SOW_Draft_3_12_2026_1.pdf

CERCLA ENFORCEMENT SUPPORT SERVICES

CONTRACT

DRAFT STATEMENT OF WORK

March, 2026

TABLE OF CONTENTS

INTRODUCTION AND BACKGROUND

PURPOSE

SCOPE

TECHNICAL REQUIREMENTS

TASK 1 POTENTIALLY RESPONSIBLE PARTY (PRP) SEARCHES

1.1 PRP NAME AND ADDRESS VERIFICATION, CORRESPONDENCE TRACKING, AND

TRANSACTIONAL REPORTS

1.2 DEVELOPMENT OF WASTE-IN LISTS, VOLUMETRIC RANKING REPORTS, AND WASTE-

IN TRANSACTIONAL REPORTS

1.3 CORPORATE/INDIVIDUAL RESEARCH AND FINANCIAL ASSESSMENTS

1.4 INVESTIGATIONS

1.5 TITLE SEARCHES

1.6 CERCLA § 106 GENERAL/SPECIAL NOTICE AND § 104(e) INFORMATION REQUEST

LETTER SUPPORT

1.7 PRP SEARCH REPORT

TASK 2 EXPEDITED PRP SEARCH SUPPORT

TASK 3 DOCUMENT/RECORD COLLECTION, GATHERING, AND COMPILATION ACTIVITIES

TASK 4 EXPEDITED GENERAL ENFORCEMENT SUPPORT

4.1 SERVICE OF PROCESS, DEPOSITIONS, LITIGATION, MEETINGS AND OTHER

DOCUMENTS

4.2 CERCLA LIENS, DEED RESTRICTIONS, FOIA, & OTHER DOCUMENT SUPPORT

TASK 5 NEGOTIATION, LITIGATION, EXPERT, & REFERRAL SUPPORT

TASK 6 QUARTERLY COST RECOVERY AND STATUTE OF LIMITATIONS STATUS REPORT

PREPARATION SUPPORT

TASK 7 COST RECOVERY SUPPORT

TASK 8 COMMUNITY INVOLVEMENT SUPPORT

8.1 PUBLIC MEETING SUPPORT

8.2 FACT SHEET PRODUCTION

8.3 PUBLIC NOTICES AND MAILINGS

8.4 COMMUNITY INVOLVEMENT PLANS, CONGRESSIONAL BRIEFING BOOKS, AND

GENERAL COMMUNITY INVOLVEMENT ADMINISTRATIVE SUPPORT

TASK 9 PROJECT MANAGEMENT, PLANNING, AND SUPPORT

CERCLA ENFORCEMENT SUPPORT SERVICES

CONTRACT

DRAFT STATEMENT OF WORK

INTRODUCTION AND BACKGROUND

The Western Regions CERCLA Enforcement Support Services (CESS) Contract Statement of Work (SOW) is issued as the successor to the existing CERCLA Enforcement Support (CES) Contract SOW. For enforcement support services provided pursuant to this SOW, the Contractor shall perform work in accordance with all environmental statutes as appropriate, specifically, the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) commonly known as “Superfund” enacted on December 11, 1980 and amended by the Superfund Amendments and Reauthorization Act (SARA) on October 17, 1986, as well as the Emergency Planning and Community Right-To-Know Act (EPCRA) of 1986, the Resource Conservation and Recovery Act (RCRA), the Toxic Substances Control Act (TSCA), the Clean Water Act (CWA), and the Clean Air Act (CAA), or successor statutes, rules, amendments, regulations, policies and guidance.

Successful completion of enforcement activities at Superfund sites requires close coordination of these activities in concert with other site events. The pace of enforcement activities is often dictated by removal actions, mandatory notice to Potentially Responsible Parties (PRPs), public comment periods, court proceedings, and statutes of limitation (SOLs). Each of the enforcement support activities listed in this SOW is interrelated with, and dependent upon, the others. Site complexities such as divisibility of harm, multiple operable units, and both cooperative and recalcitrant PRPs at the same site make it difficult to delineate the end of one enforcement activity and the beginning of another.

Enforcement should be considered an ongoing, and often iterative, process rather than a discrete event. Each activity has a direct bearing on the others, and successful performance of each activity is essential to the successful completion of all activities.

Therefore, in order to provide any of the activities below, the Contractor shall and must be capable of providing them all. Additional information and resources on EPAs Superfund Enforcement Program may be accessed at https://www.epa.gov/enforcement/superfund-enforcement.

Enforcement support under this contract will be provided to EPA Regions 7, 8, 9, and 10.

For the purpose of this SOW, the words “The Contractor” shall mean the firm ultimately selected under this procurement. Services shall be delivered in compliance with all applicable federal, state, and local laws, regulations, guidance and policies and will be adjusted to reflect those applicable laws, regulations, guidance, and policies which https://www.epa.gov/enforcement/superfund-enforcement https://www.epa.gov/enforcement/superfund-enforcement become effective after the effective date of the contract. A collection of federal environmental laws, regulations, and non-binding guidance documents may be accessed at https://www.epa.gov/laws-regulations.

The Contractor may access relevant laws, regulations, and policy documents for individual states and or/local jurisdictions at their respective web sites.

Analysis and/or recommendations provided by the Contractor to EPA under the contract, may be used by the Agency; however, a Contractor shall not make any decisions or assist in the development of policy documents for the Agency. The Contractor shall explain to outside parties, at the onset of communications, that they are “United States Environmental Protection Agency Contractors.”

