vvEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: 9242.6-01
TITLE: ARCS WORK ASSIGNMENT
MANAGEMENT
FIELD GUIDE
APPROVAL DATE: January 1989
EFFECTIVE DATE: January 1989
ORIGINATING OFFICE: <*«« of Solid Waste
0 FINAL
D DRAFT
STATUS:
[ ] A- Pending OMB approval
{ j B- Pending AA-OSWER approval
[ ] C- For review &/or comment
[ ] D- .In development or circulating
headquarters
REFERENCE (other documents):
OSWER OSWER OSWER
fE DIRECTIVE DIRECTIVE Di
-------
&EPA
ARCS WORK ASSIGNMENT
MANAGEMENT
FIELD GUIDE
January 1989
OSWER Directive # 9242.6-01
U.S. Environmental Protection Agency
Office of Emergency and Remedial Response
-------
United S!3
Environment
tection
Center for Environmental Research
Information
QH 45268
Official Business
Penalty for Private Use. $300
Please make all necessary changes on the above label,
detach or copy, and return to the address in the upper
(oft-hand corner
II you do not wish to receive these reports CHECK HERE D;
detach, or copy this cover, and return to the address tn the
upper left-hand corner
EPA/540/G-89/004
-------
TABLE OF CONTENTS
CHAPTER
TOPIC
Sl:¥:-£
Ka::v/.WS:-v:«-Jft:$J;¥ v
Acronyms/
Definitions
|
1
^Kri&S&SiSSyiSiiifS
Introduction
Authorities
-------
ACRONYMS/DEFINITIONS
-------
SUPERFUND ACRONYMS
AA - Assistant Administrator
ACE - U.S. Army Corps o( Engineers (more appropriately referred lo as COE)
ACL - Alternate Concentration Limit
AOCR - Automated Document.Control Register
ADI - Acceptable Daily Intake
AAE - Architecture & Engineering
AER - Appropriate Extent of Remedy
AH - Allowance Holder
AM - Action Memorandum
AMAS - Administrators' Management Accountability System (in FY8S, replaced by
SPMS)
AO - Administrative Order
AOC - Administrative Order on Consent
ARAR - Applicable or Relevant and Appropriate Requirements (of Federal laws)
ARCS - Alternative Remedial Contract Strategy
ATSDR - Agency for Toxic Substances and Disease Registry (HHS)
BFS - Budget and Forecasting Section (OMP/OERR)
CA - Cooperative Agreement
CAA - Clean Air Act
CANS - Collection of Account Number System
CBI - Confidential Business Information
CO - Consent Decree
CDC - Centers for Disease Control
CEAT - Contractor Evidence Audit Team
CERCLA - Comprehensive Environmental Response, Compensation and Liability Act ot
1980
CERCLIS - Comprehensive Environmental Response, Compensation and Liability
Information System
CERI - Center for Environmental Research Information
CFR - Code of Federal Regulations
CH - Clearing House
CHMETREC - Chemical Transportation Emergency Center System
-------
CHRIS - Chemical Hazard Response Information System
CIS - Chemical Information System
CLP - Contract Laboratory Program
CMS - Case Management System
CN • Commitment Notice
CO - Contracting Officer
COE • U.S. Army Corps of Engineers
CPAF - Cost-Plus-Award-Fee
CPCA - Core Program Cooperative Agreement
CPFF - Cost-Plus-Fixed-Fee
CRA - Community Relations Assessment
CRP - Community Relations Plan
CWA - Clean Water Act
DBA - Data Base Analyst
DCN - Document Control Number
OCR - Document Control Register
DMB - Data Management Branch
DO - Duty Officer
DOA - Department of Agriculture
DOC - Department of Commerce
DOO • Department of Defense
DOE - Department of Energy
DOI • Department of Interior
DOJ - Department of Justice
DDL • Department of Labor
DOS - Department of Slate
DOT - Department of Transportation
DPO - Deputy Project Officer
DRA - Deputy Regional Administrator
EA - Endangermenl Assessment
EADS - Environmental Assessment Data System
EDO - Enforcement Decision Document
in
-------
EE1 - Essential Elements ol Information
EERU - Environmental Emergency Response Unit
EMIS - Enforcement Management Information System
EMSL-LV - Environmental Monitoring Systems Laboratory - Las Vegas
EPA - Environmental Protection Agency
EPIC • Environmental Photographic Interpretation Center
EBB - Environmental Response Branch
ERCS - Emergency Response Cleanup Services
ERO - Emergency Response Division
EROO - Enforcement Record of Decision
ERRIS - Emergency & Remedial Response Information Systems
ERT - Environmental Response Team
ESAT - Environmental Services Assistance Team
ESD - Environmental Services Division
FAMS - Financial and Administrative Management Section
FAN • Fixed Account Numbers
FAR - Federal Acquisition Regulation
FCC - Funds Control Center (OMP/OERR)
FOO - Fee Determination Official
FEMA - Federal Emergency Management Agency
FIT - Reid Investigation Team
FMD • Financial Management Division
FMO - Financial Management Officer
FMS • Financial Management System
FNSI - Finding of No Significant Impact
FOIA - Freedom of Information Act
FOP - Field Operations Plan
FPPB • Fiscal Policies and Procedures Branch (FMD/OC)
FR - Federal Register
FRAB • Financial Reports and Analysis Branch (FMD/OC)
FRP - Funding Recommendations Package
FS • Feasibility Study
iv
-------
FSR - Financial Status Report
FTE - Full-Time Equivalent
FWPCA - Federal Water PoJIulkm Control Act
FY - Fiscal Year
GAD - Grants Administration Division (OA)
GIAB - Grants Iniormalion and Analysis Branch (GAD/OA)
GICS - Grants Information Control System
GOB - Grants Operation Branch (GAD/OA)
GWPS • Ground Water Protection Strategy
MACS - Hazard Assessment Computer System
HAOB - Headquarters Accounting Operations Branch (FMD/OC)
HHS - (Department ot) HeaKh and Human Services
HIDS - Hazardous Incident Data System
HO - EPA Headquarters
HQRS - Headquarters Reporting System
HRS - Hazard Ranking System
HSCD - Hazardous Site Control Division
HSED - Hazardous Site Evaluation Division
HWDMS - Hazardous Waste Data Management System
IAG - Interagency Agreement
IFB - Invitation tor Bids
G - EPA Inspector General
IPL - Interim Priority List
IMC - Information Management Coordinator
IRM - Initial Remedial Measure
JLC - Justification for Limited Competition
JNCP - Justification for Non-Competitive Procurement
LOC - Letter of Credit
LOE - Level ot Effort
LUST - Leaking Underground Storage Tanks
M8E - Minority Business Enterprise
MCL - Maximum Concentration Limit
-------
MIDSD - Management Information & Data Systems Division (now called OIRM)
MOM - Management of Migration
MOD - Memorandum of Understanding
MSCA - Multi-Site Cooperative Agreement
NBAR - Non-Binding Preliminary Allocation of Responsibility
NCC • National Computer Center
NCLP - National Contract Laboratory Program
NCP - National Oil and Hazardous Substances Contingency Plan (40 CFR Part 300)
NOO - Negotiation Decision Document
NEIC • National Enforcement Investigation Center
NEPA • National Environmental Policy Act
NIOSH - National Institute of Occupational Safety and Health
NOTIS - 103(c) Notifications
NPL - National Priorities List
NRC - National Response Center
NRT - National Response Team
NSF • National Strike Force
OC - Office of the Comptroller
ODN - Obligating Document Number
OECM - Office of Enforcement and Compliance Monitoring
OERR - Office of Emergency and Remedial Response
OGC • Office of General Counsel
OF-60 - Optional Form 60 (Contractor's Project Budget)
OHMCS - Oil and Hazardous Materials Coordinators
OHMTADS • Oil and Hazardous Material Technical Assistance Data System
OK3 • Office of the Inspector General
OIRM - Office of Information Resources Management
OLEC • Office of Legal and Enforcement Counsel
O&M - Operation and Maintenance
OMB - Office of Management and Budget
OMSE - Office of Management Systems and Evaluation
OPA - Office of Public Affairs
VI
-------
OPPM • Office of Policy and Program Management
ORC - Office of Regional Counsel
ORD - Office of Research and Development
ORMS - Office Resource Management System
OSC - On-Scene Coordinator (Removals)
OSHA - Occupational Safety and Health Administration
OSW - Office of Solid Waste
OSWER - Office of Solid Waste and Emergency Response
OWPE - Office of Waste Programs Enforcement
PA • Preliminary Assessment
PARS • Payroll Accounting Redistribution System
PC&8 • Personnel Compensation and Benefits
PCMO • Procurement and Contracts Management Division
PCS - Program Control System
PEB - Performance Evaluation Board
PER - Performance Event Report
PIRS - Pollution Incident Reporting System
Or
Performance Index Rating Score
PM - Program Management
PO - Project Officer
POP - Project Operations Plan
POLREP • Pollution Report
POTW - Publicly Owned Treatment Works
PR - Procurement Request/Purchase Requisition
PRAP - Preferred Remedial Action Plan
PRP - Potentially Responsible Party
PSPM - Priority Site Planning Module
QA/OC - Quality Assurance/Quality Control
RA - Remedial Action or Regional Administrator
RAB • Remedial Action Branch (OERR)
RAMP - Remedial Action Master Plan (no longer prepared)
RAP - Remedial Accomplishments Plan
VII
-------
RAS
RC
RCP
RCRA
RCRC
RD
REAP
REG
REM/FIT
RES
RFTTO
RFP
RFMO
Rl
RI/FS
HMDS
RMIS
ROD
ROP
RP
RPM
RP1O
RPO
RQ
RRC
RRT
RS
RSCC
RSCRC
RSPM
RTF
RTS
Routine Analytical Services
Remedial Construction = Remedial Action
Regional Contingency Plan
Resource Conservation and Recovery Act of 1976
Regional Cost Recovery Coordinator
Remedial Design
Regional Enforcement Accomplishments Plan
Regional Enforcement Counsel
Remedial Planning/Reid Investigation Team
Regional Evaluation Summary
Regional Reid Investigation Team Office
Request for Proposals
Regional Financial Management Officer
Remedial Investigation
Remedial Investigation/Feasibility Study
Resources Management Directives System
Resource Management Information System
Record of Decision
Regional Operating Plan
Responsible Party
Remedial Project Manager
Responsible Planning and Implementation Officer
Regional Project Officer
Reportable Quantity
Regional Response Center
Regional Response Team
Responsiveness Summary
Regional Sample Control Center
Regional Superfund Community Relations Coordinator
Regional Site Project Manager
Research Triangle Park (Raleigh/Durham, NC)
Removal Tracking System
Vlll
-------
SAB
SARA
SAS
SBA
SBE
SCAP
SCP
SCRC
SDBE
SDWA
S&E
SER
SF
SFO
SM
SMO
SNARL
SOW
SPCC
SPMS
SPUR
SPO
SRCB
SRMS
SSAP
SSC
S/S ID
STORE!
STS
TAT
TDB
TDD
Superfund Accounting Branch (FMD/OC)
Superfund Amendments and Reauthorizatbn Act of 1986
Special Analytical Services
Small Business Administration
Small Business Enterprise
Superfund Comprehensive Accomplishments Plan
State Contingency Plan
State Community Relations Coordinator
Small and Disadvantaged Business Enterprise
Safe Drinking Water Act
Salaries and Expenses Appropriation
Summary Evaluation Report
Standard Form
Servicing Finance Office
Site Manager
Sample Management Office
Suggested No Adverse Response Level
Statement/Scope of Work
Spill Prevention Control & Countermeasure System
Strategic Planning and Management System
Software Package for Unique Reports
State Project Officer
State and Regional Coordination Branch (OERR)
Site Response Management System
Site Stabilization Accomplishments Plan
Superfund State Contract
Site/Spill Identifier
Storage & Retrieval of Water Quality Data System
Site Tracking System
Technical Assistance Team
Toxicologies! Data Base
Technical Directive Document
-------
TDM - Technical Direction Memorandum
TES - Technical Enforcement Support
TSCA - Toxic Substances Control Act
TSD - Treatment, Storage, and Disposal Facility
UCR - Unit Cancer Risk
USAGE - U.S. Army Corps of Engineers
USCG - United States Coast Guard
USDA • United States Department of Agriculture
USGS - U.S. Geological Survey
WA - Work Assignment
WAA - Work Assignment Amendment
WACR - Work Assignment Completion Report
WAM • Work Assignment Manager
WAF - Work Assignment Form
WBE - Women's Business Enterprise
ZM - Zone Manager
ZPM - Zone Project Manager
ZPMO - Zone Project Management Office
-------
DEFINITIONS
Each of the following terms and definitions listed below represents a
type of work assignment action for which RPMs are responsible under the ARCS
program.
NEW WORK ASSIGNMENT
INTERIM AMENDMENT
INCREMENTAL FUNDING:
BY TASK
BY DOLLARS
PARTIAL WORK PLAN
APPROVAL
FINAL WORK PLAN
APPROVAL
AMENDMENT TO FINAL
WORK PLAN APPROVAL
TECHNICAL DIRECTION
MEMORANDUM
Formal mechanism used by EPA (initiated by
RPM) to authorize new work for the ARCS
contractor. Consists of a Work Assignment Form
(WAF), Statement of Work (SOW) and
Procurement Request (PR).
Mechanism used by EPA to modify the scope, LOE
and/or budget of interim tasks. Occurs after
receipt of a new work assignment and before
work plan approval. Can be initiated either by the
contractor or by the RPM, but must always be
approved by the RPM, PO and CO. Consists of a
WAF and a PR (if the budget changes).
Mechanism used by EPA to provide funding only
for selected interim tasks in the SOW. Consists of
WAF and PR.
Mechanism used by EPA to provide funding for
SOW tasks on an incremental basis. This is usually
done as part of work plan approval. Consists of
WAF and PR.
pr^^cs
Action taken by the RPM, PO and CO that appf
only parts of the contractor's proposed final work
plan. Consists of a WAF accompanied by a SOW,
signed OF-60 or SF-1411 form and schedule.
Action taken by the RPM, PO and CO that approves
the contractor's proposed final work plan in its
entirety. Consists of a WAF accompanied by a
SOW, signed OF-60 or SF-1411 form and schedule.
Mechanism used by EPA to modify the scope, LOE
or budget in an approved work plan. Consists of a
WAF accompanied by an amended SOW, a signed
OF-60 or SF-1411 form (if funding changes are
involved), a detailed schedule and any required
supporting information.
Mechanism used by EPA to make changes to tasks
under an approved work plan that involve minor
modifications in the basic scope of the work
assignment. Any changes made must be within
the overall scope, budget and LOE approved by
the CO. WAF must be accompanied by an SOW,
budget and schedule to define the modification.
XI
-------
WORK ASSIGNMENT - Mechanism used by EPA to close out a work
COMPLETION NOTIFICATION assignment. Consists of a WAF, final invoice
and Work Assignment Completion Report (WACR).
Signature of CO on WAF closes out the work
assignment.
WORK ASSIGNMENT - Mechanism used to amend the final approved
COMPLETION NOTIFICATION/ work plan at the time of work assignment
AMENDMENT TO THE completion notification. Consists of WAF, final
WORK PLAN invoice, WACR and PR (if dollars are being
added/subtracted).
Each of the following terms and definitions represents the different sections
found on the ARCS Work Assignment Form (WAF).
1. WORK ASSIGNMENT - Identifying information such as site name,
INFORMATION contractor's name, work assignment number, type
of activity to be performed and other project
descriptors.
2. DESCRIPTION OF - The purpose for which the WAF is being used (e.g.,
ACTION to initiate a new work assignment; to approve the
final work plan, etc.).
