the TDD authorizing the
revision would be numbered 2-8710-3A. For the Zone II
contract, however, a box is provided on the TDD (Box 2) to
indicate that it is an amendment. The revised TDD should
include the material contained in the original TDD and the
revised information so as to be capable of standing
alone. Amendments are to be processed in the same manner
as described above.
1.4 Special Project TDDs
Funding has been obligated for the performance of
special projects under the TAT contracts. Special
projects were discussed in Chapter II and are summarized
in Appendix A. If a special project is required, the DPO
may request the TAT Leader to prepare and submit a work
plan and cost estimate for completing the TDD. The TAT
contractor's work plan should include a detailed technical
approach, schedule for completion and cost breakdown. It
should be sufficiently detailed to provide a base for
guiding work, measuring progress, and controlling
budgets. . The contractor work plan should address the
elements specified in Exhibit V-3.
OSCs and DPOs should recognize the importance of
adequate lead times on the contractor's ability to obtain
the required competition in subcontracting.
V-12 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Upon review and approval of the TAT contractor's work
plan, a TDD will be issued according to the following
procedures:
For special projects estimated to cost under
$10,000, approval authority is granted to the
respective DPO'or PO
In instances where multiple special projects are
issued for the same site, the DPO's authority
shall be extended to a ceiling of $15,000 per site
For special projects estimated to cost $10,000 or
more, or where the total of all special projects
at a site exceed $15,000, approval authority must
be obtained from both the CO and the PO.
Irrespective of the dollar values involved, some
Special Projects subcontracts will require CO consent
because of the contract type.
2. ACKNOWLEDGEMENT OF COMPLETION (AOC)/PERFORMANCE
OBSERVATION REPORT (POR)
Under the previous TAT contract, the contractor was •
responsible for preparing an AOC form for every completed
TDD. This form, which was submitted to the DPO, signified
that the assigned work had been completed.-
Under the present zone contracts, the AOC form has
been combined with the POR form. The FOR form is used by
the contractor and EPA to evaluate the contractor's
performance on the TDD. The AOC and POR forms have been
combined in order to avoid unnecessary duplication of
information. By combining AOC and POR informaton on one
form, the paperwork burden will be reduced and time will
be saved, both for the contractor and for EPA. This
implements the DPOs' suggestions to improve and streamline
the Performance Evaluation/Award Fee Process.
The AOC/POR form will be initiated by the TAT Leader,
who will be responsible for describing what actions were
taken on the assignment, what results were obtained, and
how well the contractor performed vis-a-vis the TDD's
requirements. In this way, the AOC/POR serves both as a
document that signifies completion of the assignment (AOC)
and one that provides the contractor's self-assessment of
performance on the assignment (POR). Alternatively, the
AOC/POR can be treated as just an AOC (signifying
completion of the assignment) and not as a combined
AOC/POR. This occurs at the time the AOC/POR is received
V-13 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
by the DPO, who decides whether or not to evaluate the
contractor's performance on the particular TDD. If the
decision is to evaluate the contractor's performance, the
DPO will describe the performance and provide a rating,
from "1" to "5", on the form. If the decision is not to
evaluate the contractor's performance, the DPO will ignore
the evaluation parts of the form and treat it simply as an
AOC. The AOC portion of the AOC/POR includes information
on actual labor hours expended, the total cost of the.
action, and the type of response taken. The POR portion
provides a description and rating of the contractor's
performance on the TDD. It is strongly suggested that the
DPO meet with the TAT Leader each evaluation period to
discuss which AOC/PORs should be included as part of the
award fee process.
The TAT Leader must submit the completed AOC/POR to
the DPO within ten working days of task completion. The
form can be either an interim AO'C/POR or a final AOC/POR,
depending on whether final cost data are available at time
of submittal. When the TAT Leader submits an interim
AOC/POR, the DPO's signature indicates only an
acknowledgment of receiving the deliverable, not an
acceptance of the costs. Acceptance of costs is reserved
for the final AOC/POR. Jl^he same form should be used to
record interim and f vrfal /costs. It is not necessary to
prepare separate forms'.
2.1 Preparing the AOC/POR
Copies of the AOC/POR forms that will be used for Zone
1 and Zone 2 activities are shown in Exhibits V-4(l) and
V-4(2), respectively. The specific information required
on these AOC/POR forms is described below, beginning first
with the AOC/POR for Zone 1:
Cost Center: This block contains the .number used
to designate each TAT.
Contract No: The TAT Zone 1 contract.number is
68-01-7367.
Contractor: The TAT Zone 1 contractor is Roy F.
Weston, Inc.
TDD Number: This box should contain the same
number that is in Box Number 2 of the TDD. This
information provides assurance that each TDD is
completed.
V-14 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Reporting Element: This specifies which TAT
(i.e., assigned to which Region) performed the
work.
Date(s) of Reported Observation: This box should
contain the period of performance of the TDD
activities.
Approx. No. of Hours: This box should contain
the same number that is in Box Number 9 of the
TDD.
Report Format: This should agree with Box 12 of
the TDD (TAT Zone 1).
Performance Evaluation Category: This should
contain the type of activity conducted under the
TDD; examples are stated in the SOW (Appendix A).
Description of Contractor Observation: This
section should provide a description of the
actions taken by the TAT in response to the TDD.
Sufficient detail should be included to pro.vide a
reasonably clear indication of what' response
action took place and what level and quality of
perf ormance^-w^s^Jattained. Ambiguous phrases such
as "assisted-OSC" should be avoided. In the case
of non-response-type assignments, for example,
training course attendance, description should
show how the activity is related to the overall
TAT contract SOW. The TAT Leader should
reference all deliverables produced. Where
formal briefings, information briefings, etc.,
have been requested and no formal written
submittal of information has been requested by
the DPO, .copies of notes and materials used in
the presentation should be made available to the
DPO or the appropriate staff. It is important
that the reports furnished by the contractor be
in conformance with the specific instructions
given in the TDD. NOTE: If the space is not
sufficient for the description, additional pages
should be attached to the form, as necessary.
Rating: The TAT Leader rates the quality of the
performance, with "5" indicating exceptional and
"1" indicating unsatisfactory. All AOC/PORs
should receive ratings. For further information,
see the description of the performance evaluation
plan, Chapter VII.
V-15 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A- September 1987
Signature of Contractor: The TAT Leader signs
the AOC/POR form.
Date: The TAT Leader dates the form.
For an explanation of the following items, see the
description in Chapter VII.
Description of EPA Observation
Rating
Signature of EPA
Date
Rating
Signature of HQ
Date.
The DPO accepts or rejects the assignment as complete
by checking the following box:
DPO Action: The DPO should check the appropriate
box to indicate the quality of the completed
project assigned by the TDD. The DPO's options
are as follows;
If the DPO accepts the AOC, it is signed.
