vvEPA
United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: 9242.6-02
TITLE: GUIDANCE FOR ORGANIZING ARCS CONTRACT FILES
APPROVAL DATE: 1/3/89
EFFECTIVE DATE: 1/3/89
ORIGINATING OFFICE: OERR/OPM/CORAS
0 FINAL
D DRAFT
STATUS:
[ ] A- Pending OMB approval
{ j B- Pending AA-OSWER approval
[ ] C- For review fit/or comment
[ ] D- .In development or circulating
headquarters
REFERENCE (other documents):
OSWER OSWER OSWER
/£ DIRECTIVE DIRECTIVE Di
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Urmeo Sutes environmental Pottcuon Agency
QSWER Directive initiation Request
1 Directive Nume*r
9242.6-02
3. Originator information
Conuct Ptrson
Ken Adams
.Man Coat
I OS2AO
Office
OERR/OPM/CORAS
3. ruie
GUIDANCE FOR ORGANIZING ARCS CONTRACT FILES
4. Summary ol Directive (uiciuae onel sutement of purpose)
Provides instructions to the Regions for development of a consistent, yet flexible
filing system for organizing and managing ARCS Contract Files
S.K«yworas Superf urxi , CEHCIA, SARA
ia. Does This Oireeavt Superseat Previous Oirectiv«(J)?
[ I Yes What directive (number, tffie)
b. Does It Supplement Previous Direetive(s)? I 1 I j
| j No | j Yes Whit directive (numb«r. ttfc)
I No.
Onff Lev*
| A - Sc/ieo: by AA/DAA [ | 8 - Signed by Offic* Oirwaor [ [ C - For fl«*i«w & Comment [ 0 - In Oe^ttopmeir
8. Document to be distributed to States by Headquarters?
n
No
Thl« R«miMt M««u OSWCfl Directives Sy*tem Format Standards.
9. Signature of Lead Office Directives Coordinator
Betti C. VanEpps
10. Name and Title of Approving Official
Henry L. Longest II, Director OERR
Date
1/3/89
Gate
1/3/89
EPA Form 1315-17 (Rev. S-<7] Previous editions are oosoiete.
OSWER OSWER OSWER O
VE DIRECTIVE DIRECTIVE DIRECTIVE
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i UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
« WASHINGTON, O.C. 20460
JAN
OFFICE OF
SOLID WASTE AND EMERGENCY RESPCNS
OSWER DIRECTIVE 9242.6-02
MEMORANDUM
SUBJECT: Guidance for Organizing ARCS Cont2p;a
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- 2 -
Implementation:
It is recognized that there tends to be some variation among
Regions in their approach to a file management system. The
recommended system seeks to retain the flexibility needed to meet
the varying needs of Regional Project Officers (RPOs). There is
also the need for some standardization given the number of reviews
which will continue to be conducted (EPA IG, GAO, etc.) as well as
periodic visits by Headquarters representatives.
I expect the principles of the attached system to be followed
in order to assure a minimal level of consistency among Regions in
this area.
Any questions concerning the above or the attached guidance
may be addressed to Ken Adams or Debbie Dietrich, Acting Director,
Contract Operations, Review and Assessment Staff (CORAS) at
475-9337.
Attachment
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OSWER DIRECTIVE #9242.6-02
GUIDANCE FOR ORGANIZING ARCS CONTRACTS FILES
This guidance recommends a standardized ARCS contracts file management
system for Regional Project Officers (RPOs). A standard and consistent file
organization in every Region is necessary because of the quantity and complexity
of the documents that will be generated by the ARCS contracts. A standard
system should serve several important functions:
• Simplify access and retrieval. Access and
retrieval will be simplified. The first document
in each file will be an index listing the file
contents. Other documents in the file will be
categorized and arranged in separate file sections
or subsections, by category. For example, in the
work assignment management file, the first section
may include all work assignments for a given site
arranged in chronological order.
• Provide continuity. As a kind of "institutional
memory," a standard organization will ensure that
all necessary documents related to costs, site
activity, contract management, and contractor
performance are retained and retrievable. Thus,
even if personnel turnover occurs, key information
will continue to be available as long as required.