3. BUDGET INFORMATION - Current (most recent approved budget) and
proposed technical level of effort (LOE) and dollars
for conducting the work assignment.
4. WORK ASSIGNMENT - Current or revised date when the entire work
COMPLETION DATE assignment is to be completed.
5. EPA COMMENTS - Additional explanations as needed.
6. APPROVALS - Signature blocks for approval of both the
contractor and EPA personnel.
Detailed definitions of each component in Section 3 (Budget Information) of the
WAF are as follows:
• CURRENT - The most recent approved budget consistent with
the work assignment status.
• THIS ACTION - The budget change being proposed in accordance
with the WAF action being requested.
• TOTAL - The summation of the current and proposed
amendment lines that will become the new
current when approved.
TOTAL FUNDING - The dollar amount authorized for the work
RECFJVbD assignment by the CO through contract
modifications.
XII
-------
INTERIM BUDGET -
APPROVED WORK -
PLAN BUDGET
EXPENDITURE
LIMIT (EL)
The approved current budget for the work
assignment prior to final Work Plan approval.
The approved total budget for the work
assignment reflecting technical LOE and total
estimated cost. Includes partial Work Plan
approvals.
The budget authorized by the RPM and PO for use
by the contractor. These columns are normally
used to track phased expenditure limits associated
with phased work assignments. It allows the
Region to release partial funds associated with the
phase of the work being accomplished, and it
allows the responsibility for the monitoring and
relocation of these funds to remain at the Regional
level. This allows for better control while
reducing approval delays. The EL is never to
exceed Total Funding Received or the Current
Approved Work Plan Budget.
XIII
-------
CHAPTER 1
INTRODUCTION
-------
unapiter ~i
INTRODUCTION
ARCS MANAGEMENT - ASSISTANCE TOOLS
The ARCS Work Assignment Management Field Guide Is one of
three management-assistance tools currently available to help
RPMs in carrying out their ARCS work assignment management
duties. It is designed specifically for RPMs to provide them
with quick reference Information on the initiation and
management of ARCS work assignments.
ARCS
CONTRACTS
USERS' MANUAL
Designed primarily for Project j
Officers and Deputy Project
Officers
Describes ARCS contracts in
general and provides broad
overview of the work assign-
ment management process
Available from the PO
ARCS WORK ASSIGNMENT
i MANAGEMENT
specifically -at RPMst
on "how to" |;;ll|||
R;Il|£jprocedures- for managing -If
11||:ARGS i work assign ments;:||:
ARCS WORK ASSIGNMENT
MANAGEMENT FIELD
GUIDE
6" x 9" manual designed
specifically for RPMs
Provides information and
references on RPM work
assignment authorities
and responsibilities under
ARCS.
1-1
-------
CHAPTER 2
AUTHORITIES
-------
Chapter 2
AUTHORITIES
ARCS WORK ASSIGNMENT MANAGEMENT AUTHORITIES
DOCUMENTS
WAF
PR
WORK
PLAN
WA
MODFICATIONS
INVOICES
PROGRESS
REPORTS
DELIVERABLES
WACR
RPM
P
9
9
9
9
C
9
9
9
A*
9
PO
P
c
9
9
9
9
9
9
9
A*
9
CO
P
c
9
9
9
A*
9
§
9
•
9
Tor those actions where approval is not indicated,
Region-specific policies and procedures should be
followed.
KEY: P. Prepare
C - Review & Concur
A - Review & Approve
2-1
-------
CHAPTER 3
•
WORK ASSIGNMENT ISSUANCE,
MODIFICATION & CLOSEOUT
-------
Chapter 3
WA ISSUANCE, MODIFICATION & CLOSEOUT
TYPES OF WORK ASSIGNMENT ACTIONS
AND SUMMARY OF REQUIRED DOCUMENTATION
/ REQUIRED DOCUMENTATION
ACTION
TO BE
TAKEN
W
A
1
S
S
u
A
N
C
E
Initiate New
WA
Prepare
Interim
Amendment-
EPA
Prepare
Interim
Amendment-
Contractor
Request
Incremental
Funding-
Before
WP Approval
Request
Incremental
Funding-
After
WP Approval
Approve
Partial WP
WAF
{•i-^j
m
•
•
•
•
•
•
SOW
PI
ill
o
PR
PI
III
•
•
•
•
•
TDM
W
U
REFERENCES
TABS
AND
EXHIBITS
Tab 3.1
Exhibit 3.1
Tab 3.2
Exhibit 3.2
Tab 3.3
Exhibit 3.3
s
Tab 3.4
Exhtoit 3.4
Tab 3.5
Exhibit 3 5
Tab 3.6
Exhbit 3.6
ARCS CONTRACTS
USERS' MANUAL
Pgs. 3-36 to 3-41
in ARCS Users'
Manual; Pgs. IV-1
to 24 in App. IV of
Users' Manual
Pgs. 3-36103-41
in ARCS Users-
Manual; Pg. IV-15
in App. IV at
Users' Manual
Pgs. 3-36 to 3-11
in ARCS Users'
Manual; Pg. IV-15
in App. IV of
Users' Manual
Pgs. 3-36 to 3-i1
in ARCS Users'
Manual; Pgs. IV-15
& 16 in App. IV of
Users' Manual
Pgs. 3-36 to 3-41
in ARCS Users'
Manual; Pg. IV- 16
in App. IV of
Users' Manual
Pgs. 3-42 to 3-43
in ARCS Users'
Manual; Pgs. IV-1 6
& 17 in App. IV of
Users' Manual
3-1
-------
Chapter 3
WA ISSUANCE, MODIFICATION & CLOSEOUT
(Continued)
TYPES OF WORK ASSIGNMENT ACTIONS
AND SUMMARY OF REQUIRED DOCUMENTATION
ACTION
TO BE
TAKEN
W
A
U
O
D
1
T
\
C
A
T
1
O
N
Approve
Final WP
Amend SOW •
Major Change
Increase WA
LOE"
Decrease WA
LOE"
Increase WA
Budget
Decrease WA
Budget
Amend SOW •
Minor Change
/REQUIRED OOCUHEMTAT1ON
WAF
OTTO
•
•
•
•
•
•
•
SOW
.*
PR
.*•
.**
.**
•
•
TDM
•
REFERENCES
TABS
AND
EXHIBITS
Tab 3.7
Exhibit 3.7
Tab 3.8
Exhibit 3.8
Tab 3.9
Exhibit 3.9
Tab 3.1 P
Exhibit S.10
Tab 3.11
Exhibit 3.11
Tab 3.1?
Exhibit ?,12
Tab 3.13
Exhibit 3.13
ARCS CONTRACTS
USERS' MANUAL
Pgs. 3-42 to 3-43
in ARCS Users'
Manual; Pgs. IV-1 7
& 18 in App. IV of
Users' Manual
Pgs. 3-44 to 3-45
in ARCS Users'
Manual; Pg. IV- 18
in App. IV of
Users' Manual
Pgs. 3-44 to 3-45
in ARCS Users'
Manual; Pgs. IV-18
4 19 in App. IV of
Users' Manual
Pgs. 3-44 to 3-45
in ARCS Users'
Manual; Pgs. IV-18
& 19 in App. IV of
Users' Manual
Pgs. 3-44 to 3-45
in ARCS Users'
Manual; Pgs. IV-18
& 19 in App. IV of
Users' Manual
Pgs. 3-44 to 3-45
in ARCS Users'
Manual; Pgs. IV-18
& 19 in App. IV of
Users' Manual
Pgs. 3-46 to 3-48
in ARCS Users'
Manual; Pgs. IV-18
& 19 in App. IV of
Users' Manual
* A revised SOW is required.
" A PR is required only if funding level changes.
3-2
-------
Chapter 3
WA ISSUANCE, MODIFICATION & CLOSEOUT
(Continued)
TYPES OF WORK ASSIGNMENT ACTIONS
AND SUMMARY OF REQUIRED DOCUMENTATION
/ REQUIRED DOCUMENTATION
ACTION
TO BE
TAKEN
W
A
c
L
O
3
E
O
u
T
Close Out
WA
Close Out
WA -
ncreaso
LCE
Close Out
WA -
Decrease
LOG
Close Out
WA -
Increase
Budget
Close Out
WA -
Decrease
Budget
Close Out
WA-
¥¥ r^
Increase
LOE&
Budget
Close Out
WA-
Increase LOE
& Decrease
Budget
Close Out
WA-
Decrease LO!
& Budget
Close Out
WA-
Decrease LOE
& Increase
Budget
WAF
m
jj-Sj
e
.
9
*
'
*
*
SOW
W
ill
PR
pi
H
0
*
•
•
•
TDM
PI
m
•
.•
REFERENCES
TABS
AND
EXHIBITS
Tab 3.14
Exhibit 3.14
Tab 3.15
Exhibit 3. 15
Tab 3.16
Exhibit 3. 16
Tab 3.17
Exhibit 3.17
Tab 3.18
Exhibit 3.18
Tab 3.19
Exhibit 3.19
Tab 3.20
Exhibit 3.20
Tab 3.21
Exhibit 3.21
Tab 3.22
Exhibit 3.22
ARCS CONTRACTS
USERS' MANUAL
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-19&20in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-l9420in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-19&20in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. !V-19&20in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;.
Pgs. IV-19420in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-19420in App.
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual:
Pgs. IV-19&20in App,
IV of Users' Manual
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-194"20in App.
IV of Users' Manuel
Pgs. 3-49 to 3-50 in
ARCS Users' Manual;
Pgs. IV-19420in App.
IV of Users' Manual
3-3
-------
EXHIBIT 3.1
INITIATE NEW WORK ASSIGNMENT
P)
RPM .
— (
Prepares
WA Package
(3) i
l
1 Contract
Modification
^-—^ s
•
PR (2)
fc SOW ^ po
tA/An ,.
Reviews &
-1 Concurs with
^s^- — N^ WA Package
W
-^ CO
Approves WA Package
& Prepares Contract
Modification
^(Contractor)
STEPS
ACTIVITIES
Notes:
RPM prepares Work Assignment package,
which consists of Work Assignment Form
(WAF), Statement of Work (SOW), and
Procurement Request (PR)
(Detailed Instructions on "how
to" complete the WAF, SOW,
and PR are provided in the
ARCS Contracts Users' Manual,
Appendix IV, pages IV-1 to 24
and the ARCS Contracts Users'
Manual, pages 3-3C to 3-41)
• PO reviews WA package for completeness and
accuracy
• Signs the WAF
• Transmits the package to the CO for approval
• CO reviews the WAF to assure compliance with
contract
• CO completes the work assignment number
• Signs the WAF
• Prepares a contract modification
• Forwards original to the contractor with a copy
to the RPM and PO
3-4
-------
EXHIBIT 3.1 (Cont.)
USEPA
WORK ASSIGNMENT FORM
ting /V* v A Ll i Q to Q£^
. b$-OI-lO(tO
MI*
0 7
coxnwcTM CONTROL *
(Cm** QMv UH (Mft
1 OUOWTCHtfJCTXH
tfMOVM,
EMfCOOr
AJCM
aPMTUL
IUNMWWVM.
TfOVKM. OKKTBH
NOTTCtTX9N
cornwron
aK*MDflC
ram #oO.OOP
• Mtb*9A
4. wAcotMmoNMn
cuuerr
(poo /DO, OOP
Ij OOP 100,600
in-
•0— —O —
^^•^^•^^B •••^^PVri^H^^^^^^^
coo /oo, coo
>;-£. fvLt. i^
WTl
Q tfMWBI MM CMMB
Q HOTWHJIB)
g«
URMIt IVIMi
ATTACH STATEMENT OF WORK
(P» OfSOVTOH CT ACTO4
: FINAL CHECKS
1. Current Funding = -0-
2. LOE & dollar amount should be on the 'THIS ACTON" and "TOTAL" lines
3. Dollar amount in the PR should be same as dollar amount in the "THIS ACTION"
and "TOTAL" lines of the interim budget column.
3-5
-------
EXHIBIT 3.1 (Cont.)
-r-
&«••••* S«»^»a
IM
Funding for WorX ?l»n Memorandum
and other interun ictivi.cl.e3 at
the Apache Powder sice
Obligated Funds -0-
Fundinq This Action S 100 ,000
Total 5100,000
"•VSSSSf
ICI
^r* unn »••£•
•Jin
rM.
,
1.00,000
:oo. "oo
™
i1«OO-*(ll«r. *-Ml^n
eorr t-
3-6
-------
EXHIBIT 3.2
PREPARE INTERIM AMENDMENT (EPA-INITIAT^
(1&2)
RPM
PR
WAF
(Interim
Amendment)
Prepares WAF
(Interim Amendment)
(3)
PO
(4)
V /
Reviews & Reviews &
Concurs with Approves Interim
WAF(lnterim Amendment and
Amendment PR
STEPS
ACTIVITIES
Notes:
After new work assignment has been issued,
but prior to work plan approval, RPM decides lo
modify the SOW (e.g., add or delete tasks,
add or subtract hours, add or subtract dollars,
change period of performance)
(Be sure to inform the contractor
of the modifications as soon as
possible)
Notes:
RPM prepares WAF Interim Amendment
Sends to PO for review and concurrence
(Explain on the WAF why the
interim amendment is needed)
(A PR will be needed if there
is a change in dollars)
• PO reviews the WAF (Interim Amendment)
• Concurs by signing it
• Sends to CO for approval
• CO reviews the WAF and PR
• Approves WAF
• Forwards WAF to the contractor
• Prepares and issues contract modification, if
applicable
3-7
-------
EXHIBIT 3.2 (Cont.)
USEPA
WORK ASSIGNMENT FORM
.
Sillt'+e.
JT/v^.
(,8- Ql-806-0
BATi:
OUCflPTON CF ACTCN
•PfRCVN.
s>»«aa«
Q MATW.1
aPVtfLWOK
1>N APW&OVAI
• «/>*. r i^r
+o •~
'«j'KK'"1
CCMnUCTON tOMTUMK
OATi
n •
*'7l:A*
-OTifWOVB)
ATTACH STATEMENT OF WORK
(PEA QCSCftFTICN GF ACTION)
FINAL CHECKS
I. Dollar amount of PR should be same as dollar amount on the "THIS ACTION" lines.
>. Change in LOE and dollars should be on the "THIS ACTION" line of interim budget.
1. "CURRENT" LOE/dollars plus "THIS ACTION" IDE/dollars should equal "TOTAL" LOE/dollars.
3-8
-------
/—\
I AHOOJ2 . 7TrA07MLA9
3:,:CO
_L
xvz :NC
52 Clear lake St.
Kansas CJLSV, KS 53221
COWUM
'« »xt»tf tn«
% ,n lioci 1 2mi a* >0% Of •
1*.