The original form is then returned to the
contrac-btTrQand copies sent as indicated
below s-e that the TDD can be closed out and
payment made to the contractor.
The DPO can accept the AOC with exceptions,
which are to be noted on the form. Copies
are then distributed as above.
The DPO can reject the AOC. In this case,
the form is returned to the TAT Leader with
an explanation of the reasons for rejection
and measures required to bring the
assignment into conformance.
Before submitting the AOC/POR to the DPO, the TAT Leader
should also complete the following:
Cost to Date: If total cost figures are
unavailable when the AOC is submitted, the TAT
must include interim cost figures and provide the
- date through which the costs were calculated.
This is an interim AOC if total costs are not
reported.
V-16 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Total Cost to Closure: This is the total cost of
work performed under the TDD including direct
labor, travel, expenses, analytical services, and
subcontracts (if applicable). If total cost
information is not available within ten working
days of task completion, an interim AOC should be
submitted with interim cost figures.
Actual Total Hours: The total technical hours
required by the TAT contractor to conduct and
complete the requirements of the TDD must be
recorded in this block. Technical hours do not
include secretarial and typing support. If
information regarding total technical labor hours
expended is not available within ten working days
of task completion, an interim AOC should be-
submitted with interim labor hour figures.
Signatures: The signature blocks are used to
indicate whether the form is an interim AOC or a
final AOC. The signatures are provided as
assurances that the TAT Leader has completed the
assignment in the best manner and in accordance
with the understanding of the task and that the
DPO has received the completed assignment within
the required tjj&a frame.
Distribution: After the TAT Leader completes the
AOC, the original and all copies are distributed
to the DPO, who decides whether to accept or
reject it. If rejected, the AOC is returned to
the TAT Leader. If accepted, it is completed and
distributed according to the distribution list at
the bottom of the form. An interim AOC is
distributed differently than a final AOC. If it
is interim, the DPO removes the bottom sheet
(Goldenrod), places it in the central file, and
returns the remaining copies to the TAT Leader.
When final costs become available, the TAT Leader
fills in the "cost to date" and the "actual total
hours" and returns it to the DPO for signature.
The DPO then distributes the final AOC as
indicated at the bottom of the form.
Sheet 1 (white) to the Headquarters
Evaluation Coordinator
Sheet 2 (white) to the DPO
Sheet 3 (blue) to the TAT Leader
V-17 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Sheet 4 (green) to the ZPM
Sheet 5 (canary) to th,e PO
Sheet 6 (pink) to the CO.
The AOC/POR for Zone 2 will require the following
information elements:
Cost Center: Same as on the Zone 1 TDD.
Contract No.: The TAT Zone 2 contract number is
68-01-7368.
Contractor: The TAT Zone 2 contractor is Ecology
and Environment, Inc.
TDD No.: Same number as shown in Box 2 of the
Zone 2 TDD.
Reporting Element: Same description as for TAT
Zone 1 AOC/POR.
Date(s) of Reported Observation; Same
description as for TAT Zone 1 AOC/POR.
Approx. &e-7"Oif Hours: Same description as for
TAT ZoneS- AOC/POR.
Account No.: Same as the number on the Zone 2
TDD, Box IB.
Performance Evaluation Category; Same
description as for TAT Zone 1 AOC/POR.
Description of Contractor Observation: Same
description as presented for the Zone 1 AOC/POR.
Rating: Same description as for TAT Zone 1
AOC/POR.
Signature of Contractor: Same description as for
TAT Zone 1 AOC/POR.
Date; Same description as for TAT Zone 1 AOC/POR.
If the DPO will use the form as a POR, the following
items are also completed:
Description of EPA Observation
Rating
Signature of EPA
V-18 (REVISED JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
Date
Signature of Regional FOR Coordinator
Date
. . HQ Coordinator's Evaluation
Rating
Signature of HQ
Date.
For an explanation of this portion of the AOC/POR, see the
description in Chapter VII. The AOC portion of the AOC/
FOR continues with the following:
DPO Action: The DPO should check the appropriate
box to indicate the quality of the completed
project assigned by the TDD. The DPO's options
are as follows:
If the DPO accepts the AOC, it is signed.
The original form is then returned to the
contractor and copies sent as indicated
below so that the TDD can be closed out and
payment made to the contractor.
The DPO can accept the AOC with exceptions,
which are to be noted on the form. Copies
are then distributed as above.
The DPO can reject the AOC. In this case,
the form is returned to the TAT Leader with
an explanation of the reasons for rejection
and measures required to bring the
assignment into conformance.
Before submitting the AOC/POR to the DPO, the TAT Leader
should also complete the following:
Cost to Date: Same as for the Zone 1 AOC.
Total Cost to Closure: Same as for the Zone 1
AOC.
:Hours to Date: When total hours figures are
•unavailable when the AOC is submitted, the TAT
must include interim hour figures.
JTotal Hours to Closure; Same as for the Zone 1
. AOC.
Signature and Dates: Same as for the Zone 1 AOC.
Distribution: Indicates who receives which copy
of the AOC.
Finally,;the TAT Leader should attach a blank copy of
Part II,:'the Worksheet of the FOR, to the completed
Part I, before submitting it to the DPO.
V-19
-------
OSWER Directive 9242.4-01A September 1987
2 . 2 Processing the AOC/POR
All AOC/POR forms are initiated by the TAT Leader, who
is responsible for completing the contractor-designated
information on the top one-third of the form. The TAT
Leader is responsible for providing a rating, from "1" to
"5", on every AOC/POR submitted, which provides EPA with
the contractor's self-evaluation of performance on" the
assignment. .
If total project costs and hours are not known at the
time the AOC/POR is due for submission (i.e., within ten
working days of project completion), the TAT Leader should
prepare and submit an interim AOC, signing the form in the
appropriate place. The interim AOC should contain
information on costs and hours incurred to date. The DPO
will then complete and sign the interim AOC, retain the
last copy for the files, and return the package to the TAT
Leader. The DPO's signature indicates acceptance of the
deliverable only, not acceptance of the costs.
As soon as final project cost information becomes
available, the TAT Leader should submit a final AOC/POR
with this information, using the original (interim) AOC/
POR form, and signing it in the appropriate place. It is
the DPO's responsibility to ensure that this procedure is
followed.
The DPO is also responsible for deciding whether the
AOC/POR will be used o_nly as an AOC or as a combined AOC/
POR. In accordance with the TAT contract and the TAT
award fee pl^n] t'he DPO must ensure that evaluations (POR
portions) are"" prepared for at least 60 percent of the
level-of-effort hours assigned during the evaluation
period. The DPO should decide which AOC/PORs will be
treated as PORs in conjunction with the TAT Leader. If it
is used only as an AOC, the DPO does not need to describe
and rate the contractor's performance on the form. If it
is used as a combined AOC/POR, however, then the DPO must
describe and rate the contractor's performance.