• Facilitate review. A standard organization will
facilitate contract management oversight and site
review activities of Congress, the General
Accounting Office (GAO), the EPA Inspector
General, and other Agency groups.
The recommended organization serves these functions while retaining the
flexibility necessary to meet the varying needs of Projects Officers (POs).
Exhibit 1 lists the majority of the documents that will have to be
maintained in ARCS contract files and briefly describes their functions.
The list of documents in Exhibit 1 is not exhaustive. Some of the documents
included in the file illustrations below are not discussed. These are routine
contract documents that are not ARCS*specific, such as procurement requests and
equipment lists. Also, substantive programmatic documents such as preliminary
assessment or RI/FS reports, for example, are not included. These documents
form part of the administrative record supporting site decision-making and will
be retained in the administrative record file. There may be additional
documents that are part of the decision-making process, but are also pertinent
to work assignment management, e.g., certain technical directives. Such
documents should be retained in both the administrative record and the ARCS work
assignment management file.
ARCS documents should be organized in five files:
A. A general contract management file, organized by
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OSwtiR DIRECTIVE- #9242. 6-02
contract:;
B. A work assignment management file, which may be
site-specific;
C. A financial and progress report file;
D. A performance evaluation file; and
E. A confidential file.
Each file may occupy a file drawer, a portion of a drawer, or several
drawers. The files, however, must be divided into the recommended sections.
Each file section should be clearly identified and labeled. An index listing
the sections should be the first document in each file. All documents in a
single category should be filed together in a separate section or subsection,
e.g., all work assignments or work assignment completion reports. Within each
section, where practicable, documents should be arranged in chronological order
with the most recent documents filed at the front of the section. The length
of the retention period for each category of documents will be determined by the
PO and Contracting Officer, pursuant to the Federal Acquisition Regulation (see
48 CFR 4.8, October 1, 1987 ed.).
The following file illustrations show the documents that should be
included in each file and the recommended sequence of document sections.
A. Contract Management File
• • •**»#•••••••*
yea gyre-i
COTWKI
mommHm
ciUodtcnoni
rta-i
RACT
EMENT
•
FILE
For each ARCS contract, the
contract management file will
contain documents directly
related to the ARCS contract,
such as the contract itself,
contract modifications,
management plans, documentation
relating to work distribution
and the exercise of contract
options, and routine contract
documents that are not ARCS-
specific, such as equipment
lists.
B. Work Assignment Management File
««n« tne. OP Fcm Ml
nau
WORK ASSIGNMENT
MANAGEMENT
FILE
(can be site-specific)
worn
[ASSJOMCNlj
SECTON
The work assignment
management file may be site-
specific. It will contain all
work assignments and work
assignment amendments,
workplans, activity reports , and
all correspondence (including
cover letters from deliverables)
related to a given site. Routine
contract documents, such as
procurement requests, will also
be included in the work
assignment management file.
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OSWER DIRECTIVE #9242.6-02
C. Financial and Progress Report File
| A^^.cj^c.H.uu.1*
I AnnunMooan fl«oortt
| Monwy PfooTM* (Moani
fw»o««
| >no«i
FINANCIAL AND
PROGRESS REPORT
DOCUMENTATION
FILE
—
^^M
—
The financial and progress
report documentation file will-
contain monthly progress reports
and other cost-related documents
such as invoices, annual
allocation reports, and annual
analytical service reports.
D. Performance Evaluation File
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*>iKjtL'i'IVE #9242.6-0
Regional contract management personnel who identify additional ARCS or
routine contract documents that have not been included in this recommended plan,
or have questions or suggestions regarding file management, should notify Ken
Adams of the Contract Operations Review and Assessment Staff, FTS #8-475-9337
EPA mail code OS-240, EPA electronic mailbox EPA 5240.
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EXHIBIT 1
DOCUMENTS THAT PRESENTLY NEED TO BE RETAINED IN ARCS CONTRACT FILES
Document
KiiMctlon
Contract Management Pucumeats
Contract and Coniraci Modifications
Management Plan
Work Distribution Documentation
Documentation of Exercise of Contract
Options
Work Assignment Management Documents
Work Assignment
Work Assignment Amendment
Work Plan (incl. OP Form 60)
Activity Kt|M>n
Financial «nd Progress Report Documents
Invoice
Monthly Progress Kepon
Agreement between EPA and contractor staling terms according to which work will be performed.