Chief. 33
Director, WHO
1 Oin«» f&wc/M
ntt«o in Siaci I 2 *«« 8locl 1 5 /'/ */»r; «r« . . Date
-cc
.
t ot Cmifrtni QHitttlt
1
53-01-3060
Quo:« •
115 ?YQ* o> G'dt'
* JJ
L_ A 0«i>**0r O'a*'
Supplemental funding for vorlc plan
preparacion. curs, and mobilization
for field work at Galena subsite,
Kansas City, KS
Obligated Funds 5100,000
funding This Action 35 , OOP
Total ' S135.000
35,000
rt!" f'yp>d H»m« ^>dTfitfi^a, Carp^cnftq Ot***e
IT
IP* >«mi I »00-» («•.. »•«*! »t»»K>M« «»non. «. ot»CM<«
3-9
-------
(1)
EXHIBIT 3.3
PREPARE INTERIM AMENDMENT
(CONTRACTOR-INITIATED)
(Contractor]
Prepares
WAF (Interim
Amendment)
WAF (Interim
Amendment)
\*-l
k~
Reviews and
Approves the
Interim
Amendment
/
V
f
W ^-^
CO -Wcontractor)
^ '
approves the
VAF (Interim
amendment)
STEPS
ACTIVITIES
Notes:
Notes:
If SOW needs to be modified by changing the
scope of work or by substantially increasing
the LOE and costs, contractor submits a
revised WAF (Interim Amendment) to the
RPM/PO
RPM reviews and approves the amendment
Completes the WAF
PO reviews and concurs with RPM's
recommendation
Transmits the Interim Amendment with the WAF
to the CO
(Justification for the Interim
Amendment should be
provided by the contractor as
part of the Interim
Amendment)
(A PR is required if funding is
not sufficient to accomplish
the interim tasks)
4 CO reviews and approves the Interim
Amendment to the WA by signing the WAF
(Interim Amendment)
• CO prepares and issues contract modification,
if applicable
(RPM should contact the
contractor to ensure receipt
of WAF Interim Amendment)
3-10
-------
EXHIBIT 3.3 (Cont.)
WORK ASSIGNMENT FORM
SOWTVCTW CCXTHCL ME
ATTACH STATEMENT OF WORK
(PM DUCRFTW OF 1CTX5N
FINAL CHECKS
. Dollar amount of PR should be same as dollar amount on the "THIS ACTION" lines.
!. Change in LOE and dollars should be on the "THIS ACTION" line of interim bucget.
I. "CURRENT" LOEydollars plus "THIS ACTION" LOE/dollars should equal TOTAL" LOE/dollars.
3-11
-------
EXHIBIT 3.3 (Cont.)
•^CQA Procurement — Li*?^-—1*1" :- " '•*
OCrM Request/Order ~^5
£ZL*4d&~
*i Sr^^rro ' *" ••" ••*•«
ASX? ;
Oo ^« Q»»Mr.U M •»•«<«. Ql»_^._» «r•«»•« » K~o»^ »•»•«» ax» »»••» 'WOTI: »«« 1 21« SocuMm r»« - Com/act • C
eCT 68/20X8145 22 | MMIM.OW »"
0 0»IIJI«I«™
'UO U*« f Cannw NwnMr fcrra^ii MIMIW
fei/rj***v l« r«n«*»»il :l/'0««nf
OtoMI j AMMMim
r~«M
'fJ^<*pHU ' Oo««r« ' C**»t-
. AHOCH2 6TFA08ML93 ' "JS i . J4Q D0
: ' i
1
XVZ INC so— «™«
25 West St. 3SSSI
Oen'/er. CO 20932 COKTMM
1 » *«f IMM* ^JV«M««*« O**** Co«i'«eii«g O*»-c» •« «win«-
'"*•« <• ««e*«* in* Mwwm t^o^» .0 ttatf I 21 "I •* >O% «
»IOO. «»i>st«4 -^i dice* 1 2 And 8IOCK 1 S /'/ f*r> Af« , 0*ltt
4v«il«ai« «nd t «t«f>*d- IS.gtutvfi ot CfrtifHf OtfifuM
FCC ] j
17 0«l« or Ocw 19 O"*»' Nuff»e«r
1 Oin«f iSfftcrtft 3A!«
1
19 Co"t'» .''*C>i*,
23 rti-ior rjt.rng vf-j»/ Qwoi» •'•d P"cn« "to
25 Tyt>« o< O'O«r 3«t«*«oc* rcuf qt>o<« iS** 0/oci jjj
~ A ^urenttt*
^« tii*crM*» I jn» •«< ^aioq M>*«r* df .«OiC«(«
l_ fi d«*i«mr {X3*'*-*-'* 9« :*»• r»vvrM ««« cw'«t*4 t** 0»*'**^ O'O«* •
iuBf«ci to ir>9 i«"~» *"C eontfif>wi at :r« eo^t'vci 'J** *A>« 1 9;
C G >W ^W.ftw. GCOM.«.^
2«. Ir.HKIi
"**" . «— *-—
«i «
Increased funding for interim RI/FS
casks, as described in Worfc Plan Memo,
for LasKin/P'oplar Oil Site in Boulder,
CO
Obligated Funds S70.000
Funding This Action 7 , 340
Total 577,340
QMtwwnt
0~-
(Cl
•. tf)W*li>t«* I UT«« | QuMTTIIV
UM UM »•«• ^i-a | I ***** 1 nci»t«d
idt ' («t 1 ^ ' :«f mt
1
7,340
Tm> 7,340
IT/ -\ii*!**mmf >*««- ^
IP* *•*• i*oo-t inr,. t-tti'
COm-MOOJHOMNT
3-12
-------
EXHIBIT 3.4
REQUEST INCREMENTAL FUNDING - BEFORE
FINAL WORK PLAN APPROVAL
(1&2)
RPM
PR
WAF
ncremental
d m^inrtX
fe
(3)
PO
fe
(4)
CO
fe-
'repares WAF
ncremental Funding)
ndPR
Reviews &
Concurs with
WAF (Incremental
Funding)
Reviews &
Approves WAF
(Incremental
Funding) and PR
STEPS
Notes:
ACTIVITIES
•Prior to final work plan approval, RPM decides
to provide incremental funding for interim
tasks
(Incremental funding is
provided when total funding is
unavailable or when only
certain tasks are authorized)
•RPM completes WAF and PR
•Sends to PO for review and concurrence
Notes:
(If only certain tasks are
authorized by the incremental
funding, list these tasks on
the WAF)
•PO reviews the WAF
•Concurs by signing it
•Submits to CO for approval
•CO reviews the WAF and PR
•Approves the WAF
•Forwards WAF to the contractor
•Prepares and issues contract modification
3-13
-------
EXHIBIT 3.4 (Cont.)
USEPA
WORK ASSIGNMENT FORM
"KUKTHAUfc.
.CCNtlUCIWI:
>VZ-
.MOOTCATOINO:
•*•"«"
MlCi
Ow^«lCt.3ow*
njcM
D (""™1
a
tim+*m
aw* e iflt «B» • IM«« or M
ITO««* OWKTtJN
LjOt
tf •«**•.•
•»IIM»Tt?t
CO)
•NO
f,
TOTU
riiOMCM.
ice
HTMtUXXT
(») '
ay wt _j»7,/»o_
/gp
.c*y ^p^
•o* ivw noarr
(Tto«e»i
u»
UPOCTMV uutr i&i •
n •
Z.W9 33.7,/gP
/^B S",OTTO
z,fMq iiz.ttro
IbfAMMVO
». WAOOWUT0IOATI
CUWWT
1
OONIWCTOII
OATI
HOC.
IMUIHIlMk
a EPA
AHACH STATEMENT OF WORK
'.pen oEsaumoN cr ACTOM)
FINAL CHECKS
>. Dollar amount of PR should be same as dollar amount on [he "THIS ACTION" lines.
2. "THIS ACTION" line plus 'CURRENT* line equals 'TOTAL' line.
3-14
-------
EXHIBIT 3.4 (Cont.)
Procurement
Request/Order
»»tl»»»«»l
C 3U»«» K« M «»
10 MM 04. 11 r» —»...
230 S. Dearborn St. Chicago, II AT-150 312/3i=~-566
NOT!: u«n 12|d) OocumWM :«• - Coxtr
XY2 INC
25 West St.
a uiv<*i««i/unic»
Director, WHO
22 0«f-v»fv :a fO6 POtfM or On or M*ort lOtttt 23 ^«»»or [Ming Orovr Quoit
Incremental funding for community
relations plan development at Jones
Dump, Evanston, IL
Obligated Funds 5327,100
Funding This Action 5,000
Total 5332,100
TTSHS
WSi
C_.VJU^a
24V TKM IMM *rM Ta» at Conmcanij Omar
IP*
3-15
-------
EXHIBIT 3.5
REQUEST INCREMENTAL FUNDING - AFTER
FINAL WORK PLAN APPROVAL
(1&2)
RPM
PR
WAF
Incremental
Ci mHirvt\
(2)
PO
(3)
CO
Prepares WAF
(Incremental Funding)
and PR
Reviews & Reviews &
Concurs with Approves WAF
WAF(lncremental (Incremental
Funding) Funding) and PR
STEPS
Notes:
ACTIVITIES
«After final work plan approval, RPM decides
to provide incremental funding for remaining
tasks
(Incremental funding is provided
when total funding is
unavailable or when only certain
tasks are authorized)
• RPM completes WAF and PR
• Sends to PO for review and concurrence
Notes:
(If only certain tasks are
authorized by the
incremental funding, list
these tasks on the WAF)
• PO reviews the WAF
• Concurs by signing it
• Submits to CO for approval
• CO reviews the WAF and PR
• Approves Ihe WAF
• Forwards WAF to the contractor
• Prepares and issues contract modification
3-16
-------
EXHIBIT 3.5 (Cont.)
USEPA
WORK ASSIGNMENT FORM
_
-------
EXHIBIT 3.5 (Cont.)
**pr^A Procurement
'**'" **> . Request/Order
MT-U
303/535-1616
'1 B~.J1
ASAP
S^ftaiumo* Q"»*«ia
Qc
Terr/ Rider
999 13th St., Oenver, CO
MT-15 303/555-L73S
68/20X8145
22
l; nom 1 2lol Oaamn r
**CK«« Ortw . •»••
: AK50227TFA08MLD5
25 West St.
Denver, CO 20932
4 Mount * -<
COnguwi
3lncr..«
G O.WMM
1 >. Fw
"IM to
• < 00.
1*.
.
DLrector, «
Funds tiRM m fllocfc 1 2 **V) BloOi 15 (it tfrrt *•
*v*ii*b»« and r
FCC
.
iiM
t Otn«f/Sp»e/^
7 0«t« ot QrtMf
68-01-0860
25 TT(M oi 0'
-------
EXHIBIT 3.6
APPROVE PARTIAL WORK PLAN
j WAF
1 OF 60
WORK
PUN
fe-
/o\
\ /
RPM/PO
Datflaui \A/r
Mb Plar
IA/A C
WAr
fPartjal WP
^Approval)
1
Prepares Work
Plan and OF60
Commences Work
on Approved Tasks
STEPS
IB
Notes:
and give Partial
Approval
Reviews Work
Plan and issues
WAF to Contractor
ACTIVITIES
• Contractor prepares work plan (WP),
Optional Form 60 (OF-60) or SF-1411, and
WAF
• Submits to RPM/PO for review and
concurrence
• RPM/PO review the WP and OF-60
• Give only partial approval, as specified on
the WAF*
(RPM should explain in Section 5
of the WAF why only partial
approval is being given; if only
certain tasks are being authorized,
they should be listed also)
(Additional information on WP
review is provided in Chapter 4 and
in the ARCS Contracts Users'
Manual, Appendix IV, pages IV-25
to 28.)
• CO reviews partial work plan approval action
and signs WAF
• Sends completed WAF to contractor
• Contractor commences work on approved tasks
• Modifies other tasks, as necessary, to obtain final
WP approval
'Partial Work Plan approval is given when only certain tasks are approved
by the RPM
3-19
-------
EXHIBIT 3.6 (Cont.)
USEPA
WORK ASSIGNMENT FORM
*Ti~<( s
Acnvirr-
r -5
BAH.- i>//2^/6^> eoxnucron CONTROL MO:
yOQWEATCNMQ;
"7
MUX
AWROVM.
NTOM
O FUCK!
EP«B6OJO#
*jX
>N
a
a
WOW PLAN AWROVN.
• O«nqiiiU3tKaoi «««!)•»(<»•
• ut «».• !•• » tuai Qnaa»
t?»<*ao»
HEAOOUAHTEn
O
i
^OMCAL SfCCTDN
(Al «•«)• na!» •*•
SMBKCH
HOTTOrCN
cs»muc-»
TOTAL fUCNl
OJMMT
THUACTt* 20,900
TOTAL
dD«vii>m rar b> nau«
UXAounrfraNA
MTUMUXXT
fTICWieAI. (1) •
— o* — o —
wow PU* tuoarr
(TSWHOi. (1) •
106
: o o a o.
(TSOWOL
UOf)
cuworr.
qBVIIBS
.^fl/ >'>, yx^- SQUJ.
.'* a -ni s. /
WOrte.
1 AWUVAU
COMTMCTONaMATUOc
MOM.
OATl
EMtOMTUWk
SAtt
AWCVB Al MUITTB
APPAOVB) WTTM CHIM9U
IHMVH
AHACH STATEMENT OF WORK
(PER OCSOWnON CF ACTION)
UPOAH IWV
FINAL CHECKS
1. LOE/budget for approved taste should be on the 'THIS ACTION' and "TOTAL'
lines of the approved work plan budget.
2. Expenditure Limit should not exceed 'TOTAL FUNDING RECEIVED' or 'APPROVED
WORK PLAN BUDGET1
3-20
-------
EXHIBIT 3.7
APPROVE FINAL WORK PLAN
WAF
OF60
Develops Work
Plan
(2)
np|UI/PO
Reviews &
Approves
Work Plan
(3)
te CO
Reviews
Work Plan
(4)
Commences
Work on
All Tasks
STEPS
ACTIVITIES
• Contractor prepares and submits work plan to
RPM/PO, including Optional Form 60 or
SF-1411 and WAF (Final Work Plan Approval)
• RPM reviews and approves work plan by
completing sections 3 and 5 of the WAF,
signing it, and submitting it to the CO
• If problems occur, RPM meets with the
contractor to resolve outstanding issues
• RPM sets an Expenditure Limit, if desired
Notes:
(Information on setting
Expenditure Limits is provided
in the ARCS Contracts Users'
Manual, Pages 3-42 and 3-43)
• CO reviews the work plan
• Signs the WAF and checks the approved box
«Prepares and issues contract modification, if
applicable
• Contractor commences work on approved
tasks
3-21
-------
EXHIBIT 3.7 (Cont.)
EXAMPLE OF "WORK PLAN APPROVAL
WITHOUT FUNDING"
ATTACH STATEMENT OF WORK
ire* oucaFnw of *cncn
FIHAL CHECKS
i . Total funding received should be same as "TOTAL" approved work plan budget.
2. Expenditure Limit . if used, should not exceed approved worK olan budget.
3-22
-------
EXHIBIT 3.7 (Cont.)
EXAMPLE OF "WORK PLAN APPROVAL
WITH FUNDING"
USEPA
WORK ASSIGNMENT FORM
•' t3 C Ca
annum* Y V Z JT
MI*
9/?.r a-7
.ucwcntNia
.' -5
***"*
EM
njota
T*»«TX» ^30.. OOP
rorm. ^ro, OOQ
a
JJ- !»«i"0«
EM
(1K3««D«.
VOQ
- o- -o-
r AJ «^^^^^ — -~ ^ ^^^»
^B ^^^^p n0 BV V^r^
••* ««». UBl ••
LCi«»
LCM
,000 w
^, woo ^
x) Am
UXI
Q ICTAfMOVfD
cntc
ATTACH STATEMENT OF WORK
iPW OBCHmOt Cf *CTXH
FINAL CHECKS
1 . Dollar amount of PR should be the same as dollar amount on the "THIS ACTION" line of total funding
received.
2. Total funding received should be same as "TOTAL" approved work plan budget.
3. Expenditure Limit , if used, should not exceed approved work plan budget.
3-23
-------
EXHIBIT 3.7 (Cont.)
SEPA
Request/Order
>«-«o
Bill Jones
401 M Street, SW Wash. DC
~~llO~!il«iid
WH-30
• ..^-j .
