'&EPA
United Stales Environmental Protection Agency
Washington. DC 20460
OSWER Directive Initiation Request
Interim Directive N Jpnber
9242> 3~3A
Originator Information
Name of Contact Person
Linda Boornazian
Mail Code
WH-548E
Telephone Number/?* ^ - ^ ~1 X'
382-7997
Lead Office
JS OERR
D OSW
Q OUST
Q OWPE
Q ANSWER
Approved for Review
Signature of Office Director
Date
Revised Draft Work Assignment Procedures for Remedial Contracts
Summary of Directive
Guides user thru the Remedial Contracting Process,
Type of Directive (Manual. Policy Directive. Announcement, etc.)
Development Process
Status
Draft
Q Final
D New
SS Revision
Does this Directive Supersede Previous Directive(s)? [X Yes | | No Does It Supplement Previous Directive(s)? ( ) Yes | I No
If "Yes" to Either Question. What Directive (number, title!
9242.3-3
Review Plan
U AA-OSWER LJ OUST
S OERR n OWPE
LJ OSW IS Regions
D OECM
D OGC
D OPPE
other(Spedfyi Procurement and Contracts
Management Division /
Request Meets OSWER Directives System Format
-ignatur
eaoSOffice Directives Officer
Date
Signature of OSWER Directives Officer
Date
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OSWER Interim Directive No.: 9242.3-3A
REVISED DRAFT
WORK
ASSIGNMENT PROCEDURES
FOR REMEDIAL CONTRACTS
February 27, 1986
Prepared by:
Camp Dresser & McKee Inc.
REM II Document Control No.: 999-PM1-RT-CDHC-3
This document has been prepared by for the U.S. Environmental Protection Agency
under Contract No.: 68^01-6939. The material contained herein is not to be dis-
closed to, discussed with, or made available to any person or persons for any rea-
son without prior expressed approval of a responsible official of the U.S.
Environmental Protection Agency.
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TABLE OF CONTENTS
SECTION PAGE
1.0 INTRODUCTION. . . 1 *
j »•
1.1 Purpose 1
1.2 Modifications to existing procedures .1
1.3 Work Assignment Form 1
2.0 DEVELOPMENT AND ISSUANCE OF THE W.A 3
2.1 Summary 3
2.1.1 Work Assignment Form 3
2.1.2 Interim Statement of Work 4
2.1.3 Complete Statement of Work 6
2.1.4 Procurement Request 6
2.1.5 Work Plan Memorandum 6
2.1.6 Issuance of W.A. package. . 7
2.2 Responsibilities 7
2.3 Deliverables 8
3.0 INTERIM WORK ASSIGNMENT ACTIVITIES 8
3.1 Summary 8
3.2 Work Plan Development 9
3.3 Utilizing the EL Option 10
3.4 Responsibilities 11
3.5 Deliverables 12
4.0 IMPLEMENTING REVISIONS TO THE APPROVED WP. 12
4.1 Summary 12
4.1.1 Technical Direction Memorandum 13
4.1.2 Amendment to the Final WP 13
4.2 Responsibilities . 14
4.3 Deliverables 15
5.0 COMPLETION OF THE PROJECT 15
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LIST OF FIGURES AND TABLES
FIGURE 1 Work Assignment Form
FIGURE 2 Development and Issuance of Work Assignment
FIGURE 3 , WAF - New Work Assignment (EPA Submittal)
FIGURE 4 Work Plan Memorandum Form
FIGURE 5 WAF - Interim Amendment (Contractor Submission)
FIGURE 6 Level 2 - Completion of Interim Assignment Tasks and
Approval of Work Plan
FIGURE 7-A WAF-Final Work'Plan Approval (Contractor
Submission)
FIGURE 7-B WAF - Final Work Plan Approval (Full funding)
FIGURE 7-C WAF - Final Work Plan Approval (Partial Funding)
FIGURE 8 Level 3 - Implementation of Approved Contractor WorkPlan
FIGURE 9-A Technical Direction Memorandum (Page 1)
FIGURE 9-B Technical Direction Memorandum (Page 2 - Contractor Submittal)
FIGURE 10 WAF - Technical Direction Memorandum
FIGURE 11 WAF - Amendment to Final Work Plan Approval
FIGURE 12 Level 4 - Completion of the Project
TABLE 1 Interim Statement of Work Tasks - Core/Optional . . _ •.
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1.0 INTRODUCTION
1.1 Purpose
This document describes the procedures that are to be used in initiating and monitoring
the contractual aspects of a Work Assignment. The actions that are to be taken by both
EPA and the Contractor during each step are described within. The four key steps that
are involved in the work assignment process include the following:
>.
• i Step 1 - Development and issuance of the Work Assignment
• Step 2 - Completion of the interim work assignment tasks and approval of the
Contractor work plan
• Step 3 - Implementation of the approved Contractor work plan which includes,
the following two elements:
- Technical Direction Memoranda for phased work plan execution
- Amendments to Final Work Plan Approval
• Step 4 - Completion of the work assignment and close-out procedures
1.2 Modifications to the Existing Procedures
Several changes have been made to existing procedures in order to facilitate the man-
agement and coordination of Federal-lead remedial projects. These changes are pro-
posed principally to move the management of the phased execution of the work
assignments to the regions and streamline authorization and include the following items:
• Development of a single work assignment approval form;
• Standardization of detailed interim statements of work that include a detailed
description of each interim task, LOE task assignments, estimated budget, and
task and deliverable schedules;
• Work Plan Memoranda will be streamlined to a one page form which will be ba-
sically a checklist and Contractor work assignment acceptance form. This form
will also serve as a cover sheet to transmit resume material for the key staff
proposed for the work and conflict of interest declarations. Work Plan
Memorandums will be submitted within ten (10) days of receipt of the work as-
signment;
• Procedures to enable the RPM/RPO to manage the technical execution of an
RI/FS at the regional level; and
• Procedures whereby the RPM/RPO provides technical direction and additional
phases of phased work on a regional level within the previously approved scope
of work and budget by the EPA CO when such phased work is within the
scope, budget, and schedule of the approved final work plan.
1.3 The Work Assignment Form
We have created the Work Assignment Form (WAF) to manage and coordinate the var-
ious activities needed to initiate, approve, and complete a Work Assignment. This form
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consolidates all of the work assignment "contractual" activities on one form to eliminate
the misuse and misunderstanding associated with having different forms for..diff.erent
phases of the work assignment process. Each successive WAF on a WA sufcerceeds the
previous WAF and therefore ALL required information must be provided on the updated
WAF when submitted. A copy of the WAF is provided in Figure 1.
The WAF is a one-page form with instructions provided on the back to facilitate its use.
The form provides for approval tracking and authorization and must be used whenever
one of the following five activities are to be conducted:
• .A new Work Assignment is issued by EPA;
• The Contractor requests an Interim Amendment to the work assignment;
• The work plan is approved and the total funding authorization is received;
• The Contractor prepares a Technical Direction Memorandum to conduct phased
work approved under an existing work plan;
• The Contractor requests an Amendment to the Final Work Plan Approval; or
• The RPO requests an assignment to be closed-out.
This form is completed by EPA during the first three steps of the work assignment pro-
cess and the Contractor in the 2nd and 3rd steps. As shown on Figure 1, the form is di-
vided into six (6) distinct sections:
1. Work assignment information which identifies the project name, the date the
form was prepared, the EPA contract number, the revision number which nu-
merically accounts for all contractual activity on the work assignment, and the
work assignment number and modification number which are provided by EPA.
2. Description of action defines the status of the submittal covered by the Work
Assignment Form. As shown on Figure 1, there are six basic actions that can be
taken:
a. Issuance of a new work assignment in which case EPA will be ini-
tiating the action
b. Submission by the Contractor of an interim amendment to revise
an interim assignment
c. Submission, initiated by the Contractor, of a final work plan for
approval
d. Submission by the Contractor of an amendment to revise a final
approved work plan
e. Submission by the contractor of a Technical Direction
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FIGURE 1
USEPA WORK ASSIGNMENT FORM
1 JVORK ASSIGNMENT INFORMATION:
DDOjErT N4MP rniuTBArTrm WORK ASSIGNMENT-WO. _
REVISION NO
MODIFICATION NO.: -
DATE: CONTRACTOR mNTBni M<1 . .. .(•»-•..,..., 3it,c.r LU :£».• •
2' 0AErSnON>TION °P n RNAL WORK PLAN n TECHNICAL DIHECTIO
U APPROVAL I-" MEMORANDUM
DNEW WORK pi INTERIM • tpprovt work plan
ASSIGNMENT LJ AMENDMENT . Add tunoi
• ptttiltd icoot Budg
. ,n,.,,m SOW. • Ch.ng. ,n LOE. (-1 AMENDMENT TO FINAL •"« •eh>au"
icntduit. «nd LOE icop. by KtK *— ' WORK PLAN APPROVAL • n.v.it tiptnonurt ••
• Comoittt SOW .st.fniifa* r Qp
budgtt ind .cn.aul.. _ lafl ,„„,„„,.„ ,,,„, * icoot 'oTbudgti by <•»* • "•"«' «"•" «•""" S°
°' lu"01 • Add Iddit.onil l«i» .... ...„„. _ .. _
acAiliocn IA" cningtl mult D. .ill
""o-u oV,r, srss, • s-^ ^ s
EPA REGION/ EPA REGION/ EPA REGION/
HEADQUARTERS HEADQUARTERS HEADQUARTERS EPA RECK
3. BUDGET INFORMATION . TOTAL,
APPROVED " •'. ' FUMOWG \ '
INTERiM BUDGET . WORK MAN BUDGET RECEIVED \
(TECHNICAL LOE) (TECHNICAL tOE) (S) ' > t , («) - «1
AMPNOMFWT ... ... : :
• O'ftON 3OLLAM ESrVATC WAT
5C ^tCntQ ^ECIO^ALLY IN . - *'.'.•
OPCNOITUPE UMT CLOCK
• (FA (}*tMA*tO .Ot
4 WA COMPLETION DATE
ri^oof NT. ... ' pcvi^fp- „,
N i— , WORK ASSIGNMENT
LJ COMPLETION NOTIFICATION
(No Attichmanti)
»•• • CO .loni'tt contractor
10 stoo »on
a
d
t
DN
", . EXPENDITURE
^ * „ ' UMtT (EL>
rECMraCAC LOE) (S)
'-X~
\v^~ t - •?'•
APPROVED Bt
RPM/RPO ;»:.:..