Instructions on completing the POR portion of the AOC/POR
are presented in Chapter VII, page Vll-5.
Before signing and dating the AOC/POR, the DPO should
make sure that all materials and services specified in the
TDD have been provided within the required time frame.
Also, if any written deliverables were required under the
TDD, these should be reviewed for accuracy and
acceptability. If they are not acceptable or if some
materials or services have not been provided as required,
the DPO should inform the TAT Leader of these problems and
explain how they should be resolved. Once resolved, the
DPO should approve the final AOC/POR by signing and dating
it, placing it in a central file, and forwarding copies to
the PO and CO.
V-20 (REVISED JULY, 1989)
-------
EXHIBIT V-2(2)
1A. Cost Canter:
r
j^^k Account No.:
P
3A. Priority 4A.
D High
[j Medium
GLOW
3B. Key EPA Contact: 48. C
time
Name: Appr
Phone: QN
9. Type of Activity:
CWA-311
n SPCC
i On- Scene Monito
LJ Spill Clean-up Fu
10. General Task Description:
TAT ZONE II CONTRACT 2. No.:
CONTRACT NO. 68-01-7368 T
XCOLJMI/^AI I^IDC/^TIOM OOOI Itm CMTT /T^Ol
T tunlNIUAL UIH tU 1 lUIN UUuUIVltlM 1 (IDLJ)
ECOLOGY AND ENVIRONMENT, INC.
A me nc
Eitimata of 5A. EPA Sits Narrw:
Total Houn:
iuuii Mm. g8 ssio NQ _ 5C City/County/Stata:
vtr- AC. Non-
dedicated 6. Sourc* of Funds: fj Othar
o»ed: Approved: Q CERCLA
et LJYei U311
Q r~iNo M LIST
m«nt M
7. CERCLIS ID:
8. Completion Date:
8 A. Reference Info:
QYei Q Attached
DNo D Pick-up
CERCLA . AS SPECIFIED ABOVE
M Sita Auwirrwnt |J Special Project Q Quality Aisurance
ring _j Removal Funded |_| Analytical Project "Training
nded M Removal PRP (AO/CO) M Prvparedrwa ~ Program Management
_] On- Site Monitoring M LIST ~ Technical Aiiirtance
Q FEMA LJ Information Management
feL Specific Element!:
^~*
^
14. Authorizing DPO:
(Signature)
bL6. Received by: Q Accepted- (H Accepted with Exception* (Attached) Q Rei»cted
\ (TAIL Si«rwtur«)
11. Desired Report
Form:
C Formal Report
L. Letter Report
L Formal Briefing
Q Other (Specify)
J
•
13. Interim Deadline):
15. Date:
17. Date:
nw^i^,.—, T0070M
Whtt»
Blu»
S Pink
Goklcnrod
OPO Copy
TATL Copy
ZPM Copy
fO Copy
CO Copy
OPO Original (Untuned by TATU
V-23
(REVISED-JULY, 1989)
-------
COST CENTER
CONTRACTOR;
ACKNOWLEDGEMENT OF COMPLETION
PERFORMANCE OBSERVATION REPORT: PART I
CONTRACT NO:
68-OT-7367
ROY F. WESTON, INC.
TOO NO.
. R-EPORTING ELEMENT;
OATE(S) OF REPORTED OBSERVATION
APPROX. NO. OF HOURS
MANCE EVALUATION CATEGORY:
. DESCRIPTION OF CONTRACTOR OBSERVATION BY: NAME/TITLE
FORMAT REPORT
LETTER REPORT
FORMAL BRIEFING
OTHER (SPECIFY)
HATING: 5.-*,3.2.1
SIGNATURE OF CONTRACTOR:
DATE:
DESCRIPTION OF EPA OBSERVATION BY! NAME/TITLE
RATtNOi 5.4,3,2.1
SIGNATURE OF EPAi
SK^^SURE OF REGIONAL POR COORDINATOR!
DATE:
DATE:
«Q COORDINATOR'S EVALUATION 8Yi NAME/TITLE
R.ATINC1: 3.4.3,2,1
SIGNATURE OF
•QPQ ACTION!
ACCEPTED
a
ACCEPTED WITH EXCEPTIONS
a
REJECTED
COST TO DATE: . DATE:
TOTAL COST TO CLOSURE:
ACTUAL TOTAL HOURS:
HCt»Ttr-*TMAT TM« ATTACMtO UATIHIAU W«IT AND COMPLY WITH ALL REQUIBSMtNTS Of TUB SU»JtCT TOO.
TATL SIGNATURE (INTERIM) TATL SIGNATURE (FINAL)
I: ACKNOWLEDGE THAT 1 HAVE BEEN PROVIDED WITH THE MATERIALS AND SERVICES SPECIFIED IN THE
SUMKT TOO WITHIN ITS ORIGINAL OR REVISED TIME FRAMES.
^^^
DfO SIGNATURE (INTERIM) DPO SIGNATURE (FINAL)
DATE:
INTERIM
FINAL
DATE:
INTERIM
FINAL
1H«T«
•»4«T«
ILU» . TATlCOrV
p r ,, . / rir>jT,T.r>r«i~> TT.TT V 1 O Q Q N..
-------
EXHIBIT V-4(2)
.COST CENTER ACKNOWLEDGEMENT OF COMPLETION
PERFORMANCE OBSERVATION REPORT: PART 1
I CONTRACTOR: _ _ .
[I • Ecology and Environment. Inc.
{JJ^BoHTING ELEMENT: OATEIS) OF REPORTED OBSERVATION APPHOX NO. OF HOURS
a PERFORMANCE EVALUATION CATEGORY:
DESCRIPTION OF CONTRACTOR OBSERVATION 8Y:
RATING: 5 t 3.2.1 SIGNATURE OF CONTRACTOR:
'
(DESCRIPTION OF EPA OBSERVATION BY:
NAME/TITLE
tffeTING: 5. 4, 3. 2. 1 SIGNATURE OF EPA:
m •
iSJCNATURE OF REGIONAL POR COORDINATOR:
S-HO.COOROINATOPrS EVALUATION «Y.
NAME/TITLE
RATING. 5. 4. 3. 2, 1 S4GNATURE OF HO:
COPO ACTION: ^ Q ACCEPTED Q ACCEPTED WITH EXCEPTION*
TTTT V
SSt»««4 .ZPMCo«y V-26 ( REVI SED- JULY
CONTRACT NO.:
63-01-7368
TOO NO.
ACCOUNT NO.