202:a'J-r65"6
68/20X3145
22
NOTl: rixn 12ldl Ooctmm 'ro. - Cootrac. ' C. '
mooaz
7TFA72MLS4
w
XYZ INC
3400 Lee Hwy
Falls Church. '/A' 20653
e>ier.»««
i >«* ttac* 1 2lhi M 10% a»
• Orsncn/Offica
Chief, RPRB
B Oiv^ioo/Oftict
Director, HSC3
0*»
c Fundi lid«d in 0loc* 12 and Stack 1S lit any/ art
•vai4My« and rcfttfrvvd tStyf^tuff at Ctftjffunf Offitt,
FCC
0«n
7 OniotOnMr
19 Co«t'»ct Nu"»O«'
68-OL-0860
20 Oncouni Term*
21 PO8 *9tm
24 Contractor ..
25 Tyo« ol O'O«r
2 l Purcn*M
A«f*r*nc* your
2«
Additional funds for RI/FS tasks
Obligatad funds i 20,000
Funding This Action 430 , OOP
Total 5450,000
430,000
-------
EXHIBIT 3.8
AMEND SOW (MAJOR CHANGES)
(1)
RPM
->•
| Revised SOW
WAF
(Amendment
Jo Rnal WP^
fe,
(2)
PO
^^
— w-
(3)
CO
(4)
Prepares Revised
SOW and WAF
(Amendment to Final
WP Approval)
Reviews &
Concurs with
Revised SOW
and WAF
Reviews and
Approves Revised
SOW and WAF
. - .Contractor]
iri ^ '
STEPS
ACTIVITIES
Notes:
•RPM recognizes a major scope change is
required
•Prepares a revised SOW and
a WAF (Amendment to Final Work Plan
Approval)
(Often, the contractor makes an
initial request to amend the SOW;
the RPM should ask the contractor
for back-up information to support
the request; if funding changes,
the contractor must prepare an
OF-60 or SF-1411 and the RPM
must prepare a PR)
• PO reviews and concurs with revised SOW
and WAF
•Submits to CO for approval
• CO reviews and approves the WAF
(Amendment to Final Work Plan Approval),
which amends the SOW
• Prepares and issues contract modification, if
applicable
• Contractor executes amended SOW
3-25
-------
EXHIBIT 3.8 (Cont.)
USEPA
WORK ASSIGNMENT FORM
:3fi-
»cnvnv:
- *Ok O
•: M///e>"7
VCBFCAtXNMk
tWOVM.
a* toot
RJCMl
f 00,000
TOTAL
"TMM1UXHT
(TfO*C». (tl •
•-ce
QOO
cowan*
GONHUCTCM
(TKMUCN.
LCO
ti,
WACCWIETOICITI
ometr.
i*.,-^.J, -fit, ft.se. epi^trk. s**.
*, Jt -tt-
of aff-fir-^-
CONTWCTai tOMIUOs
KOTtf»«H8
• *4 «««AM few «Mm • u
ATTACH STATEMENT OF WORK
inn txjavTBH cr tcnxo
FW1CHPCKS
1 . Dollar amount of PR should equal dollar amount on the THIS ACTION' line of total funding received.
2. Total funding received should not exceed approved wor< olan budget.
3. Expenditure li.mit should net exceed approved work pi a-, sudget.
4. The change in LOE/budget should appear on the "THIS ACTION' lines of approved work plan budget and total
funding received.
3-26
-------
EXHIBIT 3.8 (Cont.)
3-27
-------
EXHIBIT 3.9
INCREASE WA LOE
(1)
RPM
PR
WAF
(Amendment
To Final WP)
Prepares WAF
(Amendment to
Final Work Plan
Approval) and PR
STEPS
Notes:
(2)
PO
(3)
CO
(4)
^ Contractor
V ;
Reviews & Reviews and
Concurs with Approves WAF
WAF and PR &-£ PR
ACTIVITIES
• RPM determines that additional LOE hours
are needed beyond the approved work plan
• Prepares a WAF (Amendment to Final Work
Plan Approval) and a PR
• Sends to PO for review and concurrence
(Often, the contractor makes an
initial request for increased LOE:
the RPM should ask the contractor
for back-up information to support
the request)
(A PR will be necessary
only if there is a change in
dollars)
• PO reviews and concurs with the WAF
(Amendment to Final WP Approval) and PR
• Submits to CO for approval
• CO reviews and approves the WAF, which
increases the LOE
• Prepares and issues contract modification, if
applicable
• Contractor executes amended WA with
additional LOE
3-28
-------
EXHIBIT 3.9 (Cont.)
USEPA
WORK ASSIGNMENT FORM
XV2
COMTMcmcBiinniB.
Mlfii
**»**.
EM
ow^nuxa
««OOlMTtM
torn mj* ttrtout.
EW
CONTVCQI
nai
AO, OOP
TW4CTW ~ ° ~~
TOTM.
o o o
(TKMNOI,
U*
H»
J OT5
2. O.Q~PC>
/irp -g-
-2 0,
(TfOMCN.
LOO
IJT;
4. WACOMnCNOATt
CUUWT
Vo
1 *MOMU
'0/7/g7
3ATI
Q NOTWP«J«O
M
»/87
"WT5SWBT
UPMTI IVIMi
ATTACH STATEMENT OF WORK
(KM OUOVTCN CF ACT04
FINAL CHECKS
1. Total funding received should not exceed approved work plan budget.
2. Expenditure Limit should not exceed approved work plan budget.
3. Additional LOE should aopear.on the "THIS ACTION" line of aporoved work slan budget.
3-29
-------
EXHIBIT 3.10
DECREASE WA LOE
(1)
RPM
| PR
WAF
(Amendment
TV. Final VJP\
^
(2)
PO
^
(3)
CO
Prepares WAF
(Amendment to
Final Work Plan
Approval) and PR
Reviews and Reviews and
Concurs with Approves WAF
WAF and PR and PR
STEPS
ACTIVITIES
' RPM determines that fewer LOE hours
are required than were approved in the final
work plan
* Prepares a WAF (Amendment to Final Work
Plan Approval) and a PR
* Sends to PO for review and concurrence
Note:
(A PR will be necessary only if there
is a reduction in dollars)
• PO reviews and concurs with the WAF(Amendment
to Final WP Approval)
•Submits to CO for approval
• CO reviews and approves the WAF, which
decreases the LOE
• Prepares and issues contract modification, if
applicable
• Contractor executes amended WA with
reduced LOE
3-30
-------
EXHIBIT 3.10 (Cont.)
USEPA
WORK ASSIGNMENT FORM
- -Or Jot L-*»d£ll
C. -
XVZ.
0»J1:_
XJOQUWTUi
DK1MDIS-
2oo,OOO
TOT41 J.00,000
• WrriMMg
U9C taut4*OT
MUTU
a
a SJ
>»••«
K
* *^B tf •
,100,000
(TKIHCH
1 (M
Or
tK of
le.fi'o~
^ia
./2^t2
e>»
ATTACH STATEMENT OF WORK
IPO ouavncM cr icra*
IV11M
RNALCHECKS
1. Dollar amount of PR should equal dollar amount on the 'THIS ACTION" line of total funding received.
2. Total funding received should not exceed approved work plan budget.
3. EL should not exceed approved work plan budget.
4. Deobligation amount for LOE should appear on the 'THIS ACTION" line of approved work plan budget.
3-31
-------
EXHIBIT 3.11
INCREASE WA BUDGET
RPM
I PR
I WAF
(Amendment
T« C'mit \A/D\
^
(2)
PO
fe
(3)
CO
Prepares WAF
(Amendment to
Final Work Plan
Approval) and PR
Reviews and
Concurs with
WAF and PR
(4)
Reviews and
Approves WAF
and PR
Contractor)
STEPS
Notes:
ACTIVITIES
•RPM determines that additional funds are
required beyond the approved work plan
•Prepares a WAF (Amendment to Final
Work Plan Approval) and a PR
•Sends to PO for review and concurrence
(Often, the contractor makes an
initial request to increase funding;
the RPM should ask the contractor
for back-up information to support
the request; the contractor must
submit an OF-60 or SF-1411 as part
of this submission)
• PO reviews and concurs with the
WAF(Amendment to final WP Approval) and
request for increased funding
• Submits to CO for approval
• CO reviews and approves the WAF, which
increases the WA buget
• Prepares and issues contract modification
• Contractor executes amended WA with
additional funding
3-32
-------
EXHIBIT 3.11 (Cont.)
USEPA
WORK ASSIGNMENT FORM
OATfc
l/llf?
GONTIUi.IUMUDNTia.Mk
.MOFCATMNO:
OHCWTONW ACTON
fCWMMI
MUX
APPHOVAl
KTBW
anno
SPARtOO*
KXXHSWTWS
PL** AJJWCVAl.
QFK«.»ia«
PUWWWKOVAt
*a* *j* tenant.
niUXnav
aBniM.i
QFttortf U11)
EMRCOON)
-6«DQUAIITtS«
TKmoiOSKTCN
NOTVCAT1CN
(NO »n*o*ewTj)
CONDUCTM
1 UXXTIFCHwnCN
TOTAL PJWK1
THIS ACTON
TOTAL
** to
*m Sntt ff»
L0€ ton d «a* MA
NTEPM9UOOCT
(TECMNCAL (t) '
now PUW «xnsr
(TECHMCAl (I)'
EWBOTUW LMIT (Bj •
(TKWOt «'
LOG
4. WACOtVlETDMMTE
CUVCNT
Irt^L
^ w/-k -f
_fO ^&4to^/£. 7g-^
t C^Aoi- 2**
OONTRACTBN MNMUVfc
EPASOMTVMUE
D'
NOTAPPROVB)
cc
S>A
UPOATC IU1:
ATTACH STATEMENT OF WORK
(PEA DESCRmCN CF ACTON)
FINAL CHECKS
1. Dollar amount of PR should equal dollar amount on the "THIS ACTION" line of total funding received,
2. Total funding received should not exceed approved work plan budget. .
3. EL should not exceed approved work plan budget.
4. Additional funding amount should appear on the 'THIS ACTION" line of approved work plan budget.
3-33
-------
EXHIBIT 3.11 (Cont.)
Procurement
Request/Order
73-779
206/555-3215
iMtva o* Orwunrar
l~l" --------- I»i
ChucJc James
|l200~5jb9E^A Ave. Seattle, WA
10 MM C
ID-689
206/555-3300
>
68/20X8145
MOTI: nafli 1 214) Oacu<««m Trp* — Conirxa * C
22
3
"7TFA10MKC3
.
600 South it.
Seattle, WA 98101
Qlner
GO«»«MC
• 100.
Gvn
DM.
If.
Chief, WMB
Oivioon/OflKI
Director, HWD
Otn«» ISf*cilrl
Funds liftad m Slock 1 2 and Bloc* 1 S tit trtji ar«
MilKM «oo rtMrvM ISiftHlurt ol Ctmfrutg
FCC
QHitt»»
[
• 0«t«
7 OMiotOraw
19 Contract Nurf^o*' '•' rf
63-01-3060
20 0>*couni rcrmi
22 Or~.ws :a fQt Po«ni o» On of etlaft lOftt: 23
Quoit »fa P*»one
2S Tyo*
-------
EXHIBIT 3.12
DECREASE WA BUDGET
(1)
RPM
PR
WAF
Amendment
r rr ii *ll~i\
fe
(2)
PO
Prepares WAF
(Amendment to
Final Work Plan
Approval) and PR
(3)
Reviews and Reviews and
Concurs with Approves WAF
WAF and PR and PR
STEPS
ACTIVITIES
Note:
•I
• RPM determines that fewer dollars are
required than were approved in the final
work plan
• Prepares a WAF (Amendment to Final Work
Plan Approval) and a PR for a deobligation of
funds
• Sends to PO for review and concurrence
(The RPM should obtain an OF-60
or SF-1411 from the contractor
before sending to the PO)
• PO reviews and concurs with the WAF(Amendment
to final WP Approval) and request for deobligation
of funding
• Submits to CO for approval
• CO reviews and approves the WAF, which
decreases funding
• Prepares and issues contract modification
. Contractor executes amended WA with .
decreased funding
3-35
-------
EXHIBIT 3.12 (Cont.)
USEPA
WORK ASSIGNMENT FORM
{8-Ol-8ot,O
flATl:
/0/M//7
NEW WOW
APPROVAL
N1BW
RJMIM
EPAflEGO*
TOTAL RINOKl
Q PARTUU.NOM
a
Of «J«S»' ^^^^
CONTWCTOM WMATUKI:
PKM
EMWNATWUt
^fif APPROVED AfUMIITTB)
O VTCOYCO WTTH O«MU
WQOffCfefl
9OHPM
Comraaar
EPA
IPOATI IV1MI
ATTACH STATEMFiNT OF WORK
IPEA CEscamo OF ACTION)
FINAL CHECKS
1 . Dollar amount of PR should equal dollar amount on the "THIS ACTION" line of total funding received.
2. Total funding received should not exceed approved work plan budget.
3. EL should not exceed approved work plan budget.
4. Deobligation amount should appear on the "THIS ACTION" line of approved work plan budget.
3-36
-------
EXHIBIT 3.12
oEPA
Procurement
Request/Order
'i=l Thom
7TFA10MKC3
Sown /A«n* * ****** a* mon«*
incruM
Qo«er««««
"IM 19
•100.
1*.
chiee, -
-------
EXHIBIT 3.13
AMEND SOW (MINOR CHANGES)
Prepares TDM
andWAF
(2-4)
WAF
Technical
Direction
Memo
Reviews and Approves
TDM and WAF
STEPS
ACTIVITIES
Notes:
0 Contractor provides RPM/PO with a proposed
TDM containing a detailed description of the
new scope, budget and schedule.
• Contractor also prepares a WAF and attaches
to TDM
• RPM/PO reviews proposed TDM to determine if
it is within the scope, budget and schedule of
the approved SOW and work plan
(Consult with PO on TDM form
and content)
• RPM approves TDM and completes appropriate
section of WAF
• RPM provides a copy of completed WAF to the
contractor and CO
(RPM should maintain a copy
of the TDM and WAF for the
record)
3-38
-------
EXHIBIT 3.13 (Cont.)
USEPA
WORK ASSIGNMENT FORM
A&C, co. ,
/0/70//7 OMMBB..!.^.
"•100,000
- 0-
IM*
••CAM
L/^P.OOQ
•MB.
iin
AHACH STATEMENT OF WORK
(PCD ouavnai cv «C7X>«
FINAL CHECKS
1 . There should not be any change in LOE/budget, so tfle "THIS ACTION" lines tor :otal funding received and
approved work plan budget should read "-0-".
2. &- can change, but must not exceed approved work plan budget.
3-39
-------
EXHIBIT 3.13 (Cont.)
USEPA
TECHNICAL DIRECTION
•««
10 WORK ASSIONyENT INFORMATION
OATE. /g/30/07
- co.
EPA CONTRACT NO.:
CONTWCTOft j
REVISION NO.
«o«AssQ«efTMo.. f — & L S~ I
SITE faUMAGtftFIRI*
2.0 TICMWOL omtcnoN sco»« or WORK
To r/it-J^^f" /TcJJ
tot//
re. <-9 Su>m«« utiti
-------
EXHIBIT 3.13 (Cont.)
USEPA . TECHNICAL DIRECTION MEMORANDUM |
30 SUeOOHTTUCTOH H60U»TVgMT» |0*WMO« at S«mc««|
A/of AffUzilt.
TASK NO. START DATE. COH^UTICNOATE.