!.S. EPA COMMENTS:
.: • • •••••••••-. • • ••••'„•.• • ' • .-.•"
S. APPROVALS
CONTflACTO'fl SIGNATURES.
3mitl*d ( | Approved vitn ctiing** . | ] Not approved
SIGNATURE/EPA CONTRACTtNQ OfFICSR DATE APPROVED
cc: EPA Preset Offieir
Conirietor Financial Manigtr
EPA Contracting Oftictr (wn«n only
• iptnanurt limn column n uaid)
ATTACH STATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
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Memorandum to provide more detailed scope, budget and sched-
ule information to the Region for the phased executjbn of a.work
assignment; and-... ...-.
f. Submission by the RPM of a request for the assignment to be
closed-out.
3. Budget information which presents the budgeted technical LOE and where re-
r quired, dollars associated with the approval phase under which the work assign-
ment is being executed.
4. Work Assignment (WA) Completion Date which presents the current date for
completion of the work assignment and provides for documenting the revising of
the completion date as warranted.
5. EPA comments section provides space for EPA, principally the Contracting
Officer, to make comments concerning the submission and action taken.
6. Approvals section which provides signature blocks for both the Contractor per-
sonnel and the EPA.
2.0 DEVELOPMENT AND ISSUANCE OF THE WORK ASSIGNMENT
2.1 Summary of WA Package and Procedures
A flow chart describing the development, issuance and acceptance of the Work
Assignment is shown in Figure 2. The Work Assignment package is developed by the
Regional Project Manager (RPM) and the Regional Project Officer (RPO). The Work
Assignment package consists of the following elements:
• A Work Assignment Form (WAF);
• An Interim Statement of Work (SOW);
• A complete SOW for the total work assignment;
• A Work Plan Memorandum (WPM); and
'. • A procurement request (PR).
Note: An action memorandum and intergovernmental review must be completed and
approved prior to submittal of a WA package to the Contracting Officer.
2.1.1 The Work Assignment Form (WAF)
The RPM/RPO is responsible for preparing the WAF that is included in the Work
Assignment package. The RPM/RPO will be responsible for completing the items on the
form as shown in Figure 3. Under Item 1 the RPM/RPO will fill in the:
• Date;
• Project Name; •
• EPA Contract Number;
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• Activity;
• . Contractor Name; and .
• Revision Number which will be -"Initial" for new work assignments and then se-
quentially numbered (i.e. 1,2,3,4..) for each subsequent action; and
• Work Assignment number. Last four digits allowing room for sequentially num-
bers by CO.
The Contractor control number and modification number should be left blank. These
spaces will be used by the Contractor for internal controls (if desired) and the CO.
Under Item 2 the RPM/RPO will check the box marked "New Work Assignment." Under
Item 3 the RPM/RPO will fill the "Interim Budget" column by showing the current LOE
for the Interim WA SOW and the EPA estimated hours for the entire WA. The LOE hours
from the entire assignment can be estimated based on historical data. The dollar
amount of the procurement request (PR) attached should be the first funding and should
be shown in the "current" and "total" lines of the "Total Funding Received" column.
Using an average hourly contractor rate, to be provided to the region on a strictly confi-
dential basis by the Contracting Officer, and other incidental costs depending upon the
specific tasks authorized, the RPM/RPO may also provide a dollar estimate of the in-
terim budget and show this estimate in the Expenditure Limit block. Under item 4 the
RPM/RPO will fill in the WA completion date for the entire WA in the space marked
"current". The RPM/RPO will sign on the appropriate spaces in the Approvals section.
2.1.2 The Interim WA Statement of Work
The Interim WA Statement of Work (SOW) to be prepared by the RPM/RPO for RI/FS
assignments is developed at the regional level using a new computer assisted work as-
signment generation program. This program is based on the list of core key and optional
tasks as displayed in Table 1. The program is driven by data input from the site hazard
ranking information or other known data. The interim statement of work for other assign-
ments are less standard and will be developed on a case-by-case basis.
The program is interactive and may also produce both scope text, schedule, and LOE
based upon program experience to date. Under item 4 the RPM/RPO will fill in the WA
completion date for the entire WA in the space marked "current". The RPM/RPO will
use the computer assisted program to determine the following information:
• The interim tasks to be conducted;
• A detailed description of the work to be conducted under each task;
• The Level of Effort (LOE) needed to perform each task (i.e., the number of tech-
nical hours that can be expended in conducting each task);
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FIGURE 3
USEPA WORK ASSIGNMENT. FORM
1 *ORK ASSIGNMENT INFORMATION:
oaoiF<-T WAMP A&£ £&->TK rr\uttnr-rna-£Wff' PRES&gR £ MeXEE WOBK ASSIGNMENT NO. /2-&1-S2.
~r /-^ f^, f.f ',1-"*> BFVISION NO /NlT/AL.
MODIFICATION NO.:
DATE: (fjl3le>4- CONTRACTOR rnuTpr>| wo &)'$- FML- KT- £PH£~ ,r,».,.,..», 3n,c., u.. iu.i /GO
Af*Tinw- • F~t FINAL WORK PLAN p~i
LJ APPROVAL L-1
0NEW WORK (-1 INTERIM . Appro.. «om pun
ASSIGNMENT U AMENDMENT . Add funa,
. mi.r.m SOW • Ch.«g. .ri LOE. f-i AMENDMENT TO FINAL
>cn.ault. ind LOE >»p. By !•» *-> WORK PLAN APPROVAL
• Compl.1. SOW ..limii.a Ch.no. in LOE
Bud,., .nd .ci«ui.. . Ado.aa.non.n.o. .cop. or Buag.t By ....
or'una. • Add JOOiUbnil II.BI
REQUIRED or tuna, nnciuat
APPROVAL: OF (0 or SF Mil)
EPA REGION/ EPA REGION/ EPA REGION/
HEADQUARTERS HEADQUARTERS HEADQUARTERS
3. BUDGET INFORMATION
INTERIM BilDGET
CTECHNICAL LOE)
CURRENT ''0£-
IMfHfMfW — .-
1700
• OPTION 3OLLA* rSP^ATt UAr
CXPENO>TU*C uuir KOCK
• APPROVED
WORK PLAN BUDGET
{TECHNICAL LOE) (S) -•
•-• <'••". ' . •;' "~ -
' -: '-'..
.••- - ' - :.
TECHNICAL DIRECTION n WORK ASSIGNMENT
MEMORANDUM LJ COMPLETION NOTIFICATION
(No Anachmtnti)
• O.iaii.d .cop. buag.i • A*g«nai atttrmtnaiion
•nd .ch.dui«
IB HOD »on
• Mcno' in. ft oiinin SOW
lAII chingt. mu.t 0. witntn
ov.rill ICOB. oudg.t. and
LOE (pprov.d By EPA CO)
EPA REGION
TOTAL
FUMOWO
•.„ * s ' \ <
(*» ^\-;
-
JOOjCOO
.
' '•• >-..
:- '] '- &5,6dO '
"APPROVED BT .
RPM/RPO :..: ';•• :
4 WA COMPLETION DATE
CUPOENT y/20/Ty£> . pcviccp.
.-•••--' • ' . ' .'. -, -• •*• ' - ••••• • "••
| 5. EPA COMMENTS:
6. APPROVALS
CONTRACTOR SIGNATURES:
S.TC MANAGER t'PV DATE
"ESlCNAL WANACEA C-°M 3ATE
"EO^. '• 2
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FIGURE 2
DEVELOPMENT AND ISSUANCE
/ORK ASSIGNMENT
LEVEL 1
RPM/HPO DEVELOPS
WAF.SOW.PH.AND
WPM (SIGNED) AND
TRANSMITS TO CO
W/ COPY TO PO
CO ISSUES CONTRACT
MODIFICATION TO
CONTRACTOR WITH WA
AND AUTHORIZES
INTERIM TASKS IN WPM
CONTRACTOR ACKNOWLEDGES
ACCEPTANCE OF WA BY
SIGNING AND SUBMITTING
MODIFICATION tO
CO IMMEDIATELY
CONTRACTOR REVIEWS
WA TO CONFIRM LOE.