DATE:
DATE:
DATE:
DATE:
Q REJECTED
DATE:
INTERIM
FINAL
DATE:
INTERIM
FINAL
TOO6038
, 1989)
-------
OSWER Directive 9242.4-01A September 1987
sheets, expense records, equipment maintenance logs, and
so forth. This visit is not intended to be a formal
audit, but rather a means to determine whether an outside
audit is necessary. Ensuring that required chain-of-
custody and document control procedures are being adhered
to is important in facilitating and supporting potential
cost recovery actions against responsible parties.
Regular monitoring is also important to ensure that
government property is being properly maintained (see
Chapter II). Suggested guidelines for conducting a review
of Regional TAT offices are provided in Appendix E.
VI-8 (REVISED-JULY, 1989)
-------
EXHIBIT VI-2
SUGGESTED FORMAT FOR TDD STATUS TRACKING LOG
MONTH
TDD#
HOUR
DESCRIPTIVE TITLE
S AVAILABLE
DATE
ISSUED
•
HOURS
. EST. ACTUAL
•
COST
EST. ACTUAL
COMPLETION
DATE
EST. ACTUAL
Accron
DATE
RECEIVED
INT. FINAL
-------
OSWER Directive 9242.4-01A September 1987
CHAPTER VII
PERFORMANCE EVALUATION.PLAN
1. COST-PLUS-AWARD-FEE (CPAF) PERFORMANCE EVALUATION PLAN
The TAT contracts are Cost-Plus-Award-Fee (CPAF) con-
tracts, which provide for a "base" fee percentage of the
cost of the contract plus a variable "award" fee fixed at a
predetermined percentage of the estimated cost of the
contract. Each contractor is guaranteed the base fee, but
must earn all or part of the award fee through demonstrated
performance.
Initiation of the performance evaluation process is the
responsibility of the EPA Regional offices, which are
charged with monitoring the day-to-day activities conducted
by the TAT contractors. Regional performance monitors and
Deputy Project Officers (DPOs) will review projects, tasks,
and activities performed by the contractor and complete the
Performance Observation Report portion of the Acknowledge-
ment of Completion/Performance Observation Report (AOC/POR)
forms, which are transmitted from the Region to the Project
Officer (PO), who will serve as Evaluation Coordinator. The
TAT Leader may initiate this process by preparing Part I of
the AOC/POR. Following Headquarters review, these reports
will be assembled into a package to be presented to the
Performance Evaluation Board (PEB) for award fee
determination. Award fee determinations are made by the PEB
twice a year.
Exhibit VII-1 presents-the organizational structure the
Agency will utilize for the award fee performance evaluation
process for the TAT contracts. This chapter outlines the
procedures that will be followed by the Regions and by Head-
quarters; their respective roles and responsibilities; and
the performance evaluation categories, criteria and sched-
ules required to successfully complete the process. The
remainder of the chapter is divided into three sections,
which include:
Regional coordination of the performance evaluation
process
Headquarters coordination of the performance evalu-
ation process
Performance evaluation categories and criteria.
Example AOC/PORs and other required support documentation
are included in Appendix D for illustrative purposes.
VII-2 -(REVISED-JULY, 1989)
-------
EXHIBIT VII-2(1)
CONTRACTOR:
ACKNOWLEDGEMENT OF COMPLETION
PERFORMANCE OBSERVATION REPORT: PARTI
ROYF. WESTON. INC.
ING CLEMENT:
OATE(S) Of RtPORTEO OBSERVATION
,ANCC EVALUATION cATEuORYi
r&o
APPROX. NO. Qf HOURS
OCSC«IPTION OF CONTRACTOR OBSERVATION BY: NAW£/TITl_£
FORMAT REPORT
LETTER RCPORT
FORMAL BRIEFING
OTHER
AATIN-Ot 5.4. 3, J.I
DESCRIPTION OF EPA OSS
'i
|
i
1
UpWAaa
JSIQNATURE OF CONTRACTOR: DATE:
ERVATION iV: NAME/TITLZ "
SIGNATURE OF CPAi DATE:
ifl&jUflCQF AEGlONALPQ* COOROlNAToAi OATEi
*»QCC(QWOJ?*ATO«-i EVALUATION IV, NAJyilyTITLI " "
f
i
:
OOcACTJQft*.
TOTAU.CWTTTO C C O3 U M
•
SIQNATURC OF HQi OATEl
LjACCCPTfO LJ ACCEPTED WITH CXCEJ^TION* LJ REJECTED
OATI: ACTUAL TOTAL HOUKS:
:
lOWATIAlALJUIIT ANOCOMFLY WITH ALL MQUIKIMINTI OF THf SUBJCCT TOO. OATC:
INTERIM
FINAL
|^^ TATUSIONATUnt (INTERIM) TATL SIQNATUWI (FINAL)
''A^^aWtlCOOi THAT 1 HAVE BEEN F8OVIOEO WITH THE MATERIALS AND SERVICES SPECIFIED IN THf OATI:
Sa^fcTTOO WITHIN ITS ORIGINAL O« flf VISED TIM! FBAMfi.
INTERIM
FINAL
OrOSIONATURI(INTE«IM» Of Q 8IQNATURI (FINAU
OOOMdMATQM
-------
VJLX—
1 COST CENTER
ACKNOWLEDGEMENT OF COMPLETION
PERFORMANCE OBSERVATION REPORT: PARTI
CONTRACTOR: . 1
Ecology and Environment, Inc.
LBEPORTING ELEMENT: 1 OATEISJ OF REPORTED OBSERVATION
APPROX NO. OF HOURS
CONTRACT NO.^ ~
68-01-7368
TDD NO.
ACCOUNT NO.
PERFORMANCE EVALUATION CATEGORY
DESCRIPTION OF CONTRACTOR OBSERVATION BY:
RATING: 5. 4. 3. 2. 1
SIGNATURE OF CONTRACTOR:
DATE:
DESCRIPTION OF EPA OBSERVATION BY:
NAME/TITLE
1 RATING: 5. 4. 1 2. 1 SIGNATURE OF EPA:
m
•MR: NATURE OF REGIONAL POR COORDINATOR:
HO COORDINATOR'S EVALUATION BY;
1 NAME/T1TLI
RATING; S, 4. X J.I SIGNATURE OF HCc
DATE:
DATl:
OATI:
OPO ACTION: Q ACCEPTID Q ACCEPTED WITH EXCEPTION* Q REJECTED
r*1*T TO OAT*r OAT». 1 U/M !•« Tn P> AT»-
COrTTOOATt n.T»-
TOTAL COST TO CLOSURf:
HOURS TOO ATT:
TOTAL HOURS TO CLOSURI
1 CERTIFY THAT THE ATTACHED MATERIAL* MEIT AND COMPLY WITH ALL
REQUIREMENTS OF THE SUBJECT TOO.