A - •? If/g 7 ^ Ar/^7
B-
v/iulti
rl
3ELIVERA8LE
C- H'lllf'/m -T//t,/f7
' '
(TASK NO.-S P€« TEOMCAl OWECTC" SCOPE OF WOWO
! 0 8UX3ET MfOMMTOM
TASK NO:
/?-/
a-r
c-/
rwat
ro DATE
MHOV83
tjoorr .
.-««
tXVffSaONM. SLPKHT
XLW COST ,!» (,7 1, 5PO
608 /3,fOO ^7 /, -TOO
;,3f; rv,opD liw t,°«o
3,190 lOO^Hf 3iO 2^0*0
2,5-00 <*XW &> 1»
6n> ffc'^ fa ^"^
EOJ»
1,000
i.roo
i.roo
u tfOQ
+/00&
•y^o
[^OOJ
TRAVB.
rso
70C?
CTO
1,700
3,000
J;/00
^uwj
con
SUB POO.
/,>«° 47,3^
/, 700
3,000
2.2, bOO
3.1.0CO
4,100
7,^*0
r^aoO
(Sp<^)
M TOTAL COCKM. TOTAl SEVOBI WA «UCCCT
WASUOOfT: * SfP/OCD * ffft.OOO
roAPvnov
CCNTTUCTC
"=• 7,oro "* 7, pro
nscNATtfle
,i»o
2*>0
/ow,0flo
fr/^
f^ TOTALS
rT4,3-r gj;63.r
J,"0 HV,n6
2,1 Jt> 42.?^
//,^r I73,0l!"
1VW3W*
,},**>!<(, HO
^V7x)^,i7r;
•VARIANCE.
1
UCE
S1Te-*~CW'PM . °*rE , "EMKXAIRWXECTMAHAOEH OATi
"KIOMAL UANACERfFIRM OATE 06G1OUU. POQjgCT OF=C=3 OAfE
3-41
-------
EXHIBIT 3.14
CLOSE OUT WORK ASSIGNMENT
(2)
(3)
Prepares WAF
(Completion)
RPM/PO
Signs WAF
(Completion)
Signs WAF
(Completion)
STEPS
ACTIVITIES
Contractor prepares WAF stating that the
project is complete
• Submits it to the RFM/PO
• RPM/PO sign the WAF
• Submit it to the CO
•CO signs WAF, closing out the WA
> Contractor prepares award fee package, Work
Assignment Completion Report (WACR) and
final invoice
• Submits them to the RPM, who in turn also
completes a WACR
3-42
-------
EXHIBIT 3.14 (Cont.)
USEPA
WORK ASSIGNMENT FORM
XVZ
OMI:
a
a "»
EM
KAOOWTM
i acnrr
TOTM-
TH»JCTO«
TOTAt
-O -
MTCAHUWT
«*
•OM KM noon1
—o - -o-
(TtOWCM.
U*
«. WACOIVUmiMTI
>j*gj •f-kt
'/a^_/> 7
0*
IHWVU' L
OC
ATTACH STATEMENT OF WORK
RNAL CHECKS
1. Total funding rsceived to date goes on the 'CURRENT lines of total funding received and approved work plan
budget. .
2. Total funding and LOE being added or deobligated go on the 'THIS ACTION" lines of 'TOTAL FUNDING RECEIVED'
and 'APPROVED WORK PLAN BUDGET.
3-43
-------
EXHIBIT 3.15
Close Out Work Assignment - Increase LOE
(1)
{Contractor
Prepares WAF
(Completion)
(2)
(3)
WAF
(Completion)
^
RPM/PO
^
CO
Completes signs WAF
and Signs WAF (Completion)
(Completion)
t
Contractor
STEPS
ACTIVITIES
Contractor prepares WAF stating that project is
complete
Submits WAF to RPM/PO
RPM completes WAF
Adds LOE to match final approved work
Signs and submits to PO for signature
CO signs WAF, closing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn also complete
a WACR
3-44
-------
EXHIBIT 3.15 (Cont.)
USEPA
WORK ASSIGNMENT FORM
•crryiTV:
BAH: O't
/PA
)CMOUMTIM
"7 -3.0./91-/
/2^ -(?-
3?T
(TKMflCIL
UX)
EwamMLMiTiai-
«•
ao,
-------
EXHIBIT 3.16
Close Out Work Assignment - Decrease LQEj
(1)
(Contractor).
Prepares WAF
(Completion)
(2)
(3)
I WAF
(Completion)
^
RPM/PO
^
CO
Completes Signs WAF
and Signs WAF (Completion)
(Completion)
STEPS
ACTIVITIES
• Contractor prepares WAF stating that project is
complete
« Submits WAF to RPM/PO
• RPM completes WAF
• Decreases LOE to match final approved work plar
• Signs and submits to PO for signature
• CO signs WAF, closing out WA
• Contractor prepares WACR and final invoice
• Submits to RPM/PO, who in turn also complete
a \VACR
3-46
-------
EXHIBIT 3.16 (Cont.)
USEPA
WORK ASSIGNMENT FORU
GOMTflACTOM CQpnWL IO
EM
>«AOauurtui
a
a «*
IM
wrvoroi
oarmicm
-0-
(TfOMCA.
U»
u«onxM LWT flu •
• • '
j^.7 ^ A'fy
C/^-) -o -
^~ 2.0. VIV
4. WACOIMfTIONMII
4-J
OOHTMcrCN MM1UMK
•»-—• r C
AHACH STATEMENT OF WORK
rat OUOVTCH cr
-------
EXHIBIT 3.17
Close Out Work Assignment - Increase Budget
Prepares WAF
(Completion)
WAF
[Completion)
(3)
CO
• Completes and
Signs WAF
• Completes PR
Signs WAF
(Completed)
STEPS
ACTIVITIES
Contractor prepares WAF stating that project is
complete
Submits WAF and OF-60 to RPM/PO
RPM completes WAF and PR
Increases budget to match final approved work plan
Signs and submits to PO for signature
CO signs WAF, closing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn complete
a WACR
3-48
-------
EXHIBIT 3.17 (Cont.)
USEPA
WORK ASSIGNMENT FORM
WOJKTWU*.
GQMTMCTQN OONTHCL *O
MUX
*MOW«t
EM
RJOM
a •""*
»U« VKOIM.
XAOOUMRIW
KnvonaN
*0 ATTJCMM
XUXXTMOMMTICH
TOTM.
l. 783
«i 111 •nfci«t*«g»
IQf tan 4 MM •»
(IKMWl
uwcrtwi uta flu •
»•
^•»-7 Aq
-------
EXHIBIT 3.17 (Cont.)
Procurement
Request/OM?"
Lee 3=;tr.
SH-500
SifHfun afOn^mm
Bi.il Holi
214/555-3700
1/13, 33
». 0~» «».«.., ni
ASA?
1201 Eia St., -alias, TX
10 MUCai
BA-100
214/555-9000
63/20X8145
22
NOTf:ll«n 12101 OecunMnt Typ, — Cararaa • C.
Contrail
8TTAj6MKC6
XYZ INC
800 FranJclin Se.
Dallas, TX 75270
i I21nl»* 10% a*
• ICO. •«
Dr«
DM.
flrancft/Offw*
Chief, HWPB
Director, HWMD
m Stock 12 ina SloO 1 s M tni tn j Owe
««n«d llifntiu/i al Ctntitnf OHitift
FCC
7 0«l« 01 Oow
19 Contract Nu»"0«»
68-01-3060
22 Ovv^rv •.» fO8 P*" 5t Oft of 6«for» fOart; 23 P%»w> Twir>^ O*ow Quoi* ano PT^cnt No.
,4 Contractor •.v«/nr toai*ss _'/
25 "ro« a) Orrtnc« rovir quon (5«« woo 2J<
I OX 'Z! W»n«n O C4Tt»i«.<4
21.
Increase the budget to complete the
close out process at Slue Mountain
Obligated Funds $20,894
Funding This Action 1,089
Total 321,983
1,089
Te«lt
1,089
IP* )<•«• 1tOO-« (MOT. )••*) fn
COTV 1-MOCUeBMDIT mXCOMTMCTWQ
3-50
-------
EXHIBIT 3.18
Close Out Work Assignment - Decrease Budget
Prepares WAF
(Completion)
(4
WAF
(Completion)
^^ ^— ^
•
(2)
DDK J /O^\
RPM/PO
(*r\m nlo toe
anH
1 *
WAF
(Completion)
PR
(3)
Signs WAF
Signs WAF
1 Completes PR
STEPS
ACTIVITIES
Contractor prepares WAF stating that project i
complete
Submits WAF and OF-60 to RPM/PO
RPM completes WAF
Decreases budget to match final approved work plan
Signs and submits to PO for signature
CO signs WAF, dosing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn complete
a WACR
3-51
-------
EXHIBIT 3.18 (Cont.)
USEPA
WORK ASSIGNMENT FORM
earnuerat
•etiwiY-..
OAlt
_GOMmiCTM OOMTiO. Mt.
imam
(Macao*
a """*
a
at
MJOQUMTM
V MXXTMQMMTBM
TOTM.FUCM
(CCS1VBA-
TWXTOt
TOTM /9.1T05'
uwcmjv LMT (U •
!»'
3.Z? jsoyyy
(TEOflCM.
U»
-<9- O.gg^y
?-i7
;^ ,^CLT~
CUWBtT
ty *
-fe
^ wmowMMMmB
Q Nor<»mov«
»»c
ATTACH STATEMENT OF WORK
(PCM cEXHmcM or ACTO*
FINAL CHECKS
1. Total funding received to date goes on the "CURRENT" lines of total funding received and approved work plan
budget.
2. Tola! funding and LOE being added or deobligated go on the •THIS ACTION" lires of "TOTAL FUNDING RECEIVED"
and 'APPROVED WORK PUN BUDGET.
3-52
-------
EXHIBIT 3.18 (Cont.)
Of a tumtit m*r*~ I
»>«, mtrt
I. T |nnix» o» Qnynimr
Procurement
Request/Order
Lee 3-a
1 UMCM
5H-500
Bill Noll
1201 Elm St., Dallas, iX
3A-100
68/20X8145
21475559000
22
NOTC: ii«m I2td)0ecum«m Typ* — Comraci * C.
Purcfun* 0*r » -T-
'MO UW
ICt/f J*f*U
8TFA06MKC6
(1,089)
|OG
3 Sw90nMa Sowrc* rMwnv. A«i
XVZ INC
800 FranXlin St.
Dallas, TX 75270
Q IncrMM
DYM DM.
1*.
Swcn/Offic*
Chief, HWPB
b Oivi«ion/0fftc«
Director, HWM0
osr
rCC
7 0>K o< Oroc
119 CWWMI NumMff 'if «/tr/
68-01-3060
20 O-teoum T«m«
QuOi*
24 Contractor :.Vj
Us
Quo(* /$*» 0/oc« ^Jj
Deobliqata funds in order to close
out work assignment
Obligated Funds S20,894
This Action (1,089)
Total $19,805
(1,039)
TeaM (1,039)
1*00-4 I)U«. *-MI »
rnrri
3-53
-------
EXHIBIT 3,19
Close Out Work Assignment - Increase LOE and Budget
Prepares WAF
(Completion)
(2)
JL
WAF
(Completion)
• Completes and
Signs WAF
• Completes PR
PR
(3)
CO
Signs WAF
(4)
STEPS
ACTIVITIES
Contractor prepares WAF stating that project is
complete
Submits WAF and OF-60 to RPM/PO
RPM completes WAF
Increases LOE and budget to match final approved
work plan
Signs and submits to PO for signature
CO signs WAF, closing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn complete
a WACR
3-54
-------
EXHIBIT 3.19 (Cont.)
USEPA
WORK ASSIGNMENT FORM
,nm
/a
«.«. Ql/lfltl
CM
MNMUMTW
a "*"*
a
EM
TCOMCA OMCTOI
aowumi
wnrciTtx
TOTH.)UCM
1WKTBN
m «•• 9*
(KamcA.
«ow *j* fjuxr
ntotteM. m-
33.7 }<.
i'2- 1,089
(TKJfOC*
LCD
uwcnuw u«T flu •
«•
32 7 ag?,^1-/
/2. i ,og)9
4. HMCMKTONOAIl
r crnrnnBrni
C/ore ou.1~ -t-L>
V^i>./ i^
-------
EXHIBIT 3.19 (Cont.)
Procurement
Request/Order
Lee Smith
SH-SOO
214/555-3700
;.-:3-'5o
Bi;i Noll
68/20X8145
22
MOTE: iwm lid) Oocuifwm Typ* — Comrwt « "C"
C«f»«
A«gOii
8TFA06MKC6
DO*
XYZ INC
800 franklin St.
g
Qv.
GNO
Iraflcn/Offica
Chief, HWPB
HWMD
Data
TaOmacTSaerfw
Oata
Funoa. liana in Sloa 1 2 and two 1 9 |W »n»/ in j O
avottot* and raaa>»ad IStgnat&t at Canrfymf OMtaaf
FCC "
1 Olhar iSffcifrl
7 Oa«o«0«a«
1 8 O"»*» Hu
19 Contract Nu^iea, ''' tntt
68-01-8060
20
t Tarmi
1 fOl •»«
22 Dr-WY a f O8 faun av On or M/or* (Oar»/ 23
Quoit *r^a Pnon* NO
24 Contractor .-.v«m«. taerttt „'•« COM,
25
^ •
O»4 U W*
-------
EXHIBIT 3.20
Close Out Work Assignment - Decrease LOE and Budg
,f
Prepares WAF
(Completion)
(2)
WAF
(Completion)
• Completes and
Signs WAF
• Completes PR
PR
(3)
CO
Signs WAF
STEPS
ACTIVITIES
Contractor prepares WAF stating that project l^
complete
Submits WAF and OF-60 to FtPM/PO
RPM completes WAF
Decreases LOE and budget to match final approved
work plan
Signs and submits to PO for signature
CO signs WAF, dosing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn complete
a WACR
3-57
-------
EXHIBIT 3.20 (Cont.)
USEPA
WORK ASSIGNMENT FORM
Ml*
Of/S-i/f?
t^-O^k-si. y-f
„«»•»••<_ .7.
.wc*ein»«_ia
WWWONI
Mid
EM warn
RKJMJ
•CXXXMTlAi
WAOOUWTUi
IWKTBK
Tom n.fof
fKHNC*
3a7 *
(IT-) S/.ofl)
3 is- ^ n,tof
(TKMaOt
LOS
t»oemj« LMT «; •
»•
3^-7 soltf*9V
/i^ (/.g* «»)
j/r- /<
-t-L»
£
Lo£
OONHWCTDI MUTIMft
ATTACH STATEMENT OF WORK
(cu MSCRFTXX or ACTC*
until
PNAL CHECKS
1 . Total funding received 10 date gees on the 'CURRENT lines of total funding received and approved work plan
budget.
2 Total funding and LOE being addsd or deobli;ated go on the 'THIS ACTION' lines of 'TOTAL FUNDING RECEIVED"
and 'APPROVED WORK PLAN BUDGET.
3-58
-------
EXHIBIT 3.20 (Cont.)
Procurement
Request/Order
SH-5oo
214/555-3700
'1 LJUJoi
i.:: 53
ASAP
Bill Noll
1201 Elm St., Dallas, TX
BA-100
214/555-9000
68/20X8145
22
i MOTf: Rom 12ldl Oocumom Typo _
I • •'•"
{«('}•*•«
8TFA06MKce
Clou
»u I
1,089)
StMOOf* SO
800 Franklin St.
Dallas. TX 75270
Oo»»«i
I • »«, i«^ KjnUMoi On* Coniimir
,uoo to *K*Mt tn. iirnnjm mow** ,A 8taB 12ini 0* ' 0% •
4100. —CT... .. 101.