SOW. AND SCHEDULE
AND DETERMINES STAFF
ORGANIZATIONAL
CONFLICT OF INTEREST
CONTRACTOR PREPARES
WPM AND RETURNS TO
RPM/RPO WITHIN 10
DAYS OF RECEIPT OF
WA
CONTRACTOR SUBMITS
WAF (INTERIM
AMENDMENT) TO RPM/
RPO (WITH REVISED
WPM AS SOW
JUSTIFICATION)
FOR ACCEPTANCE
WITHIN 10 DAYS
ACCEPTS
TO LEVEL 2
RPM/RPO ACCEPTS
AND SUBMITS WAF
(INTERIM AMENDMENT)
AND SUBMITS PR. IF
ADDITIONAL DOLLARS
ARE NEEDED. TO CO
FOR APPROVAL
CO APPROVES WAF
(INTERIM AMENDMENT)
AND ISSUES TO
CONTRACTOR W/ COPIES
TO RPM/RPO AND PO
T
tO LFVFL 2
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TABLE 1
INTERIM STATEMENT OF WORK TASK
CORE TASKS OPTIONAL TASKS
Work Plan.Memorandum Site Survey/Topographic Mapping
Initial Site Evaluation . Site Access Assistance
No Action Risk Assessment Limited Site Sampling (Rl) and Analysis
Identify/Screen Alternatives Procurement of Subcontractor(s)
Work Plan Preparation Community Relations Development
Sampling/Analysis Plan Sr.Tech Advisory Committee Review/Advice
Health & Safety Plan Engineering Evaluation/Cost Analysis for ERA
QA/QC Plan " ERA/Operable Unit Implementation
Community Relations Plan
Site Management Plan
Technical/Financial Management
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• The Interim Task schedule including milestones and deliverables; and
i.
• A uniform cost estimate for all tasks to be conducted under the Interim SOW
generated using the average Contractor hourly cost to be provided on a strictly
confidential basis by the Contracting Officer.
2.1.3 The Complete Statement of Work
The RPM/RPO is also responsible for developing the complete Work Assignment SOW.
The complete WA SOW defines the tasks that the Contractor will be expected to per-
form to complete the work assignment. This SOW should reflect EPA's estimate of the
work that will be performed by the Contractor.
2.1.4 Procurement Request
The procurement request (PR) uses EPA Form 1900-8 to order the specific tasks and
activities defined in the interim and/or complete SOW to be performed. Either partial or
full funding can be provided. If partial funding is provided with the new work assignment,
the dollar amount of the PR (indicating funding amount) should be AT LEAST the cost
estimate in the WPM generated by EPA. Additional funding may be provided as received
or needed. Each EPA regional office has designated personnel to prepare PR's and ob-
tain approvals. The RPM is responsible for requesting a PR and planning sufficient fun-
ding on the SCAP for the project.
2.1.5 Work Plan Memorandum
The Work Plan Memorandum has been reduced to a one page checklist approval form
with attachments as shown on Figure 4.
It provides for identification of the work assignment, the prime contractor, the lead firm
responsible for executing the work and the proposed site manager. The form then pre-
sents a menu of interim tasks in two groupings; core tasks, tasks that are normally re-
quired on all assignments; and optional tasks which as stated are optional, subject to
the specific requirements of the site or work assignment. The form is constructed to al-
low for the listing of technical LOE and associated milestone dates by interim task. It
provides columns for EPA to present their estimates and similar columns for the
Contractor to either concur with these estimates by inserting the same numbers and
dates or concurring by notation, or by providing the Contractor's estimate in the appro-
priate space. This should present a concise visual approach to comparing the EPA and
Contractor's estimates.
At this point the EPA should prepare an estimate of the cost for the execution of the in-
terim tasks by simply applying the total estimated technical LOE hours times the average
Contractor hourly cost. Each RPO will be provided these average hourly rates but must
treat them as confidential. The cost of executing the interim tasks in the WPM should be
signed by the RPM/RPO as indicated on the WPM form and then be included in the
work assignment package. The Contractor will review and accept or revise the estimated
interim LOE hours and cost (when provided) on the WPM.The Contractor's cost will be
based upon applying the lead firms loaded average hourly rate against all estimated
hours and must include fee. If the EPA estimate is accepted, then the Contractor per-
sonnel will sign the WPM form and forward a copy to the RPM/RPO. Because no
change to the total technical LOE was made and the RPM/RPO previously signed off on
the LOE estimate, no acknowledgement is necessary. If the Contractor revises the LOE
estimate then the WPM requires acknowledgement by the RPM/RPO.
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USEPA WORK PLAN MEMORANDUM
1. WORK ASSIGNMENT INFORMATION:
2. INTERIM TASKS ANO BUDGET
COME TASKS
i WORK PLAN MEMORANDUM
2. INITIAL. SITE EVALUATION
3 NO ACTiON SiSK ASSESSMENT
4 iDENTiFV'SCREEN REMEDIAL ALTERNATIVES
5 WORK PLAN PREPARATION
6 SAMPLING/ANALYSIS PLAN
7 HEALTH ANO SAFETY PLAN
& QUALITY ASSURANCE/QUALITY CONTROL
9. COMMUNITY RELATIONS PLAN
10. SITE MANAGEMENT PLAN
11 TECHNICAL AND F'NANCIAL MANAGEMENT
OPTIONAL TASKS
i SITE SURVEY/TOPOGRAPHIC MAPPING
2 SITE ACCESS ASSISTANCE
3 LIMITED SITE SAMPLING .RM ANO ANALYSIS
4 PROCUREMENT OF SUBCONTBACTOHlSI
S COMMUNITY RELATIONS DEVELOPMENT
« SENIOR TECHNICAL ADVISORY COMMITTEE REVIEW/ADVICE
7 ENGINEERING EVALUATIQN.'COST ANALYSIS/ERA OPERABLE UNIT
8 ERA/OPERABLE JNIT ASSESSMENT
3
'0
TOTALS
IMTCBII4 (H.MXtirr mrnpajr*
•F>«gionil Pro :. -.;.'•
COMPLETION
DATE
.-., ••
t
CONTRACTOR
TECHNICAL
LOE
COMPLETION
DATE
n«gionil Pre^e C*
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The Contractor will submit copies of the resumes Of key personnel for the designated
project with the WPM if not already in the EPA regional files. " [~ -
2.1.6 Issuance of the-Work Assignment package
The work assignment package, when completed, is transmitted to the EPA Contracting
Officer (CO) with a copy to the PO. The CO assigns, or completes, the work assignment
number, signs the WAF under item 7, and prepares a contract modification. The CO for-
wards the original to the Contractor with a copy to the RPM/RPO and the PO. The
Contractor acknowledges acceptance of the WA by signing the contract modification
and returning the original modification to the EPA CO.
Upon acceptance of the WA, the Contractor determines the lead firm for conducting the
WA. identifies the site manager, researches and certifies that there are no conflicts of
interest for both the involved firms and key personnel, and reviews the interim and com-
plete SOWs. If the Contractor accepts the Interim SOW, the Contractor completes and
submits the WPM, as shown in Figure 4, to the RPM/RPO.
If the Contractor determines that it is necessary to amend the Interim SOW by either in-
creasing the scope of work defined in one or more of the interim tasks, by adding addi-
tional task(s) to the Interim SOW, or by substantially changing the interim LOE and
costs, the Contractor submits the completed WPM with a revised WAF (Interim
Amendment) to the RPM/RPO. Justification for the Interim Amendment will also need to
be provided as part of the Interim Amendment. After review and acceptance of the
Interim Amendment, the RPM/RPO complete the appropriate sections of the WAF and
submit the WAF to the EPA CO for approval. A purchase request is required if funding
is not sufficient to accomplish the interim tasks. The EPA CO completes and issues the
completed WAF to the RPM/RPO, the Contractor and the EPA PO. An example of a
completed WAF (Interim Amendment) is shown in Figure 5.
2.2 Responsibilities
The RPM/RPO are responsible for the following tasks during the development, issuance
and acknowledgment of the work assignment phase:
• Developing the Work Assignment package;
. . • Transmitting the original WA package and the procurement request to the EPA
CO with a copy to the EPA PO;
• Acknowledging receipt of the WPM from the Contractor in writing;
• Returning copies of the acknowledgment of the WPM to the Contractor, the
EPA PO and the EPA CO; and
• If the contractor submits an Interim Amendment to the WA, the RPM/RPO are
responsible for reviewing and accepting the amendment, completing the WAF,
and transmitting the Interim Amendment with the WAF to the EPA CO.