TATL SIGNATURE (INTERIM) TATL SIGNATURE (FINAL)
1 ACKNOWLEDGE THAT 1 HAVE SEEN PROVIDED WITH THE MATERIALS AND
SERVICES SPECIFIED IN THE SUBJECT TDD WITHIN ITS ORIGINAL OH
REVISED TIME FRAMES.
N—
| DPO SIGNATURE (INTERIM) DPO SIGNATURE (FINAL)
DATE:
INTERIM
FINAL
DAT!:
INTERIM
FINAL
1 Whit*
a Whit*
3 8lu«
4 Qr»m
9
OfOCoov
TATL Cooy
ZfM Cooy
fO Cooy
VII-17 (REVISED-JULY, 1989)
-------
jireccive
EXHIBIT VII-3(1)
TAT CPAF CONTRACT PERFORMANCE OBSERVATION REPORT (POR)
PART II: EVALUATION CRITERIA RATING WORKSHEET
CONTRACT NO.: ' CONTRACTOR: TDD NO.:
88-01- 7M7 ROY F. WESTON. INC.
REPORTING ELEMENT. DATE(S) OF REPORTED OBSERVATION APPRQX. NO. OF HOURS:
PERFORMANCE EVALUATION CATEGORY:
CONTRACTOR REPRESENTATIVE
PERFORMANCE CRITERIA
PROJECT PLANNING
- ORGANIZING (E.G.. WORK PLAN
DEVELOPMENT. DATA REVIEW)
- SCHEDULING
- BUDGETING
TECHNICAL COMPETENCE & INNOVATION
• EFFECTIVENESS OF ANALYSES
- MEET PLAN GOALS
- ADHERE TO REGS. & PROCEDURES
- APPROACH CREATIVITY/INGENUITY
SCHEDULE & COST CONTROL
- BUDGET (HOURS 4 COST) MAINTENANCE
• PRIORITY/SCHEDULE ADJUSTMENTS
• COST MINIMIZATION
REPORTING
- TIMELINESS OF OEUVERA8LES
- CLARITY
• THOROUGHNESS
RESOURCE UTILIZATION
- STAFFING
• SUBCONTRACTING
- EQUIPMENT. TRAVEL. ETC.
EFFORT
I- RESPONSIVENESS
•MOBILIZATION
•AY-TO-DAY
SPECIAL SITUATIONS (E.G, ADVERSE/
DANGEROUS CONDITIONS)
RATING
<
t.
1
9
1
<
A
1
?
1
<
*
1
9
1
•t
A
1
">
1
*
A.
*
9
1
«
1
t
9
1
EPA PERFORMANCE MONITOR
SUPPORTING COMMENTS
•
VII-18 (REVISED-JULY, 1989)
t OoKtaraM — TATLCevr
-------
EXHIBIT VII-3(2)
TAT CPAF CONTRACT PERFORMANCE OBSERVATION REPORT (POR)
PART II. EVALUATION CRITERIA RATING WORKSHEET
ONTRACTNO. :
68-01-7368
CONTRACTOR:
Ecology and Environment, Inc.
TOO NO.:
REPORTING ELEMENT:
OATEIS) OF REPORTED OBSERVATION | APPROX. NO. OF HOURS
PERFORMANCE EVALUATION CATEGORY:
CONTRACTOR REPRESENTATIVE
EPA PERFORMANCE MONITOR
PERFORMANCE CRITERIA
RATING
SUPPORTING COMMENTS
PROJECT PLANNING
— Organizing (E.G., Work Plan
O*v«4opm«nt. Data Rrrt*«w|
— Scheduling
— Budgeting
TECHNICAL COMPETENCE & INNOVATION
- EHtctivwvm ol Analyst
- Mvrt Plan Goals
— Adhart to R«gv & Procvdurtt
— Approach CrMtmty/lng«nuity
HEDULE & COST CONTROL
'- Budget (Hourj & Coal Mamtananc*
— Priorrty/Sch«dul« Adju«m«nti
— COA Minimization
REPORTING
— Timvlinta o> Othvcrabln
- CUriry
— Thorou9hn«*»
.5
.4
,3
.2
. 1
RESOURCE UTILIZATION
— Subcontracting
— Equipment, Trawl. Etc.
.5
.4
.3
.2
, 1
£FFORT
— R*tponsiv«n«u
— Mobilization
— O«y-to-day
— Sp«cUI Situation (E.G., Adv«r»/
Oang«rous Conditiont)
.5
.4
.3
.2
.1
(Distribution:
Sh*it 1 Whit*
£h««t 2 Blue
3 Gr««n
• HQS Coordinator
• OPO Copy
• TATL Copy
Sh«*t 4 Canary
Srt*at 5 Pink
Sn««t 6 Goldcnrod
ZPM Copy
PO Copy
CO Copy
T005037
VII-19 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-4(1)
Performance Evaluation
Period #6
Cut-off Date for Contractor
Activities to be considered
for Subject Evaluation Period
Last Day Performance Observation
Reports are accepted by Regional
FOR Coordinator
Regional Performance Evaluation
Package Due to Headquarters
Project Officer
Headquarters Performance
Evaluation Package due to PEB
PEB Review Meeting
Award Fee Notification
Letter to Contractor
October 1, 1988 -
March 31. 1989
March 31, 1989
April 7, 1989
April 14, 1989
May 1, 1989
May 11, 1989
June 12, 1989
Performance Evaluation
Period #7
Cut-off Date for Contractor
Activities to be considered
for Subject Evaluation Period
Last Day Performance Observation
Reports are accepted by Regional
FOR Coordinator
Regional Performance Evaluation
Package Due to Headquarters
Project Officer
Headquarters Performance
Evaluation Package due to PEB
PEB Review Meeting
Award Fee Notification
Letter to Contractor
April 1, 1989 -
September 30, 1989
September 22, 1989
September 29, 1989
October 6, 1989
October 23, 1989
October 31, 1989
November 30, 1989
VII-20 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-4(2)
Performance Evaluation
Period #8
Cut-off Date for Contractor
Activities to be considered
for Subject Evaluation Period
Last Day Performance Observation
Reports are accepted by Regional
POR Coordinator
Regional Performance Evaluation
Package Due to Headquarters
Project Officer
Headquarters Performance
Evaluation Package due to PEB
PEB Review Meeting
Award Fee Notification
Letter to Contractor
October 1, 1989 -
March 31. 199Q
March 23, 1990
March 30, 1990
April 6, 1990
April 23, 1990
May 1, 1990
June 1, 1990
Performance Evaluation
Period #9
Cut-off Date for Contractor
Activities to be considered
for Subject Evaluation Period
Last Day Performance Observation
Reports are accepted by Regional
POR Coordinator
Regional Performance Evaluation
Package Due to Headquarters
Project Officer-
Headquarters Performance
Evaluation Package due to PEB
PEB Review Meeting
Award Fee Notification
Letter to Contractor
April 1, 1989 -
September 30. 1990
September 21, 1990
September 28, 1990
October 5, 1990
October 22, 1990
October 30, 1990
November 30, 1990
VII-21 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-5
U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION X
Example Cover Memorandum for Regional Award
Fee Performance Evaluation Package
DATE: 20 June 1986
SUBJECT: Region X TAT Performance Observation Reports for the
Period 1 February to 30 May 1986 (Second Trimester
.of Fiscal Year 1986, Second TAT Contract Option
Year)
FROM: John Smith, Regional FOR Coordinator
TO: Jack Jones, EPA Headquarters TAT Project Officer
Enclosed is the Performance Observation Report (POR)
Summary statement for the second trimester reporting period
for Fiscal Year 1986. Also enclosed are the final eleven
PORs generated during the evaluation period. A total of 35
tasks have been evaluated during the .1 February to 30 .May
1986 reporting period. A total of 3,468 hours have been
evaluated representing ' 65% of the total TAT TDD hours
expended for the trimester.