Plan for managing the contract including the purpose and scope of the project, the management process, subcontracting.
property management, the technical approach, quality assurance plans, and health and safety plan.
(Specific documents required in this category have not been determined.)
(Specific documents required in this category have not been determined.)
Vehicle used by EPA to assign work to contractor; includes work description, a Holed LOE. duration of assignment, and
scheduled completion dale.
Modification to add to or change work assigned, hours, duration, etc.
Required for each work assignment; serves as a baseline to monitor contractor's progress; must include a detailed cost
estimate identifying all major cost items, staling objectives of proposed activity, and describing relationship to other
activities, technical approach, and work to be performed under each task; must also include safety measures, schedule.
number of person-hours required, cost flow arid control procedures, subcontracting, and document production and
distribution.
Documents the completion of work assignments, conduct of work; presents findings, conclusions, and recommendations;
accounts for funds expended; provides guidance for future activity.
Written request for payment under the contract for supplies delivered or for services rendered.
Informs Project Officer (PC)). Regional Managers, and the Remedial Project Managers (RPMs) of the status of individual
activities and the overall program for the reporting period; provides baseline for planned expenditures for each site and
work assignment; calls attention lo departures from management and work plans. Consists of Iwo parts:
Summary Progress Report -- pertinent technical and financial information describing contractor efforts on all
work assignments; summarizes expenditures, estimates LOE and costs required for completion; includes
spread sheet comparing actual and budgeted expenditures.
Site-Specific Report -- supplies technical and financial summaries for each woik assignment on a site-
specific basis.
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;*.»•> V U
jfi/Mte
IT 1 (CONTINUED)
nnr-jIMPMTC TpiAT PPPSFNTI v NEEI)rTO^BE RETAINED IN ARCS CONTRACT FILES
FunclBon
„ - .,fcJ»JW*»<*<|«lll<. j»".. <, .-'.'
Annual Allocauan Report
.. ..
Anilylicii Services Repor
.
Conlraclnr Self- Evaluation Report
Summary Evaluaiion Report (SER)
Regittnal Eveiualion Summary (RES)
, -
Perriirmancc Event Repon (PER)
Phase I Award Fee Allocation Matrii
..'.v-tj ,*. . • • . siMii--
• - ' .. ', Mki-
Phase II Award Fee Allocation Matm
Performance
Award Fee Modifications
fiaed and awerd fees, and some nonrsite activity costs to sites and activities for
Federal fiscal year.
Annual report on use of non-CLR)eboralorics and analysis of the effectiveness of the services provided.
rVJMV.of <••• ,
contractor's performance of specific work assignment used to identify difficulties or trends and
* «''•?« • * 'fi'tt-- V' * f *• ..*' »\ • •
ped improvement.
, ,KtoWaefor's self -evaluation of performance for. |hc relevant period for consideration by the Performance Evaluation
1 j^rojcci iJiHCer a oversllrev^WaUon pased on contractual cntena and rating guidelines; considers two categories - -
,'..'• project management office activities erad technical performance of remedial work assignments; identifies recurring
^^difficulties and trends; irjAcales wwik assignments upon which evaluation is based. (Contracting Officers also prepare
~>A^hij^|i?}£;ttay i»«PVn|iEkfii&&>lh caietories for consolidation with the PO's evaluation.)
tive work assignment for use of Performance
--»• v - • - 'witwwn «.« —"d fec: r*ICS P*ffomi-nce •fld F0*'*" of *P«ific projects, and
s'aVerage or above averagc;perforrgjuice; incorporates information on specific problems from the Performance
"
ss than satisfactory per/prmance of an area of work or work assignment; vehicle for affecting the
d fee and-ftbiPEfi s use in determining the final amount of the Phase II award.
Table suritimVtoing costs and'^Ehase..! award fees by work assignment prepared for trimester evaluation by the contractor
and verified rJPlhe ConOi^^^j^i^^tthe P^B's use in determining the Phase I (contract-wide) award fee.
Prepared at the conclusion of work assignments; summarizes olte evaluation made by the Region, the contractor, and the
Report and recommendalion of the PER after determination of award fees.
;, \)f
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