The EPA Contracting Officer (CO) is responsible for conducting the following tasks dur-
ing the development, issuance and acceptance of a work assignment:
• Assigning a complete work assignment number on the WAF (New Work
Assignment);
• Reviewing and approving the WAF (New Work Assignment), developing the con-
tract modification, and submitting these items to the Contractor;
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• Receiving the WA acceptance from the Contractor and executing the contract
modification; "•!""•
• Reviewing and approving all Interim Amendments to the WA by signing the WAF
(Interim Amendment); and ' "
• Submitting copies of ALL completed WAFs to the EPA PO, the RPM/RPO and
to the Contractor Financial Manager.
•
The Contractor is responsible for the following items during the issuance and accep-
tance of the Work Assignment package:
• Acknowledging the acceptance of the WA by signing and returning the contract
modification to the EPA CO;
• Determining team/subcontractor conflicts of interest; .
• Identifying the lead firm to conduct the work;
• Naming the Site Manager and other key staff;
• Completing the WPM and transmitting the complete WPM to the RPM/RPO;
and
• Developing Interim Amendments (as necessary) which consist of a detailed
scope, LOE, budget, schedule and a WAF. Interim amendments are required
due to changes needed in the total interim LOE, a major change in scope to
one or more of the interim tasks or the addition of an new task to be performed
as part of the interim effort. Interim amendments may also be used to approve
other RI/FS tasks prior to the receipt of the Final Work Plan Approval.
2.3 Deliverables
The deliverables for this phase of the work assignment process include the following:
• Work Assignment package (RPM/RPO);
• Contract Modification (EPA CO);
• • Acknowledgment of WA upon receipt (Contractor);
• Work Plan Memorandum submitted by the Contractor within ten days of receipt
ofoWA (Contractor);
• EPA acknowledgement upon receipt of the WPM when the Contractor revises
the EPA estimated WPM LOE (RPM/RPO); and
• WAF (Interim Amendment) to WA if there are revisions to the interim LOE hours
or budget (Contractor)
3.0 INTERIM WORK ASSIGNMENT ACTIVITIES
3.1 Summary
As shown on the flow chart in Figure 6, upon acceptance of the Work Assignment the
Contractor initiates the Interim SOW according, to the scope, LOE, schedule and budget
defined for each task. One of the first tasks the Contractor should conduct is the initial
site evaluation which will provide the Contractor with data on the site and the analysis of
-------
FIGURE 5
1
USEPA WORK ASSIGNMENT FORM
1 WORK ASSIGNMENT INFORMATION:
pqn|FrT wiMF A&C £6- } fX rnn-taLfrKa"ON 3OLLAII eiT'VATt OAT
Ek'CKOITUOI uMtr K.OCX
• €r>a rj^MATIO fcOE A/V*V^
APPROVED
WORK PLAN BUDGET • '
' " ' " ,"
- ;.- • . ; . ••; ; ..v •;,: -;.V:^.;
• ='•-"• ' t:';%;
TECHNICAL OIREC1
MEMORANDUM
• Ottailtd scoot Bu
'ana icrnaula
• Minor intlt witnin
'ION i-i WORK ASSIGNMENT
l-l COMPLETION NOTIFICATION
(No Altachmtnt»|
agtt • Xagionai aatarmiAation
itvti • CO nonlm contractor
to itoo won
SOW
i
ovtrail tcooa ouaqti. ana
LOE approvto By EPA COl
EPA REGION
TOTAL ' '
FUMOWO ,
aecJEivsa ''
J00,000
40,-Oto- '
120,600
;j; .- t
,,% ^^.EXPENDITURE. ' .
: ^ f ' ^5/ OOO
^ "•• " £.(/OO&
' "-:- U4>,066
APPSOVE08T
4 WA COMPLETION DATE
•
- • •. . • ••."• • : ' • • ,. . ' ; •.• .:'•.•'
! 5. EPA COMMENTS:
6. APPROVALS
CO"NVfjACTOH~SIGNAT.URES: .
iS^. KtiuM. •• ° iJaipM
QC-jiC*iAL MANAGER f BM OATC
{ 1 Approved *• »ubmitl*d {[ Approved wltn cA
31CNATURE/EPA
EPA 3WMATURE3; . .
KICIOMU. MQjfCT OAtuCUl . ' . : .•.'. .. etrg
MOKHaUPMMero*^ ::..-. ;. OAT. :..=
inqn Q ; Met approv«tf
CONTrUCTMO OFFICER DATE APPROVED
ec: EPA Proi*ct Officer
Contractor financial Manager
EPA Contracting O'fictr (wntn only
tipanaitura limn column n uaaa)
ATTAChLSTATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
-------
FIGURE 6
COMPLETION OF INTERIM WORK ASSIGNMENT TASKS AND
APPROVAL OF WORK PLAN
1
i vn. ?
WP DEVELOPED
BY CONTRACTOR
WITH KNOWN
TASKS DEVELOPED
IN DETAIL
HPM/RPO APPROVE
ALL TASKS OVERALL
BY INDICATING WP
BUDGET. ONLY TASKS
THAT HAVE SUFFICIENT
FUNDING AND DETAIL
ARE APPROVED IN THE
EL COLUMN
CO APPROVES'
ALL TASKS
CONTRACTOR IMPLEMENTS
ALL TASKS APPROVED IN
EL COLUMN ONLY. IF EL
COLUMN IS NOT USED.
CONTRACTOR MAY PROCEED
WITH ALL TASKS AS
OUTLINED IN WP.
PROVIDED SUFFICIENT
FUNDING IS AVAILABLE
WORK COMPLETED
RPM/RPO APPROVE
ADDITIONAL TASKS
WITH SUFFICIENT
FUNDING IN EL
COLUMN
WORK NOT
COMPLETED
\ '
CONTRACTOR DEVELOPS
DETAILED TASK
DESCRIPTION ON
ADDITIONAL TASKS
WITHIN OVERALL
SCOPE
-------
existing data to determine where data gaps exist. The Contractor will also begin to de-
velop (specific to the Work Assignment) a preliminary list of remedial alternatives that
can accomplish remediation of the site. This list will be developed by the Contractor as
part of an RI/FS work plan and is imperative to the development process since it is the
driving force for conducting the Remedial Investigation and the Feasibility Study (RI/FS).
This list will help to determine the objectives that are to be accomplished during the pro-
ject, define the data gaps that will need be be filled in order to be able to conduct the
FS, determine the quality of data required.
3.2 Wo'rk Plan Development
One of the major tasks under the core list of interim tasks is the Work Plan
Development task. The work plan describes the activities and tasks the Contractor will
execute to accomplish the complete SOW under the WA. If a phased approach is to be
used the work plan should describe the first phase tasks in detail and proposed future
tasks in a general manner. An estimate for LOE, costs and time required will have to be
prepared for both the first phase tasks and the future tasks. The budget and schedule
information for the first phase tasks should be straight forward, and readily accom-
plished. The budget and schedule information for the future tasks will normally not be
able to be prepared with the same amount of certainty or detail, however, enough infor-
mation must be provided to justify the LOE and budget specified in the work plan. While
it is important that the future tasks be general to provide flexibility, enough information
must be provided to allow the RPM/RPO and the Contracting Officer a solid basis for
approving the work plan.
The Contractor must also complete an Optional Form 60(OF-60) or a Standard Form
1411 (SF-1411) as part of the work plan. The Contractor must also complete a WAF
(Final Work Plan Approval) as shown in Figure 7a. The Contractor should complete Item
1 of the WAF, except for the shaded areas, and should mark the "Final Work Plan
Approval box" under Item 2. The Contractor can also fill in the Approved Work Plan
Budget in the "Current" and "Total" columns in Section 3 reflecting the technical LOE
hours and total cost budget supported in the final work plan text and the SF-1411 or
OF-60. This LOE hour estimate replaces the "EPA Estimated Total Hours"- shown in the
Interim Budget block. If the final approved work plan revises the completion date for the
entire work assignment then the Contractor should reflect this new date in the revised
line of Section 4 - "WA Completion Date". The Contractor's Regional Manager and Site
Manager must sign the appropriate spaces under Item 6 prior to transmittal of the form
to the RPM/RPO. When the RPM/RPO approve the work plan they must complete the
appropriate sections of the WAF and submit the work plan, WAF and OF-60 or SF-1411,
and PR's as needed, to the EPA CO for approval.
The EPA CO approves the work plan by completing Item 3 of the WAF, authorizing the
funding to be received, checking the box marked approved as submitted or approved
with changes and signing the bottom of the form. If the EPA CO does not approve the
work plan, the not approved box will be checked and the EPA CO will initial and date
the WAF. The EPA CO will send a copy of the WAF containing the approval of the work
plan and the authorization of funding to the RPM/RPO, the Contractor and to the au-
thorization of funding to the RPM/RPO, the Contractor and to the EPA PO.
A completed WAF (Final Work Plan Approval) with full funding is shown in Figure 7b and
with partial funding in Figure 7c. Figure 7c also reflects Expenditure Limits being exer-
cised by the region.