The Region X team continues to provide consistent high
quality support to the Region SRES staff in all phases of
the removal and emergency response program. Due to the
restrictions in CERCLA funding through most of the reporting
period, site assessment activities composed the vast
majority of the TAT effort through the spring months. The
latter part of the trimester has been solely devoted to two
major removal actions at the Bunker Hill NPL site in
northern Idaho, arid at the Standard Steel Metals and Salvage
Yard in Anchorage, Alaska. However, these efforts are not
reflected in this evaluation package.; The team continues to
strive to upgrade the program's overall removal and response
capabilities through improved data and information
management systems, enhanced electonic communications and
continued improvements -in basic field joperations .
The primary focus of the TAT effort remains with waste
site assessments and investigations. Of the total hours
evaluated in the period, 68% were for site assessment and
investigative activities, 12% were to provide training, 7%
were for oil spill responses, and 5% were for contingency
planning. TDD issuance in the period follows a similar
trend of heavy TAT utilization in assessment, response and
VII-22 (REVISED- JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
removal operations with 84% of the 44 tasks being written
for field action (23 for assessments, 6 for oil spills, 5
for removals and 3 for hazardous material spill response).
The expansion of the Region 10 TAT in the first
trimester of this year has proven to be extremely beneficial
in light of the high level of activity currently underway in
the program. The two new members have rapidly developed
into pragmatic, reliable response personnel and have proven
themselves in a wide variety of response situations. The
team remains fully staffed, ensuring maximum continuity
through the remainder of the contract.
As a result of the heavy emphasis on site assessment
operations in the past trimester, the TAT was involved in a
wide variety of field operations during the reporting
period. The team demonstrated excellent versatility in
revising a sampling program for-an extensive site assessment
on very short notice. The assessment of the American
Plating Facility in Tacoma, Washington was scheduled for two
full days to inventory, 'characterize and sample 80
processing tanks and a septic tank including acidic, caustic
and cyanide wastes; as well as to inventory other containers
on site and conduct a soil extent-of-contamination survey.
Due to difficulties in negotiations between the responsible
party and the state DOE, access was restricted to a
five-hour time period. The team quickly and effectively
revised field techniques and procedures and were able to
complete a thorough investigation- within the time frame
imposed. The TAT has also significantly upgraded their
sample characterization procedures and were able to realize
cost savings of three to five thousand dollars by screening
and categorizing samples.
The TAT also demonstrated excellent adaptability and
overall field expertise at an assessment of the Helfrich
Property site in Portland, Oregon. Site files in the Region
and indicated that the site contained approximately 50 drums
of unknown origin. Upon arriving at the site and conducting
a pre-sampling inventory of the grounds and barn that was
used for storage, the residential site was found to have
approximately 200 55-gallon drums and several thousand
containers of various sizes, types and materials. The team
wjas effective in revising the assessment program to provide
a' thorough materials inventory, open and sample an adequate
number of containers to achieve a reasonable representation
of materials present, perform a brief soil contamination
survey and provide a well documented evaluation of the
health and environmental threat posed by the facility.
Significant savings (perhaps twenty to fifty thousand
dollars) in analytical costs were again realized through the
team's field characterization and data was provided
VII-23 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
immediately indicating that many of the products in.storage
were highly flammable paint products falling under RCRA
regulation. The TAT field effort required extended periods
in Level B protection. The assessment was completed in a
safe and highly effective manner.
During the report period TAT personnel" also responded on
short notice to a vapor release of formaldehyde from a
leaking rail car in Alaska. Two TAT members responded
directly from the office within hours for an extended stay
on the Kenai Peninsula. The team assisted local, state .and
federal personnel with air, soil and snow sampling; and with
an assessment of the impacts of the release on towns in the
vicinity of Moose Pass. TAT members also worked on a
response to a 60,000-gallon diesel fuel spill from the
ruptured Olympic Pipeline in Tukwila, Washington. The TAT
provided a rapid, acurate evaluation of the quantity of
spilled product reaching the adjacent Green River and a
wetland area. Team members closely tracked the progress and
effectiveness of the cleanup and subsequent mitigative
measures.
In summary, the Region 10 TAT continues to serve the EPA
SRES in a highly professional, effective and competent
manner. The composition and responsiveness of the team has
proven to be highly consistent throughout the program. All
subcontract services have been provided in a timely and well
managed fashion. The team has utilized their equipment and
computer systems very effectively and are continually
seeking to upgrade the quality of service provided.
Accordingly, an award fee in the range of 70-80% is
suggested. If you have any questions regarding this
evaluation please feel free to contact me at FTS 8-555-1234.
VII-24 (REVISED-JULY, 1989)
-------
EXHIBIT VII-6
SUMMAAY Of TAT CONTRACT PS^POAMAMCI 03tt*V>
CONTACT NO.
KMOflMAftCI fVALUATK* CATOOAT
, CCNTJUCTOA: TAT\. Q* **%»
TOTAL HOU*t *£*OATIO
TOO
NUMtffl
CCWTAACTOA
^TION Af JOHT1
WKXJ »OIWC
TAT 0*0
TOTAL HOCAS WOAUD
— — «
•
8
P
IAJ
WC»T C* HOATIO
IB)
TOTACHOUA4
D7COCO
CX^CNOCO
1C)
TOTAL Of «WX>tAt WtJQMTfD MT1WH (A) I (O •
TOTAL C* HQ weCHTK fUTMQl (Bl i IO •
1 TOTAI. HOURS (X?eiOCO (O
KtCUOMAL^
«M
WfKSHTIO
AAT1NO4
MfOON I HQ
(AiilC) 1 (B)ilC)
AVtAAQI
WBOITH)
AAT1WO
AV1AAO<
AAHNO
HQ fVAXUATTCW COOACtfiATO* H^w«« *W 0»*
VII-25 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-7(1)
Reporting Elements
ZONE 1
Each TAT associated with the following EPA.office loca-
tions will be evaluated as a separate reporting element.