DY- D*.
TO.-
j Oai*
b Oi».»ioo/O«>et ,_,._
Director, HWMD
Fundi n«J«o >n tua 1 2 inn euo 1 i V «AT/
*il«
FCC
04IO
^ Dm o< Ow
1 9 d«lf 4CI Nu
20 O'«count Term*
21 FO6 foim
22 0*fwfv »a f08 Point ov On er o*rort /O«rr/ 23
QuO't
24 Conu«cior .-.\<
25 TTB. o< OrO*r
3 •
i vour quote /£•* euoff 23)
mfll.n to i"t t«rr*
finvA G
coni»m..i4
M.
I UMtNce
Amew«*i
. *•*•! Pn.^ui oamon *r« OB4WMO.
3*. Tm* NMM *nd Tiu* o< Carmenn* Offor
eonr i-MOCUWMBfr nt£«OMnucriMQ Ofwz*
3-59
-------
EXHIBIT 3.21
Close Out Work Assignment - Increase LOE,
Decrease Budget
Prepares WAF
(Completion)
WAF
(Completion)
^-^s
nnt j jr^yv
RPM/PO
WAF
(Completion)
^^
* **~\
• Completes and ^
PR
(3)
CO
Signs WAF
Signs WAF
• Completes PR
STEPS
ACTIVITIES
Contractor prepares WAF stating that project it
complete
Submits WAF and OF-60 to RPM/PO
• RPM completes WAF
• Increases LOE and decreases budget to match final
approved work plan
• Signs and submits to PO for signature
• CO signs WAF, closing out WA
• Contractor prepares WACR and final invoice
• Submits to RPM/PO, who in turn complete
a WACR
3-60
-------
EXHIBIT 3.21 (Cont.)
USEPA
WORK ASSIGNMENT FORM
. G>P-OI-fOlO
am.-
_ooNnuem ooMntx 10
(6*««^ Otav
-------
EXHIBIT 3.21 (Cont.)
it.
Soncn/Otic*
Chief. HWPB
Oi«
Director, HWMD
Funei list«a in aiock 1 2 ind Btact 1 5 fit tnrl *r« 1 Dan
avotlao* and r9*Muft of Ctnifting OH***
FCC
1 7 DM* Of OnMr
O"i** NutnCMr
19 Co«tf«e< f»u^o
63-01-8060
22 Or-ver; ;a FOB Po;ft 9* Qn or war* tO*t*: 23
25 TytM of Or-M) PTVVKMM •diiiom •<•
rarr i-MocuMCMorr nixcoMTitACTma o**«cai
3-62
-------
EXHIBIT 3.22
Close Out Work Assignment - Decrease LOE,
Increase Budget
Prepares WAF
(Completion)
(3)
CO
Completes and
Signs WAF
Completes PR
Signs WAF
STEPS
ACTIVITIES
Contractor prepares WAF stating that project is
complete
Submits WAF and OF-60 to RPM/PO
FtPM completes WAF
Decreases LOE and Increases budget to match final
approved work plan
Signs and submits to PO for signature
CO signs WAF, dosing out WA
Contractor prepares WACR and final invoice
Submits to RPM/PO, who in turn complete
a WACR
3-63
-------
EXHIBIT 3.22 (Cont.)
USEPA
WORK ASSIGNMENT FORM
8ATL-
ft
eoMTVcrai comma*
«TDI»
t OCKMOTONCFACnOM
a
•
nua
EPA MOO*
txajwrrtM
a
n
U
>OOai*«THi
8*1*001
XO ATTACMIINn)
Cma* iVmm
TOTAl fU«M
TMSACTBN ,
TOTAL
MTHMBjOOT
rriowcAi n •
(TW««CJ«.
3/5" 2;,?
E0V«mj« UMT A) •
(TKMflCN. A *
u»
t. HMCMMTOiaATI
cuwerr.
-f-Lt
^^ ^^'
aa^
ri i
ATTACH STATEMENT OF WORK
(KM OEjcnmcN cr Aero*
RNAL CHECKS
1. Total funding received 10 date goes on me 'CURRENT lines of total funding received ana aoorovea work olan
budget.
2. Total funding ana LOE being aoced or deobligated go on me "THIS ACTION' lines of 'TOTAL FUNDING RECEIVED'
ana 'APPROVED WORK PLAN BUDGET".
3-64
-------
EXHIBIT 3.22 (Cont.)
m tor <
oEF
---' ••*
• *"" "'**"• Lee Snith l/'24,-36
>. m Proeuremflnt
f* Request/Order SH-SOO
a>0"*'~a/^ ^L^z-
4 TUMI ijri Mumo** i 0«t* t*«i» «««w*r«4
214/555-8700 ASA?
L.nB.y
68/20X8145 22
0 Oocwn««ni |
10 »*4- Cd* it *i IXTJ^^ n,rx,
BA-iGC 214/555-9000
NOTE: ittm 1 2(01 Oocum*m Typ* — Contrvct * C.
^UfCtt*** OrO*f * '^"
OOMCI ; Amowm mi
!8H* *pti; • Oo*i«f« ' C«m-
a AJIULU.: , 8TFA06MKC6 i "- = 1,059 iCC
i
800
nal 1
Commmcd t
• 100 «nt ww
C»« Cf»o
If AporovM
Chief, HWPB
« .roo^, M.n^.n,.n, O«.c.,/ 0«^nM 0.,.
I Oivmon/Otficf Oatt It Otr*«f iSotcityt Oat*
Director, HWMD
c Funds IISIM in 8>oc* 1 2 ana Bloc* 1 5 tit tnrf in Data
•vBilaW* and r«««rv«d tSigntturt at Cm/tying Off'Ci* F
FCC
l 7 Oat* ot O'W ' ! * O"1*' Nu'-'O*'
i
63-01-3060
21 POfl Point 22 Oe"v«-v !3 f09 Po-.rt 9v 0/» o^ Effort lOttt
24 Conirac
2J »..„- T...-, 0..' Quc,.e,r0P-c-«NO
25 Typt 0' O'Ot* *t*t« »oc« vouf quote r5«* 0'OC« 2J;
-^^~;:=::kd^-
c IO-., 2*..w 2 Co.-.....,,
2« >eti» QU«AIII*
&^*r*a: Unit : untt *»<• ; ^w* Amowm 1 *£C*p»»»a
iet (d) ' r
CPA Font t*OO • (*»v (-Ml rrcnioiK Mituxo •>• OMOUK
1-MOCUWMCMT "LtCOVTRACnMa O*=BCER
3-65
-------
CHAPTER 4
WORK PLAN REVIEW AND APPROVAL
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
Work
Plan
vlemorandurr
1
f
/Vork
Plan
Two Different
Plans To
Review And
Approve
1. Work Plan Memorandum*: Five to six page
document submitted by the contractor to the
RPM within 15 days of receiving the work
assignment specifying the approach, LOE,
budget and schedule for completing interim
tasks in the SOW
Complete Work Plan: Document submitted
by the contractor to the RPM within 30 days
of receiving the work assignment specifying
the approach, LOE, budget and schedule
for completing all the remaining tasks in the
SOW
WORK
No changes in
Interim SOW
Tasks or LOE
Budget
PLAN MEMORANDUM
Work Plan
Memorandum
Changes in
Interim Tasks
or LOE/Budget
(3)
Acknowledg.
ment
WAF (Interim
Amendment)
Work Plan
Memorandum
. .Contractor]
Reviews and Approves the
Approves the WAF (Interim
Interim Amendment)
Amendment
*The Work Plan Memorandum is not used in all Regions
and is, therefore, a Region-specific requirement.
4-1
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(cont'd)
STEPS
Note:
Notes:
Work
Plan
Memorandum
ACTIVITIES
• Contractor prepares Work Plan Memorandum
(WPM), which describes approach to
accomplishing interim tasks in the SOW and
presents LOE/budget estimates and
deliverables schedule for interim tasks
• Submits WPM to RPM/PO for review and
approval
• If a modification is needed (e.g., change in
scope, LOE/budget, or schedule), contractor
also prepares a revised WAF (Interim
Amendment)
• Submits revised WAF (Interim Amendment)
along with WPM to RPM/PO for review and
approval
(RPM should work closely with
the contractor in preparing the
WPM to make sure it is
completed within 15 days of
receiving the WA and to answer
any questions the contractor
may have)
• RPM/PO review and approve WPM (an-j revised
WAF Interim Amendment, if submitted)
(Details on "how to" review the
WPM are covered in the ARCS
Contracts Users' Manual,
Appendix IV, pages IV-25 to 28.)
(A procurement request is
required if a WAF Interim
Amendment has been submitted
that changes the budget)
(Review and approval of WPM
should take no more than 5 work
days)
4-2
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(confd)
Work
Plan
Memorandum
STEPS
ACTIVITIES
Note:
If only WPM has been submitted, RPM/PO
acknowledges receipt of WPM from
contractor in writing and submits to CO
for final approval
If WAF (Interim Amendment) is submitted
with the WPM, RPM/PO completes the
WAF (no need to acknowledge receipt of
WPM)
Submits WPM and WAF (Interim
Amendment) to CO for review and approval
CO reviews and approves the WPM and
WAF (Interim Amendment)
(Instructions on "how to" complete
the WAF Interim Amendment are
located in Appendix IV, page IV-15
of the ARCS Contracts Users'
Manual)
4-3
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(confd)
Work
Plan
Memorandum
WPM Review Tips'
• Make sure the
WPM addresses
each interim task in
the SOW
• Note any
discrepancies &
discuss with
contractor Site
Manager
• Make sure
LOE/budget do
not vary
substantially from
those authorized
in SOW
• if they vary by 50%
or more, discuss &
resolve
differences with
contractor Site
Manager
• Make sire
schedule matches
that in the SOW
• Note any
discrepancies & >
discuss with Site
Manager
WORK PLAN
MEMORANDUM
Scope of Work for
Interim Tasks
LOE/Budget Estimates
for Interim Tasks
Schedule of Deliverables
for Interim Tasks
Determine
acceptability of
contractor's
' approach
Note any desired
changes to the
scope & discuss
with contractor Sitf
Manager
Is the proposed
amount of
LOE/budget
reasonable and
^appropriate for
accomplishing the
interim tasks?
Is the labor mix
(P-levels)
reasonable &
appropriate?
Is the schedule for
completing interim
ktasks appropriate?
Note your desired
changes to
schedule & discuss
with Site Manager
* The RPM should maintain on file all documentation related to WPM review
4-4
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(1) Work Plan
(Contractor
STEPS
Notes:
Notes:
-WContractor]
WAF
(Final Work
Plan Approval)
ACTIVITIES
• Contractor prepares work plan including an
OF-60 or an SF-1411 and a WAF (Final Work
Plan Approval)
• Submits to the RPM/PO for review and approval
(RPM should stay in contact with
the Site Manager during work
plan development to answer
questions and resolve issues
that arise)
• RPM reviews work plan from the standpoint of
technical quality, budget and schedule
• Signs the WAF
• Submits to PO for review and signature
(Details an "how to" review the
work plan can be found in the
ARCS Contracts Users' Manual,
Appendix IV, pgs. IV-25 to 28)
(Be sure that the total funding
specified in the plan is within
that of the original PR)
• PO reviews work plan and signs WAF
• Submits copy to CO
• CO reviews Work Plan, focusing on cost issues
• If necessary, conducts cost negotiations with
contractor
• Signs WAF
• Submits WAF to Contractor
"4-5
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(cont'd)
Tips for Reviewing Technical Quality of Work Plans
SOW
Taskl
Task 2
Task3
Task 4
- Conduct Site
Investigation
- Analyze SI Data
- Conduct
Literature Search
- Prepare Testing
Plan
Worfc Plan
Task 1 - Conduct Site
Investigation
Task 2 - Analyze SI Data
Task 3 - Conduct
Literature Search
Task 4 - Prepare Testing
Plan
1. Compare the tasks in the Work Plan with those in the SOW and
note; any discrepancies
2. Review the methodology for accomplishing each task and assess
its adequacy and effectiveness
• Proposed sampling plans for water, soil and air
• Spacing and depth of soil borings and monitor wells
• Types of analyses proposed
• Use of bench and pilot scale studies
• QA/QC plan
3. Note any desired changes to the technical approach and discuss
with the contractor Site Manager
4-6
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(cont'd)
Work
Plan
Tips for Reviewing Work Plan LOE and Budget
sow
Labor:
Title Level Mrs Cost
Director P-4 400 10,000
Engineer P-4 100 3,000
Researcher P-3 1,000 20,000
Assistant P-2 400 6,000
1,900 39,000
Overhead
ODCs Travel
G&A
The following is a suggested
skills mix for this Work
Assignment:
Director (P-4) 300 hrs,
Researcher (P-3) 800 hrs,
Assistant (P-2) 250 hrs.
Writer (P-2) 150 hrs,
1. Compare the LOE in the Work Plan with that in the SOW; if there is a
significant difference, does the proposed LOE seem appropriate and
reasonable?
2. Compare the staffing mix in the Work Plan with the effort required in the
SOW; is it appropriate and reasonable?
• Are key personnel qualified?
• Are they over-qualified for the task?
3. Is the proposed amount of travel reasonable and in accord with the SOW
requirements?
4. Are ODCs broken down? Is each component reasonable?
4-7
-------
Chapter 4
WORK PLAN REVIEW AND APPROVAL
(cont'd)
Work
Plan
Tips for Reviewing Work Plan Schedule
Tasks
Due
Date
1. Work Plan 12/15
2. Lit. Search 1/15
3. Draft Report 2/10
4. Final Report 3/15
Work
Tasks
Due
Date
1. Work Plan 12/15
2. Lit. Search 1/15
3. Draft Report 2/10
4. Final Report 3/15
1. Compare the due dates in the Work Plan with those in the SOW and
note any discrepancies
2. If differences exist, are they justified? Is the proposed schedule
appropriate/too generous/too ambitious?
3. Do task durations seem reasonable?
4. Do resource conflicts exist?
5. Does the sequence of tasks seem appropriate?
6. Are events scheduled in appropriate seasons?
4-8
-------
CHAPTER 5
OVERSIGHT AND TECHNICAL DIRECTION
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
Progress
Report
Technical
Directive
Definition • Oversight is monitoring of the work assignment's
technical and financial progress.
• Technical Direction is guidance from the RPM to
the contractor that is intended to assist the
contractor in accomplishing the SOW.
Oversight
Methods
8 Review reports and deliverables
• Communicate frequently with the contractor
- Meetings
- Telephone
0 Visit the site
0 Conduct evaluation of contractor performance
References
•Additional detailed information on "how to"
conduct work assignment oversight can be
found in the ARCS Contracts Users' Manual,
Appendix IV, pages IV-29 to 34.
5-1
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(cont'd)
,
Progress
Report
L_
¥SSxSSSSft;:JgfftSS«ft
Deliverable
Tips for Reviewing Progress Reports
Compare planned
dates of deliverables
with actual dates
Note any
discrepancies and
inform contractor Site"
Manager
Make sure that
what is stated in
the report was
actually performed,
Note any problems
and resolve with
contractor Site
Manager
Compare
estimated vs.
actual costs
Note any
discrepancies and
resolve with
contractor Site
Manager
Check hours
charged by
P-Level to make
sure they are
reasonable for the
work performed
during the month
\
/
Technical work performed
by WA vs. planned work
Meetings held between the
contractor and EPA
Deliverables submitted
Dates deliverables
submitted (actual vs. ,
planned)
/•
\
lElirranciall
Work hours proposed vs.
actual estimated to :
completion
Funds budgeted vs. actual
(period vs. cumulative) vs.
estimated to completion
(by task) and variance
Cost per hour
Summary of travel
(budgeted vs. actual)
Summary of ODCs
(budgeted vs. actual),
description & breakdown
Subcontract costs (by
subcontractor-budgeted
vs. actual)
5-2
v.
k
Compare work
that was
performed with
work that was
planned
Note any
descrepancies
and inform Site
Manager
Review problems
that are stated in
the report and
assess their
impact on WA
progress
Note any impacts
and discuss with
Site Manager
Check
percentage of
work completed
with budget
remaining to
complete the job
Note any
problems and
discuss with Site
Manager
Check to make
sure that costs
incurred are
reflective of work
performed
Note any
problems
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(cont'd)
Deliverable
Tips on Reviewing Deliverables
1. Do the deliverables meet the requirements that were
, established in the SOW?