-------
FIGURE 7-A
USEPA
1 L<5/
6&-Ol-6>9'2>9 REVISION NO
SnijA. MODIFICATION
frv FINAL WORK PLAN r-i TECHNICAL OIRECTIO
U* APPROVAL L-J MEMORANDUM
i^ • Approve work plan
ENT • Add fund*
• Detailed scope buog
D AMENDMENT TO FINAL •"" »'"«""•
• Change in LOE.
lasts scope or Budget By task • "'"o* >"'" «•«"'" SO
«''""<" ('"lu<" overall scope oudg.. an
OF 10 or SF UM) IOE tpBrov,a Oy »„, cs
EGION/ EPA REGION/
RTERS HEADQUARTERS EPA RECK
TOTAL
. APPROVED FUNOWO %
WORK PtAN BUDGET - R€C£IV€D
(T€CKNICAL.LOE) , ($) , ^ ' W,' \- <1
:.::::.. ' ' " '" - •<•"- -
7&5O &&OfOO0
...
4/2y)A»,£r
IT *sizxsfO-^ atrviSFO- ,
2
NO.: . ^ A,
t- !
N n WORK ASSIGNMENT
LJ COMPLETION NOTIFICATION
(No Attachments)
el • Regional determination
to stop won
rV
*tn
d
l
3N
>"„, EXPENDITURE
,">">, LIMIT (EL)
recMNicju. LOE) ' u>
V, < , s -•' ' .
, APPROVED BT
/0/3C/&G'
...««* zw^ ^ j^^^^^^^^^^
•••-••••• - ' ' : . - - . -... • .. • . •• ...
S. APPROVALS
CONTRACTOR S>SNATUflES: ,
MrfMl /Vmr.llJ/: •• ^j?5|^
QE^iONAL yiNACEo F-QM SATE
EPA SIGNATURES; , ' :
Rf CIONJU. MIOJtCT HAMACIM . • .'.'•• OArt
itfG^mMCTO^ci.) ; : • :• .-.:• . OAT.
[ 1 Appro-vod •• tuomittvd |_J Approved vlift ciianijtan fj Not approved
SIGNATURE/EPA COHTRACTtNQ OFFICER ' DATE APPROVED
ce: EPA Proieet Officer
Contricior Fininenl Manager
EPA Conirtciing Officer (wnen only
eip«nailure limit column it uiejd)
ATTACH STATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
-------
FIGURE 7-B
USEPA
WORK ASSIGNMENT FORM
1 JVORK ASSIGNMENT INFORMATION:
0.} TX
NO..
ASSlGNMENT-.N<
REVISION NO ^
DATE:
CONTRACTOR CONTROL
I
2. DESCRIPTION OF
ACTION:
D
NEW WORK
ASSIGNMENT
• Iniinm SOW.
IcniduX. >nd LOE
• Comoittt SOW tsh
audgti ana
REQUIRED
APPROVAL:
EPA REGION/
HEADQUARTERS
(-1
U
INTERIM
AMENDMENT
Chingt in LOE.
icoot oy lll«
Add iddit
or 'und»
EPA REGION/
HEADQUARTERS
FINAL WORK PLAN
APPROVAL
D AMENDMENT TO FINAL
WORK PLAN APPROVAL
• Chjngt in LOE.
icoot or Dudgti Oy ink
• Add ladilionti tam«
• or funds (includi
OF (0 or SF 1«1)
EPA REGION;
HEADQUARTERS
(-,
Lj
TECHNICAL DIRECTION
MEMORANDUM
• Oeiiiitd scoot, budgtt
' and scnvdui*
» Rtvua ttoandtturt itvai
• Minor l«»n **iinm SOW
(All ehangts mull D« MiiMtn
ovtnii Kaet oudgti ma
LOE tpprovto By EPA C0>
EPA REGION
1 WORK ASSIGNMENT
COMPLETION NOTIFICATION
(No Aiuchmtnls)
• Rogional dlttrrmnitior)
• CO 'Wifiti coniracior
10 1100 «orv
3. BUDGET INFORMATION
INTERIM BUOOET
(TECHNICAL LOE)
CURRENT
AMENDMENT
TOTAL
3( '•»C»tO
' EM tJIWA-IO \.Ot
HOuKi -y= exnvt WA
1 APPROVED
. WORK PLAM BUDGET
[TECHNICAL LOE) (S)
!: 7050 '•'
550,006
TOTAL
•• FU«IOWO
necEtveo
EXPENDITURE
4TECMNJCAL LOE)
(1)
APPROVED 8t
t WA COMPLETION DATE
5 EPA COMMENTS:
1
5. APPROVALS
COnTRACTOR aGNATURES:
I»T6
4^
EPA.11CNATURES:
Approvtd it nrf>miil»d
j [ Approved •»«!»
Rot »pprov«ot
SIGNATURE/EPA 'cONTRACTmO OFFICER
DATE APPROVED
CC: EPA rVoi«ct Officer
, Canirictor Finineial Minigtr
EPA Contracting Officar (wn«n only
• ipandilurt limit column it ua«0)
ATTACH STATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
-------
FIGURE 7-C
USEPA
WORK ASSIGNMENT FORM
I WORK ASSIGNMENT INFORMATION:
DDrtierr MAMF. *£>£ £R 4Mt£££.wnati. ASSICNMFNrNO. /2-6>£5l
Rrle<=, 6>P>-6t- fpV*,°> REVISION NC
ACTIVITY ,KJ~ 1 rZ> FPA eONTO«CT HO £PD " 'A*7 -'=?-•'
ii n — — • MOOIFICATIC
DATE: 9I2-5/&4- CONTRACTOR CONT°Ol NO • ^&9.~'MI~f\ T-CJ?ffA ,r>«.>ri.«j ni
J. DESCRIPTION OF
ACTION:
DNEW WORK 1— I INTERIM
ASSIGNMENT U AMENDMENT
• Inlanm SOW. • Changa in LOE.
•criaduia. and LOC . icopa oy ta»«
• Compina SOW astimattll
budgat and wh.dula. : . »aa ,«,„„,,„ ,.,,,,
or lundl
REQUIRED
APPROVAL:
EPA REGION/ EPA REGION)
HEADQUARTERS HEADQUARTER!
3. BUDGET Wf OAMAT1ON
INTERIM BUDGET
(TECHNICAL LOE)
CtlBFFNT _.
AMENDMENT
TOTAL
• OPTION 3OLLA* fjrvtTE MAr
SC T»CXID WCCiOIA^Lr IK
fXPCNOITUKE UHIT tXOCK
fjjr1 FINAL WORK PLAN r- 1
" APPROVAL •— 1
• Approva work plan
• Add lundt
D AMENDMENT TO FINAL
WORK PLAN APPROVAL
• Changa in LOE.
tcooa or oudgal by task
or lunda lmclud(
OF 10 or SF 1411)
EPA REGION/
> HEADQUARTERS
APPROVED
. '.WORK PLAN BUDGET
(TECHNICAL LOE) «
//CO 350,000
•:'<59SO
'• tOSO 6^0,600
..•-.-
> ^
N NC
liear L
TECHNICAL DIRECTION
MEMORANDUM
• Oatailtd icopa budgil
*«nd icnvdul*
• Minor in.lt witnm SOW
(All changtf mult 0* within
ovtratl scopa oudgat. ano
LOE approvid Dy EPA COl
EPA REGION
TOTAL
FUNOWO
RECEIVED v
3ZO, 000
450,600
7
•• ^i«i •'•yVT
p. WORK ASSIGNMENT
U COMPLETION NOTIFICATION
(No Atuchmtntl)
• Atg«nat data* rmnation
• CO notiri«« contractor
to stop work
1
i
i
EXPENDITURE
^ l! " LIMIT (EL)
(TEC«t«CA,;\OE) .: . t$>
^•7.600 294-,60d
21 40 " 400,060
\
jt
APPHOYEOBT
4 WA COMPLETION DATE
,,,«CNT. Q l&> fa „„.„«. /ofo/toS
S. EPA COMMENTS: ( £'&4Wp4jL. ^ D&CfaaJ Au^uU*^ ^ &A^^ ^ oddtfLffTldJ . : :•
S. APPROVALS
SIGNATURES.
°EGtON*L MANAGER C;OM
3ATE
I 1 Approv*d a* vubmitivd
Approved wUh cliinfiii
{Tj
Koi »pprov«a
SICNATURE/EPA^pONTIUCTaxa OfflCER :'. DATE APPROVED
cc: EPA Protect Ortlca*
Contractor Flninctii Manogtr
EPA Contracting Orfictr (wntn only
• >p«ndilura limit column 11 uata)
ATTACH-STATEMENT OF WORK
(PEB OESCBIPTION OF ACTION)
-------
If the RPM/RPO does not approve the work plan, the Contractor will meet with the RPM/
RPO to resolve any conflicts or answer any questions. The Contractor will tfren "modify
the work plan incorporating the changes agreed upon and will re-submit the'work plan to
the RPM/RPO for approval. If approved, the approval process will follow the procedures
described above.