These eight elements include:
Region I
Region II
(including satellite office for
Puerto Rico)
Region III (including satellite office for
Wheeling, West Virginia)
(including satellite offices for
Memphis, Tennessee, and Louis-
ville, Kentucky)
(including satellite offices for
Cleveland, Ohio; Detroit, Michi-
gan; and Cincinnati, Ohio)
Region IV
Region V
ERT Edison
EPA Headquarters TAT
ZPMO
VII-26 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-7(2)
Reporting Elements
ZONE 2
Each TAT associated with the following EPA office loca-
tions will be evaluated as a separate reporting element.
These seven elements include:
Region VI (including two satellite offices
for Houston, Texas, and Baton
Rouge, Louisiana)
Region VII (including satellite office for
St. Louis)
Region VIII
Region IX (including satellite office for
Los Angeles, California)
Region X
ZPMO
VII-27 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-8(1)
TAT Contract Performance Evaluation Board
Zone 1
Fee Determination Official
Mr. Pat Patterson
Chief, Emergency Response
Branch
Procurement and Contracts
Management Division •
Performance Evaluation Board
Mr. Timothy Fields, Jr.
Mr. Mark Mjoness
Ms. Karen Tomimatsu
Mr. Jack Farlow
Mr. John Gustafson
Mr. Michael Norman
Mr. Dennis Carney
Non-voting Member:
John Comstock
Director, Emergency Re-
sponse Division
(Chairperson)
Acting Chief, Eastern
Response Section, ERD
Zone I TAT Contracting
Officer, Administration
Section, ERB/PCMD
Chief, Releases Control-
Branch, Office of Research
& Development (Edison)
Preparedness Staff,
OSWER
On-Scene Coordinator,
Region IV
Assistant Chief, Superfund
Branch Region III
Office of Program
Management, OSWER
Evaluation Coordinator and Executive Secretary
Mrs. Patricia Hawkins
Zone I Project Officer,
Emergency Response Division
VII-28 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4r-01A September 1987
EXHIBIT VII-8(2)
TAT Contract Performance Evaluation Board
Zone 2
Fee Determination Official
Mr. Pat Patterson - Acting Chief, Emergency
Response Contracting
Branch, Procurement and
Contracts Management
Division
Performance Evaluation Board
Mr. Timothy Fields, Jr. - • Director, Emergency Re-
sponse Division (Chairman)
Ms. Linda Garczynski - Chief, Western Operations
Section
Mr. Jack Farlow - Chief, Releases Control
Branch, ORD
Ms. Karen Tomimatsu - Zone II TAT Contracting
Officer, Administration
Section, ERB/PCMD
Mr. James Everts - Chief, Superfund Response
and Investigation Section
Mr. John Gustafson - Preparedness Staff, OSWER
Mr. Floyd Nichols - Chief, Field Response
Section, Region VIII
Evaluation Coordinator and Executive Secretary
Ms. .Sus.an_Janowiak - Zone II Project Officer,
Emergency Response Division
VII-29 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-OlA September 1987
EXHIBIT VII-9(1)
Award Fee Allocation Matrix for TAT Contract
Zone 1
Performance
Categories
Region I
Region II
Region III
Region IV
Region V
ERT
Head-
quarters
ZPMO
Percent of Available Fee/Category Period
4 5 . 6.7 89
% % % % % %
10.6 10.6 10.6 10.6 10.6 10.6
17.6 17.6 17.6 17.6 17.6 17.6
26.0 26.0 26.0 26.0 26.0 26.0
13.4 13.4 13.4 13.4 13.4 13.4
19.7 19.7 19.7 19.7 .19.7 19.7
3.6 3.6 3.6 3.6 3.6 3.6
7.7 7.7 7.7 7.7 7.7 7.7
1.4 1.4 1.4 'l.4 1.4 1.4
Based on the following evaluation periods:
Period 4 - February 1988 - May 1988
Period 5 June 1988 - September 1988
Period 6 - October 1988 - March 1989
Period 7 - April 1989 - September 1989
Period 8 - October 1989 - March 1990
Period 9 - April 1990 - October 1990
VII-30 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-9(2)
Award Fee Allocation Matrix for TAT Contract
Zone 2
Performance
Categories
Region VI
**Region VII
ESD
**Region VII
• WMD
Region VIII.
Region IX
Region X
ZPMO
Percent of Available Fee/Category Period*
456789
% \ S % S %
23.0 23.0 23.0 23.0 30.0 30.0
25.3 25.3 25.3 26.0 26.0 26.0
10:3 10.3 10.3
9.3 9.3 9.3 11.0 11.0 11.0
19.5 19.5 19.5 20.0 20.0 20.0
10.3 10.3 10.3 10.5 10.5 10.5
.2.3 2.3 2.3 2.5 '2.5 2.5
Based on the following evaluation periods;
Period
Period
Period
Period
Period
Period
- February 1988 - May 1988
- June 1988 - September 1988
- October 1988 - March 1989
- April 1989 - September 1989
- October 1989 - March 1990 '
- April 1990 - September 1990
** Region VII ESD TAT and Region VII WMD TAT were combined into one
team during the middle of the sixth rating period.
VII-31
(REVISED -JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-lO(l)
TAT Contract Performance Evaluation Criteria
PROJECT PLANNING
Development of work plans
Development of project cost estimates and schedules
Collection and review of existing information
Elimination of duplicative efforts
Scheduling and budgeting multiple projects within
cost and priority requirements.
TECHNICAL COMPETENCE AND INNOVATION
Effectiveness and thoroughness of analyses and
responses to technical direction
Accomplishment of goals and objectives
Development of alternatives and implementation of
course- of action
Adherence to Agency and other Federal regulations,
procedures, and guidelines (e.g., health and
safety, chain-of-custody/document control, CERCLA
and RCRA regulations, subcontracting, etc.)
. Provision of technical support to states and other
Agency or Federal offices
Creativity and ingenuity in approach (e.g./ devel-
opment of cost-effective or technically innovative
control/removal schemes)
SCHEDULE AND COST CONTROL
Adherence to planned budgets and schedules
Adjustment of schedule and priority requirements
Ability to minimize costs
VII-32 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-10(2)
REPORTING
Timeliness of deliverables (e.g., site operations
plans, progress reports, project reports, work plans)
Clarity and thoroughness of project documentation
(e.g., identification of problem and recommended
solution, discussion of alternatives)
RESOURCE UTILIZATION
Suitability of staffing, recruiting and training of
personnel
Supervision and "direction of the TAT members by TAT
Leaders
Ability to obtain subcontractors and outside con-
sultants for special projects (e.g, lead time mini-
mization and quality)
Attention to equipment maintenance and accounting,
minimization of travel costs, etc.