2. Is the content complete?
Is it accurate, including quantitative data?
Is H clear and understandable?
3. Is the statistical analysis correct?
Does it make sense?
Does it support the conclusion?
4. Are the deliverables submitted on time per the
requirements in the SOW?
5-3
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(cont'd)
Tips for Communicating with the Contractor
1. Establish a routine for communication with the contractor
2. Check for changing circumstances
3. Check for mutual understanding of progress
5-4
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(cont'd)
SITE VISIT
Tips on What To Inspect
1. Adherence to schedules
2. Activities completed
3. Assignment of personnel
4. Use of facilities
5. Use of equipment
6. Financial records
5-5
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(cont'd)
Tips on Evaluating Contractor Performance
llilliili
Description:
Overall
Evaluation:
Date: Signature:
Date:
Signature:
lli^irliisiiiimlnll
iiliiiiiiil!iiilil§liii
Contractor:
Scope of
Work:
Site
Manaqer.
Performance:
Problems:
Phase i
Date:
Phase ii
Signature:
.1. Provide sufficient detail and explanation of the contractor
performance to support the evaluation rating given
2. Use examples of meritorious or deficient performance to document
"high" and "low" ratings
3. Provide sufficient detail regarding the quality of the contractor's
performance
5-6
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(Cont'd)
Technical
Directive
Form
Technical
Direction
Guidelines
• Refrain from discussing or divulging to the
contractor any information relevant to a work
assignment prior to issuance
« Never authorize work to begin before issuance of
a work assignment
• Do not give direction that will affect the terms and
conditions, cost, LOE, or schedule of the
assignment
• Do not direct the contractor to perform services
"inherently governmental" in nature (e.g., making
policy)
» Beware of creating an employer/employee
relationship
Personal • A personal services contract results when the
Services Governent assumes the right to instruct,
Are Illegal supervise or control a contractor's employee in
how that employee performs the work
• It is the contractor's right to hire and fire, to assign
and organize the work
• RPMs must take care not to cross the line from
surveillance to supervision
. The RPM can tell the contractor "what" but not
"how"
5-7
-------
Chapter 5
OVERSIGHT AND TECHNICAL DIRECTION
(Confd)
Technical
Direction
Must Not:
• Institute additional work outside the work
assignment scope
° Constitute a change in the work assignment
° Increase or decrease estimated cost of the work
assignment
• Alter period of performance
The RPM
Must:
Additional
Information:
NEVER direct that any portion of work should be
performed by subcontratorrather than-prime
contractor
NEVER direct prime to subcontract with a
specific firm
NEVER consent to a subcontract -- only the
Contracting Officer can give consent
NEVER provide technical direction to a
subcontractor
Issue direction IN WRITING, OR must-CONFIRM
verbal direction given IN WRITING WITHIN FIVE
CALENDAR DAYS
Details on "how to" provide technical
direction to ARCS contractors can be
found in the ARCS Contracts Users'
Manual, Appendix IV, pages IV-35 to 37.
5-8
-------
CHAPTER 6
CONTRACTOR PERFORMANCE EVALUATION
-------
Chapter 6
CONTRACTOR PERFORMANCE EVALUATION
Award Fee
Plan
Financial incentives are provided to
ARCS contractors through the
Cost-Plus-Award-Fee (CPAF) Plan,
which is used to compensate the
contractor with an "award fee* based
on an assessment of technical
and program management performance.
A flow chart depicting the ARCS award
fee process is shown on page 6-3.
• RPMs are responsible for evaluating contractor
Responsibilities performance each trimester by completing the
. forms shown on pages 6-4 to 6-9.
In completing these evaluation forms, the RPMs
should ensure that:
- Sufficient detail is provided to justify the ratings
s provided
- The ratings provided are commensurate with the
ratings justification provided
Evaluation
Criteria
and Ratings
The evaluation criteria used to assess
contractor performance consist of:
- Project planning including the
development of work plans, project
cost estimates and schedules, and
screening for organizational conflicts
of interest
6-1
-------
Chapter 6
CONTRACTOR
(Cont'd)
Evaluation
Criteria
and Ratings
(Cont'd)
Additional
Information
PERFORMANCE EVALUATION
- Technical competence and innovation^
including effectiveness of analyses,
accomplishment of objectives,
adherence to regulations and procedures,
ingenuity and creativeness of approach,
and support to other organizations
- Schedule and cost controj including ability
to minimize costs, maintain planned budgets
and schedules, and adjust priorities or schedules
- Reporting including timeliness, thoroughness,
and clarity of deliverables
- Resource utilization including the ability to
efficiently obtain and assign staff,
subcontractors, and equipment
- Effort including contractor responsiveness,
the ability to mobilize staff and equipment
in a timely manner, and effective day-to-
day project management
Each of the following criteria is rated according to the
following scale:
"5" - Outstanding
"4" - Exceeded Expectations
"3"- Satisfactory
"2" - Marginal
"1" - Unsatisfactory
Additional details on the award-fee process,
including information on evaluation criteria
and rating guidelines, can be found in the
ARCS Contracts Users' Manual, Chapter 3,
pages 3-1 to 3-25.
fi-?
-------
CHAPTER 6
CONTRACTOR PERFORMANCE EVALUATION
PERFORMANCE EVALUATION PROCESS
PrepareTWACRs
And RES
Receives
Award
Prepares RES
and SER and
Sends to PO
Pre|
PE
RPM
1 ,
1 *
PO
fe.
PEB
1 ^
. pi
PO
CO
fe.
FDO
Dares WACRs • Reviews WACRs and • Reviews Evaluation Forms Prepares Fee • Verifies Numbers • Makes Rna
'Rs and RES PERs and Prepares and Recommends Award Fee Decision and Fee Determination
RES and SER Rationale Report • Prepares Award
• Reviews and Approves the and Sends to CO Fee Letter • Issues Letter
• Develops PIRS PIRS to the Contractor
KEY:
• Prepares Performance
Evaluation Package and
Sends to PEB Members
SM = Site Manager (Contractor)
RM = Regional Manager (Contractor)
RPM » Remedial Project Manager
PEB = Performance Evaluation Board
PO = Project Officer
CO = Contracting Qjfcer
FDO = Fee DeteJMtion Official
PIRS =» Performance Index Rating Score
WACR = Work Assignment Completion Report
RES = Regional Evaluation Summary
PER = Performance Event Report
SER = Summary Evaluation Report
-------
EXHIBIT 6.1
Hypothetical Example of
Completed Performance Event Report
PAGSlofa
AWARD FEE PERFORMANCE EVENT REPORT
PART 1: EVENT DESCRIPTION AND OVERALL EVALUATION
CONTRACTNO. CONTRACTOR WANO.
68-01-8060 XYZ INC. 131-9L78
DATES OF REPORTS) EVBIT: NO. OF HOURS THIS PERIOD
FROM: 1/1/87 TO: 4/30/87 1,000
COSTS THIS PERIOD
3100,000
CONTRACTOR CONTACT PHONE NO. RPM PHONE NO.
fji i 1 TOPOS (415)555-7300 Marv Doe (415)555-6565
DESCRIPTION OF PERFORMANCE EVENT The contractor conducted the first phase of an P.I
including an initial site visit, a soil-gas survey, ambient air sampling, and
shallow-soil sampling. The focus of these activities was the ABC sice, a former
disposal area for over 2,000 drums of waste solvents and paint sludges.
OVERALL PERFORMANCE EVALUATION The contractor misjudged the amount
of time that would be required to conduct all the activities
associated with the first phase of the RI. The air and soil
samplings took twice as lo.ng to complete than expected, resulting
in costs that were $40,000 over the planned amount. This was
due largely to a miscalculation on the part of the contractor
as to the complexity of conditions at the site, which should
have been ascertained during the initial site visit. In addi-
tion, the contractor assigned inexperienced personnel to the
site, and this contributed to the unnecessary delays in co=pletin
the air and soil sampling.
PROJECT
PLANNNG -
TECHNICAL
COMPETENCE
& INNOVATION -
SCHEDULE &
COST CONTROL
REPORTING :
RESOURCE
UTILIZATION
EFFORT
DATE RPM SIGNATURE OVERALL RATING
PO ASSESSMENT & CERTIFICATON
I agree with the RPM's assessment and recommend that in the future the contractor
be more meticulous and comprehensive ir. its initial site ir.spectior. and assessrr.e.-.c
as well as its assignment of appropriate and experienced personnel to complete tr.=
job on time and within budget.
DATE PO SIGNATURE RATING
6-4
-------
EXHIBIT 6.1 (CONT.)
Hypothetical Example of
Completed Performance Event Report
PAGE 2 of:
AWARD FEE PERFORMANCE EVENT REPORT
PART II: EVALUATION CRITERIA SCORE SHEET
CONTRACTNO. CONTRACTOR WANO.
68-01-8060 XYZ INC. n'-9L78
PERFORMANCE CflfTERtA
PROJECT, PLANNWQ
• ORGANIZING (EG.. WORK PLAN
DEVELOPMENT. DATA REVIEW)
• SCHEDULING
• BUDGETING
TECHNICAL COMPETENCE & INNOVATION,
• EFFECTIVENESS OF ANALYSES
• MEET PLAN GOALS
. SUPPORT 006. STATE- ENFORC.
• ADHERE TO REGS. & PROCEDURES
• APPROACH CREATIVITY/INGENUITY
• EXPERT TESTIMONY
SCHEDULE i COSTCONTPOL
• BUDGET (HOURS 4 COST) MANT.
• PRICflrTY/SCHEDULE ADJUSTMENTS
• COST MINIMIZATION
REPORTING
. TIMELINESS OF OEUVERABLES
• CLARITY
• THOROUGHNESS
RFgOURCE UJILIZATTO^
• STAFFING
• SUBCONTRACTING
• EQUIPMENT. TRAVEL. ETC.
EFFORT
• RESPONSIVENESS
• MOBILIZATION
• OAY-TO-OAY
• SPECIAL SITUATIONS (EG.. ADVERSE,'
DANGEROUS CONDfTTONS)
RATMG
5
4
3
2
—* 1
5
4
3
x 2
1
5
4
3
2
5
• 4
3
* 2
1
5
4
3
2
5
4
3
2
x •
SUPPORTING COMMENTS
The contractor failed to accurately assess
the difficult r.ature and complexity of site
conditions during the initial site visit,
resulting in a considerable miscalculation
in the amount of time and aoney and in the
type of staff needed to do the job.
Sorr.e of the air and soil samples had to be
repeated due to the assi7r_T.ent of inexper-
ienced personnel to a relatively compli-
cated job.
The planned budget and srr.edule were not
met due to a poor project planning and
management effort. Actual costs exceeded
planned costs by more tr.ar. 340,000; the
job took two nonths loncer than plan^^^
The report on the Phase : SI was two months
late due to inexperienced contractor staff
and to delays in completi.-.g field sampling.
The contractor assigned i-ex?erier.ced and
inappropriate staff to dc the sa— pling at
a relatively complex site. As a result,
samples had tc be repeat;:, and reports
had to be rewritten.
Although the contractor "bilized its
initial staff on time, tr.ese staff even-
tually had to be replace! because of -heir
;"excei"^e'tcei '.lob1"'"*'"" oc'°e'' ""o *~ ^ ~ v
r.eriencec star: was a r.rrrlerr. :cr the con-
tractor and was not achiived u.-.til eicht
weeks into the project.
6-5
-------
EXHIBIT 6.2
Hypothetical Example of
Completed Work Assignment Completion Report
PAGE lot 3
EPA WORK ASSIGNMENT COMPLETION REPORT (WACR)
CONTRACT NO.
WORK ASSIGNMENT NO.
OONTfMCTOasUBOCHTRACIOR(S)
ABC INC.
352 Glenview Drive
Kansas City, MO 66101
EPA REGION
VII
CONTRACTOR SITE MANAGER (Htm* and Ptant No.)
Jim Smith (913) 555-3333
flPM
Jim Jones
(913)555-8110
WORK LOCATION (SH Hum* A StMf)
XYZCo. St. Louis. .'-'O
BRIEFLY DESCRB6 SCOPE OF WORK:
Conduct an RI/FS to assess the level and distribution of contamination and evaluate
appropriate remedial measures to mitigate the onsite and offsite contamination at
the XYZ Oil company Site. Conduct the RI/FS in three phases: 1) Preliminary ?.:
activities; 2)Site RI activities; and 3)Feasibility Study.
OESCRM CONTRACTORS PERFORMANCE: OveraU performance on this assignsner.t was exc6:lent.
A noteworthy example of this excellent performance occurred during the collectic-
of hazardous waste samples at the site. The contractor demonstrated excellent ver-
satility in revising a sampling program on very short notice. This was caused ':••
difficulties in negotiations between the responsible party and the State, which re-
sulted in a delay in schedule. The contractor quickly and effectivelv revised field
techniques and procedures and was able to complete a thorough investigation witrir.
the time frame imposed. Total costs for completing the RI/FS were under budget rv
20,000 and ahead of schedule by 3 weeks.
UNUSUAL PHO6LEMSOCCURRENCES AFFECHNG CONTRACTORS PERFORMANCE:
Although the RI/FS was completed ahead of schedule, there was a problem initiallv
that caused a two-week delay. Thj subcontractor originally selected to conduct
ield sampling was identifiec as having a potential conflict of interest. A cor.-
inuing delay was quickly av
STATE SPECIFIC REASONS FOR RECOMMENDATION FOR PHASE II AWARD:
Subcor.trir tor
nwwi^j^* f^m p*^^pw ftwiy w wa*^HMiH m * ww-*«w f f
Contractor exceeded planned performance on every evaluation criterion, suscor.trictc
performance was also excellent. Project site manager has done an excellent -.ob ir.
managing the team. The composition and responsiveness of the team have proven ~-~ cs
consistently good throughout the period. The contractor has identified additior.il
analyses that were not required by the WA but were very helpful in identifying s.-.i
evaluating unknown contaminants. Reports have been top-quality and have exceeded
xpectations.
RPM
Signttun t 0*f •
PO
Sqruturt t Ott»
Note: Details on determination of Phase I and Phase II award fee
available can be found in the ARCS Contracts Users' Manual,
Chapter 3, p>ages 3-10 to 3-2S7"
6-6
-------
EXHIBIT 6.2 (CONT.)
Hypothetical Example of
Completed Work Assignment Completion Report
PAGE 2 o(3
EPA WORK ASSIGNMENT COMPLETION REPORT (WACR)
PART II: PROJECT SCHEDULE AND COST INFORMATION WORKSHEET
CONTRACT NO.