3.3 Utilizing the Expenditure Limit (EL) Option for Phased-Assignments
Upon receipt of the WAF the EPA CO, the RPM/RPO may choose to set an Expenditure
Limit (EL). This Expenditure Limit provides a mechanism for the region to manage the
phasing of the execution of the Approved Final Work Plan. The setting of Expenditure
Limit(s) associated with the phasing of the work plan tasks should only be used on com-
plex assignments where the level of effort required for future tasks is not clearly defined.
There are at least two different ways to write work plans and use the regional control
column. - -
Example 1 - Is best utilized when control is desired and mobile labs are used and/or ac-
tivity will be ongoing.
Work Plan
1. Initial Tasks $106,000
2. Field Activities
A1 Well Drilling-Known Amount & Location $ 94,000
A2 Well Drilling-Undetermined Amount/Location, - $ 50,000
-.
. B1 Soil Sampling-Known Amount & Location $ 50,000
B2 Soil Sampling-Undetermined Amount/Location $ 50,000
C1 Sediment Sampling . $ 50.000
D1 Air Sampling $ 30,000
3. Feasibility Study $ 30,000
A1 Screening , . .' . $20,000
B1 Evaluation • ,. $50,000
C1 Pilot Plants $ 50,000
In this case, the RPM/PO and Contractor have decided that the amount of well drilling
and soil sampling may vary depending on the conditions found. The RPM/RPO may ap-
prove all tasks as shown or may approve all tasks overall but control the initiation of any
task by using the EL column and writing appropriate comments in the COMMENT sec-
tion. For example, an applicable EPA comment would be:
Regional Control - Prior approval required before implementing tasks 2-A2, 2-
B2, and 3C.
The dollar amount in the EL column should reflect the dollar amount of clearly defined
tasks ($400,000) and the final WP approval column should reflect the total of all tasks
($650,000).
-------
If additional wells are required as field work progresses, the Contractor would notify the
RPM/RPO through a Technical Direction Memorandum (TDM), which wduldt"outline the
number of additional wells at what cost. The.RPM/RPO would approve the WAF, provid-
ing the total project cost and LOE are within the entire work plan, and the work would
continue. If logistics or time do not allow written documentation prior to approval, verbal
approval may be given by the RPM/RPO. Follow-up documentation in the form of a com-
pleted WAF will be submitted as soon as possible. If more money is required in task 2-
A2 and less -money is required in task 2-B2, approval may still be given on the regional
level providing the total dollars and LOE do not exceed the entire work plan budget.
Example 2 - Is best utilized when discrete sampling trips are required. The second trip
is scoped out after the first is completed. The following tasks and descriptions are for
example purposes only:
Task 1 Initial Activities . $106,000
Task 2 Phase 1-Fieldwork/Alternative Screening $294,000
Task 3 Phase 2-Fieldwork/Alternative Evaluation $ 90,000
Task 4 Phase 3-Fieldwork/Alternative Selection . $ 60,000
In this case the CO would have approved all tasks but the RPM/RPO may elect to re-
gionally limit the Contractor to working on Tasks 1 and 2. When information is gathered
from Task 2, a technical direction memorandum should be submitted to the RPM/RPO
for Task 3. The RPM/RPO would approve Task 3 and the Contractor would then imple-
ment. The CO signature is not required for regionally controlled tasks unless activities
being added are not within the Total LOE or Total budget.
Analysis of the phased work accomplished to date could result in significant revisions to
the future work tasks. It is important to note that each successive WAF for a WA super-
ceeds the previous WAF and therefore ALL required information must be provided. If a
region establishes expenditure limits to manage the phased execution of a WA and ne-
glects to complete the expenditure limit column in a subsequent submittal, the regional
expenditure control will be voided. The control will revert back to the approved final work
plan and total funding received. Any proposed establishment of phased work task execu-
tion and regional Expenditure Limits must be concurred with by the PO. CO, and the
Contractor. •' ' " -
An example of the completed WAF (Final WP Approval) showing partial funding where
the Expenditure Limit (EL) is being exercised by the region is shown in Figure 7-C.
3.4 Responsibilities
The duties and responsibilities for the various individuals listed above are described be-
low for each individual:
;
The Contractor is responsible for the following tasks:
• Conducting the interim tasks;
• Preparing and submitting to EPA the work plan, including SOW, budget and
schedules presented by task;
• Meeting with the RPM/RPO to resolve any outstanding issues or comments by
the RPM/RPO on the work plan;
11
-------
• Revising the Work Plan per EPA's comments and re-submitting the work plan to
the RPM/RPO with the WAF and SF-1411 or OF-60; and • j- • .
• Executing the approved scope of work upon written approval by the EPA CO.
The RPM/RPO are responsible for:
• Coordinating the review of the work plan with peer reviewers;
• Submitting comments on the work plan to the Contractor;
• ' Meeting with the Contractor to resolve any comments or outstanding issues;
• Approving the work plan by completing the appropriate portions of the WAF;
• Setting an Expenditure Limit upon approval of the work plan by the EPA CO (as
specified above);
• Submitting the approved work plan including the WAF, OF-60 or SF-1411, and
the purchase request (as required) to the EPA CO for approval and;
• Transmitting the completed WAF, when utilizing the phased approach with an
Expenditure Limit, to the Contractor, EPA PO, and the EPA CO.
The EPA Contracting Officer is responsible for conducting the following
tasks:
• Approving the work plan and authorizing funding by signing the WAF
• Obligating funds and establishing the expenditure ceiling; and
• Transmitting the completed WAF to the RPM/RPO, Contractor and the EPA PO.
3.5 Deliverables
The deliverables that are prepared as part of the initiation of the interim tasks include,
but are not limited, to the following:
• Work Plan
• Project Operation Plan or Site Specific Plans which could include the following
. . separate plans:
Sampling and Analysis Plan with Quality Control Components
Health and Safety Plan
Site Management Plan
• Quality Assurance/Quality Control Project Plan
• Community Relations Plan
• Initial Site Evaluation Report (optional)
4.0 IMPLEMENTING REVISIONS TO THE APPROVED WORK PLAN
4.1 Summary
The flow chart shown in Figure 8 for Level 3 describes the implementation of the Work
Plan by the Contractor. Upon completion of the Work Plan or the first phase of the Work
•19
-------
FIGURE 8
IMPLEMENTATION OF APPROVED CONTRACTOR WORK PLAN
LEVEL 3
rnNiiActOR AMAI»/FS
AND lulf HPMI IS IMF
ni MI sin is AHII
si in I us mi
AI ii IINAIIVI s
NO AnnnioNAi.
DAIA »iFFni u COR
rr.AS'Biinv sum*
if si
AOnillONAI DAIA
NI l ui n 10 n nrnnM
mi ii AS>RII lit
SHIP' I'Si
NOT APpnoVFD
I~~
l- I All I fl Sl IW
si i ir run r AMD
iHtF i
HO MAJOR
on Burv.ti r.
(ON'RACIOH SIIBMIIS
SOWBUCXJEI AMD
scnrDiiiE wiiM w»r
imMIINCLUOIHC SOW
AND PlllXjF. I IO
RPM'HPn TOR APPROVAL
RPO'RPU APPROVE
1I1E 10M INCHf ASE
El AND SEND COPIFS
Or IMF WAf in
r.o PO ANU
CO'llnAf.'IOR
CON T RAT TOR
t>rctni s sow
1 ' '••
CONtRACIOR PRFPARFS
Rlirs I1EPOHI
EPA
oevriops
BOO
AOnniONAi rimoiMG
On MAJOR SCOPE'
SCHI DIM F CHANGS
I ONIRAC1OR PREPARES
AND SUBMITS WAF
IAMFNDMFNI IO WP
APPROVAI ilNClUDINn
SOW SrilFDUIE BUOGF1
«NO Of 60 OR Sf 14 III
RPM'RPO S'GN
WAF AMACH
PR lit ADOIT'ONAL
'UNOINC IS
NECESSARri AND
•SSUE 'O CO
FOR APPROVAL
WirHCO"v IO PO
co
*MFN0MfNI
*uiMORi/fs FUNDING
AND SFNOS APPHOVAl
AMO AiMHORi/AriON
IO nFC.lON ANO
f urn
f «i snw
-------
Plan the Contractor reviews and interprets the data that has been developed. This re-
view will be used to determine if additional data will be needed in order to Complete the
Work Assignment and/or to provide the information that will be necessary to "support a
remedial alternative. Part of this review will consist of performing a limited FS analysis,
(i.e., screening of the remedial alternatives using the data generated as part of the Rl).
In the following two sections, we present two ways of changing an approved work plan.
The first is the Technical Direction Memorandum (TDM). The TDM is required when
there are minor changes to the scope and these changes within the specified LOE and
budget'limits, and the second is the Amendment to Final Work Plan Approval.
4.1.1 Technical Direction Memorandum
As seen in the flow chart in Figure 8, upon completing the detailed scope, schedule and
budget the Contractor will determine if the new scope and budget are within the initial
scope and budget provided in the work plan. Minor changes to the scope and changes
within the specified LOE and budget limits which fall within the total LOE and budget
are delegated to the Regional RPO for approval action. If the Contractor determines that
the phase is within the scope, budget, and schedule of the Work Plan, the Contractor
will prepare a WAF and attach this to the detailed scope, schedule and budget. The
Contractor will be responsible for checking the WAF in the Technical Direction
Memorandum (TDM) box and submitting this information to the RPM/RPO for approval.