EFFORT
Responsiveness
Availability, preparedness and mobilization of
resources for contract overall and specific assign-
ment
Regularity and effectiveness of day-to-day support/
communication with Regional/Headquarters personnel
and other organizations and individuals involved
with the removal program,
Performance in special situations (e.g., adverse/
dangerous conditions or expedited time frames).
VII-33 (REVISED-JULY, 1989)
-------
EXHIBIT VIM 1
RATING GUIDELINES FOR PERFORMANCE EVALUATION CRITERIA
RATING
5
EXCEPTIONAL
4
EXCEEDED
EXPECTATIONS
3
SATISFACTORY
2
MARGINAL
1
UNSATISFACTORY
TAT PERFORMANCE EVALUATION CRfTERIA
PROJECT PLANNING
Ensures that cost/time Is
mlnknbed lo me«l technical
direction specifications
"Fast tracking" or
streamlined approaches
Implemented as necessary
Provides lor significant
cost/lime savings and
contains adequate
approaches to address
requirements contained In
TOO
Adequate to meet require-
ments specified In
Statement(s) ol Work,
and goals end objectives ol
the program and/or contract
requirements
Work assignment or
contract specifications not
completely addressed
Cost and/or time dispro-
portionate to required level
ol effort
Incorrect identification of
requirements needed to
meet TDD SOW
Inadequate schedule to
provide quality product or
service
TECHNCAL
COMPETENCE
AND INNOVATION
Innovative technical solution
applied
Results may establish
state-of-the-art approach lo
address problems
Met original established remov.
action goals and objectives
Quality was above average ol
eipci icnce with similar type
contractors over past 2 years
Quality was average ol ex-
perience with similar type
contractors over past 2 years
Quality was below average ol
experience with similar type
contractors over past 2 years
Lack of technical competence
evident in any ol major
technical or management
areas addressed
SCHEDULE AND
COST CONTTiOl
Original schedule met in spite
of major operation impediment:
Services completed ahead of
schedule at a reduced cost lo
the Government than originally
estimated
I
Original schedule met In spite
of mkior operational
impediments
Services completed on
schedule at a reduced cost to
the Government
Original schedule met
Cost was reason able
• considering scope ol effort
Original schedule slipped
without adequate warning or
justification
Available cost savings not
taken advantage ol
Activities completed so late
as to have resulted in loss of
utility or negatively impacted
program
REROUTING
Reports provide such insight
Into key problems and potential
solutions as to serv« as
master plan for corrective
action
No re-write ol report required
by EPA personnel
All reports are ol consistent
high quality, both in content
and presentation
No re-write ol report required
by EPA personnel
All required reports were
delivered on lime and with
contents as specified
Required reports were
delivered within t-5 days after
due dale but without
justification or warning
Contents ol report not as
specified
Required reports delivered
more lhan one week late
without adequate justification
or warning
Contents of reports Inadequate
to permit interpretation of
problems or actions
ML SOUl ICE
UIILI2ATION
All ol th« contractor resources
are applied lo minimize costs .
and tine, white enhancing
overall work quality
Ono or a lew of the contractor
resources are utilized efficiently
resulting in cost or lime savings
and providing specified quality
ol work
Stall ing, subcontracting,
equipment, and other resources
(e.g., travel) adequately utilized
to meet project end contract
requirements
One or a lew of contractor
resources are not used
ellic lenity, resulting in cost
overruns and time delays
Consistent poor utilization of
resources which hinders the
implementation of the program
EfFOIIf
Contingency plans always
developed
Response actions liiken In
eitrcme weather conditions or
high risk areas
Personal eflort well beyond
contract requirements
Appropriate resource allocation
to counter operations
impediments
Responsive lo minor changes
In scopo ol work and priority
adjustments
Resources mobilized in
sufficient lime lo meet
established budget/ schedule
Regular communication and
Interaction with Agency
personnel
Elf oil was below average ol
experience with similjr typo of
contractors over the last two
years under similar
circumstances
t
Ad hoc requests and
operational impediments
unaddressed, and adequate
warning or justification was
not provided or was
unacceptable
-------
OSWER Directive 9242.4-01A September 1987
EXHIBIT VII-12
Award Fee Percentages vs. Performance Assessment Definitions
PERFORMANCE SPECTRUM
Q 20 40 50 60 80 100
0-19 Performance below 20 is indicative of serious
mismanagement, negligence, and/or incom-
petence. Continued performance at this level
may require the Government to consider contract
termination for cause.
20 - 39 Performance between 20 and 39 is substandard,
and requires the contractor to take immediate
corrective action. Areas of adequate or better
performance are offset significantly by poorer
performance in other areas.
40 - 59 Performance between 40 and 59 is satisfactory,
with the 50 point being the expressed level of
satisfactory performance that can be expected
from a good CPAF contractor. Areas 'requiring
— -improvement are approximately offset by better
performance in other areas.
60 - 79 Performance between 60 and 79 is superior. The
satisfactory level is exceeded and the monitors
can cite only a few minor areas requiting im-
provement.
80 - 100 Performance of 80 or above is outstanding.
There are no significant areas of poor
performance and there are factors indicating
creativity, ingenuity, initiative, and/or
excellent performance under very adverse -
circumstances..
VII-35 (REVISED-JULY, 1989)
-------
OSWER Directive 9242.4-01A September 1987
2. Training Activities
(a) In coordination with ERT, assist in training E*PA
response and contractor personnel, and state and local
emergency response personnel in skills and expertise re-
quired for handling multimedia emergencies caused by oil,
hazardous substances, and toxic waste. Such training
shall include contractor personnel and State and local em-
ergency response personnel in skills and expertise re-
quired for handling multimedia emergencies caused by oil,
hazardous substances, and toxic waste. Such training
shall include, but not be limited to: classroom training,
exercises, field training, and response practice drills
and simulations. The TAT Leaders shall be responsible for
preparing a periodic training schedule and addressing regu-
larly scheduled training sessions. Specific goals of the
training program are to train response personnel in the
following areas:
(a) use of personal safety equipment and
appreciation of the limitations of such
equipment
(b) identification and evaluation of disposal
sites
(c) implementation of oil and hazardous
substances contingency plans
(d) development of proficiency in performing the
duties of a response team member
(e) emergency and notification procedures
(f) assessing environmental and health hazards
(g) use of technical assistance data systems
(h) hazardous waste site entry procedures •
(i) proper decontamination procedures
(j) methods or techniques to track all site
costs of cleanup contractor services on a
daily basis.
(b) Assist EPA Regional offices in training state and
local personnel in support of the CEPP.
A-8 (REVISED-JULY, 1989)
------- |