68-01-8060
APPROVED WORK PLAM
AND WA AfcCNOEMENT
DATES
6/24/88
WORK PLAN APPROVAL DATE
7/18/88
AmwtdnMflM
8/10/88
Amendment 2
Amendments
TOTAL PLANNED COST
TOTAL ACTUAL COST
VARIANCE
VWRK ASSIGNMENT NO.Q8_7L37
LOE4
EXPENSE
COST
$75,000
$10,000
$15,000
3100,000
S 33,000
3 17,000
SU8CON.
TRACTNQ
POOL COST
$20,000
$ 5,000
$10,000
335,000
332,000
$ 3,000
TOTAL
PLANNED
COST
$95,000
$15,000
$25,000
3135,000
3115,000
3 20,000
EPAREGCN VII
PLANNED
COfcFLETON
CATE
12/15/88
12/15/88
12/15/88
W/////,
WM
W//M
ACTUAL
COMPLETION
DATE
11/23/88
WM:
WM
WM
6-7
-------
EXHIBIT 6.2 (CONT.)
Hypothetical Example of
Completed Work Assignment Completion Report
PAGE 3d 3
EPA WORK ASSIGNMENT COMPLETION REPORT (WACR)
PART III: PERFORMANCE CRITERIA RATING WORKSHEET
CONTRACT NO. WORK ASSIGNMENT NO. EPA REGION
66-01-8060 08-7L37 VII
PERFORMANCE CHTBtt
PROJECT PLANNINQ
• ORGANIZING (E.G.. WORK PLAN
DEVELOPMENT. DATA REVIEW)
- SCHEDULMQ
• BUDGETING
TECHNICAL COMPETENCE A INNOVATION
• EFFECTTVENESS OF ANALYSES
• • MEETPLANGOALS
• SUPPORT COE. STATE, ENFORC.
• ADHERE TO REGS. A PROCEDURES
• APPROACH CREATMTY/INGENUrrY
• EXPERTTESTMONY
grHPDHLggQOSTUUNIHtJL
• BUDGET (HOURS A COST) MAKT.
• PRIORmVSCHEDULE ADJUSTMENTS
• COSTMMMZATON
•
REPORTING
• TIMELINESS OF DEUVERABLES
• CLARrnr
• THOROUGHNESS
RFSouncj; LmuZATTQW
• STAFFMG
• SUBCONTRACTNG
• EQUIPMENT, TRAVEL, ETC.
EFFORT
• RESPONSIVENESS
• MOBILIZATION
• DAY-TO-DAY
• SPECIAL STOIATIONS (E.G, ADVERSE/
DANGEROUS CONOmONS)
RATNG
4
3
1
x 5
4
3
2
1
v 5
4
3
2
1
S
x 4
3
2
v 5
4
3
2
1
•'. S
4
3
2
1
SUPPORTNG COMMENTS
Work plan was detailed, thorough and com-
prehensive and proposed innovative and
cost conscientious strategies for com-
pleting the RI/FS. Scheduling was en-
hanced by use of ?EHT and CPM, which re-
sulted in completion of job three weeks
earlier than olanned .
Sampling techniques used were innovative
and effective. This helped to expedite
completion of field work two weeks early
and produced a complete and thorough in-
vestigation. Also, this resulted in iden-
tification and evaluation of unknown and
unexpected chemicals at the site.
Contractor's extra efforts resulted in a
$20,000 savings in WA costs. Contractor
was able to complete RI/FS with 20% less
hours than originally approved.
The site manager established an internal
quality assurance program for all de-
liverables produced and this resulted in a
top quality RI/FS veport.
WA was carried out effectively and effici-
ently. Site manager was excellent in
managing the team, including sampling
subcontractor. Staff and equipment were
mobilized ahead of schedule. Team manage-
ment resulted in top-quality ]ob that was
completed under csst and ahead of schedule.
Contractor and subcontractor -/ere mobil-
ized ahead of schedule. Contractor quickly
mobilized another subcontractor when the
first reported that it had a potential con-
flict of interest. Excellent mar.ager.ent
averted what couli have been a lengthy de-
lay in field work.
6-8
-------
O)
I
«o
EXHIBIT 6.3
Hypothetical Example of
Regional Evaluation Summary
CONTRACTOR:
XYZ It
352 GJ
KC, MC
«.
Lenview Di .
) 66101
IQNIflACTNCL; CONTRACTOR PM; PERFORMANCE EVALUATION PERIOD-
68-01-8060 Bill Jones
carui.
EPA REGIQN:
VII
PERFORMANCE EVALUATION KEY:
BEQ; m/b'
Fred Smith TO: 4/30/87
5 -OUTSTANDING 4 - EXCEEDS EXPECTATIONS 3 - SATISFACTORY 2 -MARGINAL 1 - UNSATISFACTORY
SITE
NAME
ADC Metal b
TRU Oi 1
MMM Co.
WORK
ASSIGNMENT
NUMBER
08-71.18
00-71.HU
08-71.99
NUMERIC
RATING
4
4
2
COMMENTS
Assignment was carried out effectively and efficiently. Staff was en-
thusiastic and worked long hours to produce excellent community relations
plan. Management of work assignment resulted in high quality product.
Contractor's extra efforts resulted in an estimated $10,000 savings in
WA costs. Contractor was able to complete the project with 20* less
hours than originally planned.
Contractor's work performance was well below average. Inadequate RI/FS
report was submitted. Costs wore $10,0.00 over budget anil schuilnlu slipped
by onu moid It .
SIGNATURE ^^ DATE
-------
CHAPTER 7
INVOICE REVIEW AND APPROVAL
-------
Chapter 7
Contractor Invoice!
INVOICE REVIEW AND APPROVAL
Purpose of •
Invoice Review
And Approval
Methods of
Review
Determine whether charges are commensurate
with services performed
Certify that work for which payments are
claimed actually has been performed
Provide a check on possible contractor
oversights (and abuses)
Monthly progress reports (e.g., RPM could
compare cumulative total of charges reported in
the invoice with the cumulative costs reported
in the monthly progress report)
For personnel charges, RPM can verify these
charges by routinely checking what contractor
personnel are working on the project, the duties
they perform, and the length of time they
devote to the project. This information can be
cross-referenced with cost and LOE data on the
invoice.
For equipment charges, RPM must obtain
information on what equipment is being used
for the project and the length of time that each
piece of equipment is used.
Charges for expendable materials are difficult
to verify, as most verification methods cost
more in terms of time and money than are
saved in correcting errors in contractor charges.
However, periodic inventories of expendable
materials can be performed to verify contractor
charges for these materials.
7-1
-------
Chapter 7
Contractor Invoice
INVOICE REVIEW AND APPROVAL
(cont'd)
What To Costs
Review _. , ,
• Direct labor
- Review the skill mix (is it in accord
with the work plan?)
- Review the LOE expended (are
there variations of consequence?)
• Indirect rate
- Is the rate in line with that stated in
the contract?
- Is there a ceiling on that rate?
• Subcontracts
- Review the same items as for the
prime contractor
• Travel
- Transportation
- Per diem
• Equipment
- Expendable
- Non-expendable
- Rental
- Operation and maintenance
• Other Direct Costs (ODCs)
- Telephone
- Shipping
- Duplicating
- Supplies
- Computer time
- Relocation
- H & S training
- Medical monitoring
7-2
-------
Chapter 7
Contractor. Invoice
INVOICE REVIEW AND APPROVAL
(cont'd)
Costs (cont'd)
• Laboratory services
- Fixed rates
- Mobile laboratory
- Did contractor try to use CLP?
• Base/Award fees
- Is the base fee percent in line with
the contract percent?
• Current vs. cumulative totals
- Is the current monthly amount in
line with last month?
- Is the cumulative within the WA
funding?
How To • Detailed information on "how to" review and
Review approve contractor invoices can be found in
And Approve the ARCS Contracts Users' Manual,
Invoices Appendix IV, pages IV-38 to 41.
7-3
-------
CHAPTER 8
SUBCONTRACT REVIEW AND APPROVAL
-------
Chapter 8
Subcontractor
Proposal
SUBCONTRACT REVIEW AND APPROVAL
Are the subcontractor
services really necessary?
• Can they be
justified?
\
Are the proposed
deliverables the
ones that are
specified in the '
work assignment
SOW?
• Are the LOE
and budget
reasonable?
Too generous?
Too tight?
1. Technical Approach
2. Deliverables
3. Schedule
4. LOE/Budget
Is the subcontractor
better qualified than
the prime contractor
to provide the needed
services?
Is there a potential
conflict of interest
between the prime and
the subcontractor?
Does the proposed
technical approach meet
the requirements of the
work assignment?
Does the proposed
schedule match that in
the work assignment
SOW?
Is it reasonable?
Review And
Approval
Procedures
Additional detailed information on
subcontract review and approval
responsibilities of the RPM, as well as
a description of procedures, can be
found in the ARCS Contracts Users'
Manual, Appendix IV, pages IV-42 to
44.
.8-1
-------
CHAPTER 9
EQUIPMENT APPROVAL AND MANAGEMENT
-------
Chapter 9
EQUIPMENT APPROVAL AND MANAGEMENT
RPM'S
Role
RPM's
Responsibilities
» For all equipment proposed by the contractor,
ensure that the contractor provides:
- A description of the equipment and its
cost
- A list of competitive prices
- Justification as to why the Government
should allow its purchase with
Government funds
• Submit a 7-point justification (see Chapter 5 of the
EPA Contracts Management Manual. PCMD., "• r?R5)
to the CO with the following items:
- Description of program for which equipment
will be used
- Identification of equipment, estimated cost and
quantity
. - List of locations where equipment will be u^'!
- Reasons why the equipment is needed
- Reasons why it is in the Government's best
interest to supply the equipment
- Certification by the Superfund Property
Administrator that no in-house equipment is availab
- Lease versus purchase analysis
• Assist the PO in ensuring proper utilization and
disposition of Government-owned equipment
For Contractor-Owned Equipment
. Make sure the contractor supplies rental rates
that the Government will be charged when
using the equipment and that these rates are
reasonable
. Make sure the contractor supplies a lease
versus purchase analysis demonstrating the
advantages that this alternative offers the
Government
9-1
-------
Chapter 9
EQUIPMENT APPROVAL AND MANAGEMENT
(cont'd)
RPM's For Government-Owned Equipment
Responsibilities (Cont'd)
(cont'd)
. During site visits, verify that equipment is in
the possession of contractor
. Check for agency property decals and numbers
• Check if the equipment is being used properly
. Check if preventive maintenance is being
performed routinely
• See if equipment is repaired if damaged
• If equipment is stolen, make sure that the
contractor has prepared a comprehensive report
of the circumstances. The Contractor's Guide
for Control of Government Property contains
details about what information must be
reported. The report should:
- Be filed promptly with EPA's Property
Administrator
- Outline relevant and appropriate events
regarding the stolen property
— List the investigating individuals
- Have Police and Federal Protective Service
(FPS) reports attached
-- Be endorsed by the Project Officer
9-2
-------
Chapter 9
EQUIPMENT APPROVAL AND MANAGEMENT
(cont'd)
RPM's
Responsibilities
(cont'd)
For Government-Owned Equipment
(Cont'd)
If property is lost, make sure that the
contractor has prepared a comprehensive
report of the circumstances. The
Contractor's Guide for Control of
Government Property contains details
about what information must be reported.
The report should:
- Be filed promptly with EPA's
Property Administrator
— Indicate what search was made
- List what responsible individuals
were contacted in locating the lost
property
— Be endorsed by the Project Officer
Additional
Information
For excess property items, advise the Project
Officer if there is a further need for the
property in the program.
Contractor's Guide for Control of
Government Property, revised
December 1988
Chapter 5 of the Contracts
Management Manual, PCMD, 1985
Chapter 7, pages 7-11, of the
Contract Administration Course,
PCMD, 1988
9-3
-------
CHAPTER 10
ORGANIZATIONAL
CONFLICT OF INTEREST
-------
Chapter 10
ORGANIZATIONAL CONFLICT OF INTEREST
Two Maior * • ^ien work to be performed by a contractor
Concerns ma^ resu^ ™ m unfair competitive advantage
to tiie contractor
2. When work to be performed by a contractor may
impair that contractor's objectivity in doing the work
Limitation I. The ARCS prime contractor is ineligible to compete for
On Future remedial planning and implementation contracts offered
Contracting by:
• States within the Regions covered by the contract
that result from a Superfund Cooperative Agreement
without the prior written approval of the CO. The
contractor can, however, compete for State contracts
for sites that are not on the National Priority List.
• The private sector for sites within the Regions
covered by the contract that result from a SARA
consent decree or court order, unless prior written
approval of the CO is obtained.
• The private sector for sites within the Regions
covered by the contract where EPA has initiated
enforcement actions without the prior written
approval of the CO.
2. The prime contractor is ineligible to compete for
remedial action projects for which the contractor
has developed the solicitation package.
10-1
-------
Chapter 10
ORGANIZATIONAL CONFLICT OF INTEREST
(Cont'd)
Limitation 3. The prime contractor must obtain written approval from
On Future the CO before competing for any work (including
Contracting representation of a private party) pertaining to a specific
(Cont'd) site at which the prime contractor previously performed
for the Government under this contract.
4. The prime contractor must include the provisions
described above in all subcontracts and consultant
agreements.
What To • Is the contractor being asked to perform work
Look For that will affect an industry of which it is a part,
or from which it derives a substantial portion of
its income?
• Is the contractor performing an analysis for
EPA that it is also performing for a firm that
will be affected by the results of that analysis?
• Is the contractor performing consulting services
for an industry regulated by EPA at the same
time as it is under contract to EPA for any work
on the same subject?
• Do the work results provided by a contractor
appear to be lacking in complete objectivity
from any aspect?
• On any Superfund contracts, can the contractor
potentially be found liable as a responsible
party on any site for which it is being asked to
perform work for EPA?
• Is there any possibility that even the appearance
of one of these situations might undermine the
credibility of the work results in the eyes of the
general public?
10-2
-------
Chapter 10
ORGANIZATIONAL CONFLICT OF INTEREST
(Cont'd)
Procedures • Immediately notify Contracting Officer if the
To Follow answers to any of these questions are "yes".
• Do not assign work to the contractor for that
site until resolution is reached by the
Contracting Officer.
Additional
Information
Contracts Management Manual, PC
1985
10-3
-------
CHAPTER 11
STANDARDS OF CONDUCT
-------
Chapter 11
STANDARDS OF CONDUCT
Overall
Rule
Rules For
Dealing With
Contractors
• Employee should avoid any activity or situation
that creates even the appearance of impropriety
or conflict of interest.
• For example, employees may not participate,
even by advice or recommendation, in a matter
which affects their own financial interests or
those of their immediate families. This
includes matters affecting companies in which
an employee owns stock.
• Gratuities: solicitation or acceptance of gifts,
entertainment, or.favors from a contractor is
expressly prohibited.
• Projecting Confidential Business Information:
EPA personnel are not permitted to divulge any
information considered by a contractor to be
confidential to anyone outside the Government
or not having a need to know (including other
EPA employees).
_• Maintaining Impartiality: EPA employees must
treat all firms with objectivity and equal
. conduct.
n-l
-------
Chapter 11
STANDARDS OF CONDUCT
(Cont'd)
Rules For
Dealing With
Contractors
(Cont'd)
Disclosure of Procurement Information:
Project Officer and other technical evaluation
or source board members must maintain the
integrity of the competitive process and the
independence of contractors' proposals by nor
divulging any confidential procurement
information before, during or after an
acquisition.
Additional
Information
Employees must be familiar with the
conflict of interest statutes and EPA
standards of conduct in 40 CFR,
PartS. The EPA pamphlet entitled
"Guidance on Ethics and Conflicts
of Interest" discusses the standards.
In addition, "Ethics in a Nutshell",
March 1988 is useful as a quick
reference.
11-2
------- |