The forms shown in Figures 9A and 9B have been developed to aid the Contractor in
the preparation of the Technical Direction Memorandum. This form will insure that the
required data will be submitted to the RPM/RPO in a format that will expedite the re-
gional approval process. The RPM/RPO will be responsible for approving the TDM by
completing the appropriate sections of the WAF and returning a copy of the completed
WAF to the Contractor, the EPA PO and the EPA CO. A copy of a completed WAF for a
Technical Direction Memorandum is shown in Figure 10.
4.1.2 Amendment to the Final Work Plan Approval
The FS analysis is performed to determine if there are outstanding data gaps or if more
information must be collected in order to select an alternative or provide engineering
considerations for the development of the alternative. If it is determined by the
Contractor that additional phases are necessary, the Contractor will be responsible for
developing the following:
A detailed scope of work to be performed in order to obtain the additional infor-
mation and perform the feasibility analysis as necessary to complete the work
assignment;
Schedule, including critical path and task completion dates (milestones);
Identification of any subcontracting or special equipment requirements;
Staffing of each task in this phase; and
A detailed LOE and cost estimate for each activity to be conducted under this
phase.
13
-------
If additional funding is needed, a major scope change is required or there will be a
change in ihe overall WA completion date, the Contractor will be responsible for submit-
ting the detailed scope, budget, and schedule to the RPM/RPO with an appropriately
completed WAF. The Contractor will check the box labeled Amendment to Final Work
Plan Approval on the WAF as part of this submittal. The Contractor will also be responsi-
ble for developing and submitting an OF-60 or SF-1411 as part of this submission. The
RPM/RPO are responsible for approving the Amendment to the Final Work Plan by com-
pleting the WAF and submitting the WAF and along with the required attachments to the
EPA CO. In addition, the RPM/RPO will need to check the funding level of the project to
determine if a procurement request will need to be submitted to the EPA CO as well. A
copy of a completed WAF for an Amendment to Final Work Plan is shown in Figure 11.
The EPA CO will approve the WAF, authorize funding as appropriate, and will send a
copy of the completed WAF to the RPM/RPO, EPA PO and the Contractor.
The Contractor will execute the Statement of Work upon receipt of a completed WAF
approved by the RPM/RPO in the case of a TDM or a WAF approved by the RPM/RPO
and the EPA CO in the case of a Amendment to the Final Work Plan Approval.
In either case, the RPM/RPO may set an Expenditure Limit in order to manage the
phased execution of the WA at the regional level.
4.2 Responsibilities
The RPM/RPO are responsible for the following tasks:
' • Reviewing and approving the TDM(s) submitted by the Contractor;
• Setting an Expenditure Limit, as appropriate, for the execution of work de-
scribed in the TDM;
~ '• Transmitting a copy of the approved WAF-TDM to the Contractor, EPA PO and
the EPA CO;
• Reviewing and approving Amendments to the Final Work Plan Approval and
completing the WAF; •;: •• .
• • Reviewing funding level when either a TDM or an Amendment to the Final
Approved Work Plan is submitted by the Contractor;
• Transmitting a copy of the completed WAF and the Amendment to the Final
Work Plan Approval to the EPA CO for approval and authorization;
• Setting an Expenditure Limit, as appropriate, upon the EPA COs approval of
the Amendment to the Final Work Plan Approval; and
;
• Developing a Record of Decision (ROD) upon completion and approval of the
FS Report (if the Work Assignment is for the completion of an RI/FS).
The EPA Contracting Officer is responsible for the following tasks:
• Approving Amendments to the Final Work Plan Approval by completing the WAF
and authorizing additional funding as appropriate; and
• Sending copies of the completed WAF to the Contractor, EPA PO and the
RPM/RPO.
-------
FIGURE 9-A
USEPA TECHNICAL DIRECTION MEMORANDUM
1.0 WORK ASSIGNMENT INFORMATION
Date: /^ ll^f&l Project Name: /££ CO.}
EPA Contract No.: £6'd/"£339 work Assignment No.:
Contractor: &MP PKESsen & McXES site Manager/Firm: _
Revision No.: 3 Contractor Control No.: ^99 - PHI-XT-
2.0 TECHNICAL DIRECTION SCOPE OF WORK
OBJECTIVE: '?Z?
APPROACH: (Present description on Task and Sub-task basis)
AFfcCT&P BY TU/S T&M J-Ptr AS
2 £-1 3e£?/Mt=MT
/A/
MO
7Z//5
AJ/LL.
7?)
WE
Page 1 of
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FIGURE 9-B
USEPA
TECHNICAL DIRECTION MEMORANDUM
3.0 SUBCONTRACTOR REQUIREMENTS (Description of Services)
ffor
4.0 SCHEDULE AND DELIVERABLES
Task No.:
01
Start Date: Completion Date:
Deliverable:
(Task No.'s per Technical Direction Scope of Work)
5.0 BUDGET INFORMATION:
TASK NO.
HOURS
COST
TECHNICAL
HOURS
COST
NON-TECHNICAL
EQUIP
TRAVEL
ODC'S
SUB-POOL
TASK
TOTALS
ino
2 2ooo
&0
-ZjOOO
•7,000
50,000
,6 OQ
A2_
1,006
60 f
tol
l.&o
zoo
4-6,606
TOTAL
54,000
6,000
1,000
{OO/OOO
COMMITTED
TO DATE
(00,000
/0/00D
30,000
115,000
APPROVED
BUDGET
60/000
7,000
fo/OM
102,000
VARIANCE
(&,ooo)
('<
dpoo)
(.2,000)
6.0 APPROVALS:
CONTRACTOR SIGNATURES
EPA SIGNATURES
SITS MAN4$ER/FI
T.M. K
DATE
rarfot
REGIONAL MANAGER/FIRM
DATE
HEGlONAL PROJECT MANAGER
REGIONAL PROJECT OFFICER
°ATc
DATE
-------
FIGURE 10
USEPA
1 WORK ASSIGNMENT INFORMATION:
OqQjpff fc|,&MP A&C' £-&• j 1 J\
1
WORK ASSIGNMENT FORM
r.-,K,TD.r-Tr,= £AMP 0g££>6££. €, Mc.K££. «/noit AS^ICNMENT-NO. /'2'G>£'5 J.
ant- J&/2>&/£>4 CONTRACTOR CONTROL NO • ^^ ff ~PMI'RT- ^
2. DESCRIPTION OF
ACTION:
DNEW WORK n INTERN
ASSIGNMENT U AMENDMI
. Inltrim SOW. • CNanga in LOE
icnadui*. ind LOE «"" Dy Kin
• Compitta SOW •itimaft'd
ooog.t and icXMui.. ; . Mfl „„.„„„„
or funds
REQUIRED
APPROVAL:
EPA REGION/ EPA R
HEADQUARTERS HEADQUA
3. BUDGET INFORMATION
INTERIM BUDGET
••".-. {TECHNICAL LOE)
fUJFTRFNT . . M —
AMCNDMCNT
• OTION 3OLLA* CTP«*ATl HA»
»t ••XIXIO KCCIOIALLT ur
CIPINOITUM UH1T ROCX
• c i»« «««ATto -.at
t WA COMPLETION DATE
CURREtx
5. EPA COMMENTS: $dciuZff?t6
D FINAL WORK PLAN i
APPROVAL
4 • Approvt work pun
ENT • Add lundi
r—i AMENDMENT TO FINAL
'—'WORK PLAN APPROVAL
• Chjngt in LOC.
!««»« >cap< or Budgtt By tiin
• Add additional lami
or lundi (inelua*
OF 10 or S' I'll)
EGION/ EPA REGION/
RTERS HEADQUARTERS
APPROVED
wowc VL*» BUDGET: -,-,^
"-^-~' * '..-•' " ~.z
'• (TECHNICAL LOE) " , W :
".-^^y
&50,66Q
v £
'etfeo/e*?-
i^l &xM ^U^M(M^\ *
c*p£'> OvwicMtT btkd
5. APPROVALS
CONJRACTOH,51CNATURES: El
(^jMwMfomnl, /ORo/?4
S.TC//I.ACM /)*•/ 1
1XOf«af fsV^6r1UC
a€GlONAL VANACER P:AM
{ 1 Approved •• ttt&mit!»d
• i
DATE M
OATE Af.
[ ) Approved wHn Chan
REVISION NO
_ MODIFICATION
^••C. iCamraetina 0«.e
5?fTECHNICAL DIRECTIO
^ MEMORANDUM
• 0«t»Kd leapt. Budg
and icnoult
• Rtvtta ••otnditurt it
• Minor mill within SO
ovarall icoo« Budgat. an
LOE approvid By EPA C3
EPA RECK
TOTAt -~
FUNOWO ";•• ;
y , ^-^f^ ,- f
>^ "4-5Of6O6^, -
f, „ ,^ ;"••-<•' -.^ $
•i * "V *
' - >4£0i000 *
;Vrf
_ PFV'SF.O- /'
' //
ir'lii. ^ni.i -fV//t
N n WORK ASSIGNMENT
LJ COMPLETION NOTIFICATION
(No Attachment*)
v.i • CO nottktt contricior
to stop wora
N
tin
d
1
3N
v v » > ^ " ' ....
"•^ V^j^-EJB^BNDITUBE
* ™ *• sx, ^ UMtT (CL> :- ; . . .
rECMWCAL LOE) (S) ! 7 : •
A7^>f> ~ 400/600
•^ s**f. •'••-. ••
^^•."^' 450, MO'
v * **S ^ • •
^^'^^A-1^
f • APPflOVEO BT . ..•
Cf^>C/S>^
Ift^fr*--
W^M>;B-:^.
GtAAJ-HUiatT UAtaMW/
Tf^io ni^A/
•9OOJK mOrtCT ^>nCCH !
''^•.••"'..'.O.V "' "'':..
. . S>CNATURC/EPA CONTRACTBKO OfFICEH
'*• K'.'-'v ': -\\1\M :•'•
D
•: •..;.:;,•;.. ;' :*•''• '- 0*rl «.
HOt atppfOWtf ' . ':
•':••"].:. ..;. DATE APPROVED .
cc: EPA Protect Olflear
Contractor Financial Managar
EPA Contracting Qrticar (wn«n only
aipanrjiiur* limn column la uaaa)
ATTACH STATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
-------
FIGURE 11
USEPA
WORK ASSIGNMENT FORM
1 WORK ASSIGNMENT INFORMATION:
*\ '*^
ASSIGNMENT^O.
REVISION NO
PATE
-,-.>.T...,-r,io /»n»iTnni
MODIFICATION NO.: • A//A
iCsnlraclinj Qflictr'uia £ni«i -f*frt
2. DESCRIPTION OF
ACTION:
D
NEW WORK
ASSIGNMENT
« imtrim SOW.
icntdult. >nd IOE
• ComDUia SOW tsumattd
Ouo9.i ma tcn.dui.1 :
REQUIRED
APPROVAL:
EPA REGION/
HEADQUARTERS
(-1
U
INTERIM
AMENDMENT
Cnangt in LOE.
scop* oy task
Add additional tasks
or 'unds
EPA REGION/
HEADQUARTERS
D
FINAL WORK PLAN
APPROVAL
• »ppro»i won pun
• Add fundi
K-f AMENDMENT TO FINAL
*2»WORK PLAN APPROVAL
• Chingt in LOE.
tcopt or Oudgtl by tisk
• Ada aaditionu IISNI
or lundt (mcludl
OF 60 or SF 1411)
EPA REGION/
HEADQUARTERS
TECHNICAL DIRECTION
MEMORANDUM
• Ottailtd icoo* oudgti
' and acn>du»
• Minor initt within SOW
(All cnangts mull Qt *iimn
overall scopa. Oudgil. and
LOE approxd Oy EPA CO)
EPA REGION
WORK ASSIGNMENT
COMPLETION NOTIFICATION
(No Atuchmtnti) •
• Rational dlltrmination
• CO iotifi«s contractor i
to 1100 »oni
3. BUDGET INFORMATION
INTERIM BUDGET
(TECHNICAL LOE)
CURRENT
AMENDMENT
TOTAL
• O»«ON 3OLLAI fIT'Virt MIT
BE T'CxfO • eciO'ui.Lr i«t
«ngNoiTup« uuir ttocx
APPROVED
WORK PLAM BUDGET
(TECHNICAL iOE) ' (»)
72&O
, 000
• TOTAL
FUMOMO
450,000
//0,600
5&0,006 '
\- EXPENDITURE
(TECMWCAt.LOEJ ;
(*)
APPBOVEOBT
4 WA COMPLETION DATE
CURRENT:
REVISED:
S. EPA COMMENTS:
6. APPROVALS
CONTACTOR SIG^ITUHES.
'fomnk.
M&
Approved JB »ui>mit!»d
j [ Approved wiln chin^n
[ ] Kot »pprov«a
StCNATURE/EPA
OFFICER
DATE APROVED
ce: EPA Proittl Offictr
Contrietoi Finincm Mtnigtr
EPA Contracting Oftictr (wntn only
•iptnaitur* limit column n ui*a)
ATTACH STATEMENT OF WORK
(PER DESCRIPTION OF ACTION)
-------
The Contractor is responsible for the following tasks:
• Analyzing and interpreting the data gathered under the Work Assighment to de-
termine if additional information and analysis is necessary to complete the work
assignment; :
• Conducting the feasibility study analysis to determine if the RI/FS can' be com-
pleted or additional data is needed;
•, Preparing a detailed scope, schedule and budget if more data is needed;
• Completing a WAF .as either a TDM or an Amendment to the Final Work Plan
Approval depending on changes to the original work plan scope budget, and
schedule;
• Submitting the WAF to the RPM/RPO for approval if the work is to be con-
ducted under a TDM; •
• Submitting the WAF (and, as appropriate an OF-60 or SF-1411) as an
Amendment to the Final Work- Plan Approval if major scope, schedule or budget
changes are required;
• Responding to any RPM/RPO comments on the TDM or an Amendment to the
Final Work Plan Approval;
• Executing the TDM or Work Plan Amendment SOW upon receipt of the appro-
priate written approvals; and
• Preparing the RI/FS Reports or Final Work Assignment Reports.
4.3 Deliverables
The deliverables for this level of the Work Assignment process include the following:
• Feasibility Study Analysis Memorandum including a description of the phased
remedial investigation performed (Contractor);
• TDM which includes a completed WAF and a detailed scope, budget and
schedule (Contractor);
• Amendment to the Final Work Plan Approval which includes a completed WAF
and a detailed scope, budget and schedule (Contractor);
• Feasibility Study Report (Contractor); and
• Record of Decision (RPM/RPO).
5.0 COMPLETION OF THE PROJECT
As shown in Figure 12, with the completion of the project, a WAF stating that the pro-
ject is complete (with appropriate detailed budget information) is prepared and signed
by the RPM/RPO and sent to the CO with a copy to the PO.
Upon receipt of the WAF, the CO issues a stop work order to the Contractor and sub-
mits copies of this stop work order to the RPO, RPM and the PO.
15
-------
With the stop work order in place, the Contractor then prepares the award fee package,
Work Assignment Completion Report .(WACR), and the invoice (excluding a\fard fee and
close-out costs). This package is sent to the RPM and the RPO. During the'preparation
of this package, the Contractor will simultaneously begin the physical project close-out.
This physical close-out of a work assignment will include the following activities at a
minimum:
•'. Compiling of project files:
f
• turning over all requested files (either in hard copy or microfiche format)
to the EPA;
• turning over any government owned equipment to the project inventory or
to the EPA Equipment Coordinator (if equipment was purchased with
work assignment funds); and .
• verifying that all appropriate site changes are being processed for inclu-
sion in the final invoice.
The RPM and the RPO will prepare the EPA Work Assignment Completion Report
(WACR) and forward to the EPA for review. Upon completion of their review, the PO will
make the appropriate award fee determination, and submit the package to the
Performance Evaluation Board (PEB) for review.
The PEB will deliberate and reach a decision on the award fee recommendation and
submit this decision to the EPA Contracts Authorizing Official. The Contracts Authorizing
Official will approve the award fee and notify the CO.
The CO will modify the existing contract through the issuance of a contract modification
authorizing the contractor to invoice for the award fee. The Contractor will then submit a
final invoice.
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LEVEL «
COMPLETION OF THE PROJECT
WAt COMPl F I ION
NOTIFICATION
SI AI ING PHOJtCT
IS C.OMPIEH IS
SIGNI (> BY RPO'RPM
AND SI Ml 1C) CO
wiiu A COPY 10 PO
c.o ISSUES si OP
WOHK ORDEII 10
CONTRACTOR AND
SUUMIIS COPIES
IO IIPOiHPM
ANO PO
CONTRACTOR PREPARES
AMARU f i E PAC:KAGE
WACR AND INVOICE
(EXCLUDES AWARD FEE
AND CIOSE OUI COSTS)
AND SENDS IO RPM/nPO
ANO PO CONTRACIOH At SO
BEGINS PHYSICAL PHOJECI
CIOSE OUI SIMUITANEOilSlY
HPM/HPO PRLPARES
I F'A WACR AND
FORWARDS TO EPA
fOH REVIEW
PO REVIEWS AWARD
FEE PACKAGES MAKES
DETERMINA1ION AND
SLIBMIIS 1ME PACKAGE
IO THE PEB
IHF PEB DELIBERATES .
AWARD FEE AND SUBMITS
DECISION TO THE
CONTRACTS AUTHORIZING
OIFICIAL
IHF CONTRACTS
AUIHOHIIING
Of HCIAl APPROVES
AWARD IEE
I'O Mf iniHtS CONIRACT
IHMOIIGH ISSUAN(.E
01 roNlRACI MOO TO
AUIHl>lll/t' I tit
r.ONinAc:iOR 10
INVOICE I OR I HE
AWARD f 11
CONTRACTOR
SUBMITS FINAL
INVOICE
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