All work conducted under this SOW must be performed consistent with EPA’s Quality System. Therefore, the Contractor shall develop a Quality Management Plan (QMP) and Quality Assurance Project Plan (QAPP). Guidance on developing the QMP and QAPP may be accessed at https://www.epa.gov/quality.

PURPOSE

This procurement is intended to obtain professional and technical support, products, and services to assist EPA staff involved in a wide range of various enforcement, negotiation, and litigation activities conducted on behalf of the American people. The Contractor shall assist EPA Regions 7, 8, 9, and 10 in their continuing efforts to identify and involve PRPs responsible for releases or threatened releases of hazardous substances, and involve them in EPA’s cleanup processes and activities, with the ultimate goal of reducing or eliminating threats to human health and the environment.

SCOPE

The scope of the Western Regions CESS Contract is for the provision of enforcement support as described in the Task Areas of this SOW including PRP search activities at all types of sites ranging from simple to complex, removal to remedial sites, and sites that have not yet been evaluated for potential placement on the National Priorities List (NPL).

While the SOW is organized by specific technical requirements, tasking may incorporate the overlapping of multiple technical requirements to provide enforcement support to EPA.

The Contractor shall submit all analyses, options, recommendations, reports and any other work products in draft form for review to the EPA Contracting Officer (CO), Contracting Officer Representative (COR), or Task Order Contracting Officer (TOCOR) prior to use or distribution. The government will make all final regulatory, policy, and https://www.epa.gov/laws-regulations https://www.epa.gov/quality interpretative decisions resulting from Contractor-provided advice and assistance under this SOW, as well as all final decisions regarding compliance determinations, or the existence or violation of, any order, law, regulation, etc.

The Contractor shall furnish all resources necessary to:

• Perform all work described in the Task Area of this SOW.

• Perform specific tasks assigned through Task Orders under this contract.

• Perform contract management functions and meet all other contract terms and conditions.

The Contractor shall furnish all resources including the necessary personnel, material, equipment, services, and facilities (except as otherwise specified) to perform the tasks identified in the SOW and to perform management functions including monthly and quarterly meetings with EPA representatives to review issues, problems, and performance.

Requirements for deliverables, their delivery schedule, and their acceptance criteria will be specified in applicable Task Orders.

As directed by EPA, the Contractor shall provide relevant information and provide suggestions regarding alternative approaches on technical issues. All information provided shall be supported by underlying analysis.

TECHNICAL REQUIREMENTS

• Expertise in conducting PRP Searches at sites of varying types and complexity, including mining sites, multiple generator sites, area-wide groundwater sites, etc.

• Ability to expedite commencement of assigned tasks, as necessary.

• Any written deliverable submitted under this contract shall:

1. Demonstrate proficiency and fluency in the English language (e.g., discussion of facts flows in a coherent and organized manner).

2. Demonstrate use of proper grammar (noun and verb tense correspond, etc.).

3. Be free of incomplete sentences and misspelled words.

The Contractor shall provide support services in accordance with the following four principal Superfund program guidance references, and any subsequently issued guidance which pertains to PRP search and related enforcement work:

1. PRP Search Manual, updated September 29, 2017, can be accessed at https://www.epa.gov/enforcement/prp-search-manual

2. Enforcement First for Remedial Action at Superfund Sites, issued September 20, 2002, can be accessed at https://www.epa.gov/enforcement/guidance-enforcement-first-remedial-action-superfund-sites https://www.epa.gov/enforcement/prp-search-manual https://www.epa.gov/enforcement/guidance-enforcement-first-remedial-action-superfund-sites https://www.epa.gov/enforcement/guidance-enforcement-first-remedial-action-superfund-sites

3. Final Guidance on Preparing Waste-In Lists and Volumetric Rankings for Release to Potentially Responsible Parties (PRPs) Under CERCLA (February 22, 1991) and A Streamlined Approach for Settlements With De Minimis Waste Contributors Under CERCLA § 122(g)(1)(A) (July 30, 1993) as described in the PRP Search Manual (September 29, 2017), Chapter 3, Section 3.8. A direct reference to that particular policy can be found at https://www.epa.gov/enforcement/guidance-preparing-waste-lists-and-volumetric-rankings-release-prps-waste-guidance

4. Elements of Liability Under § 104, 106, and 107 of CERCLA, U.S. Department of Justice, (current edition)

The Contractor is required to have Microsoft Teams video / visual conferencing capabilities for virtual meetings, virtual conferences, and virtual calls with EPA staff during the period of performance of this contract. The Microsoft Teams platform is the currently authorized video / visual conferencing capability in use at the EPA.

All deliverables, unless directed differently in the individual Task Order, shall be submitted electronically.

Tasking under the SOW will generate investigation-derived deliverables and communications that may contain the following categories of Controlled Unclassified Information (CUI) and EPA privileged information:

1. personally identifiable information (PII)

2. sensitive PII (SPII)

3. confidential business information (CBI)

4. enforcement confidential information

5. attorney work product (AWP) and/or

6. deliberative process product

All CUI and EPA privileged information shall be properly labeled.

The Contractor and all Subcontractors shall adhere to all federal government security regulations, policies, procedures, and guidance, and all subsequent revisions, updates, or modifications, including, but not limited to:

1. EPAAR 1552.211-79 Compliance with EPA policies for information resources management

2. FIPS 199: Standards for Security Categorization of Federal Information and Information Systems (February 2004)

3. NIST SP 800-60 Volumes 1 and 2 Revision 1: Guide for Mapping Types of Information and Information Systems to Security Categories (August 2008)

4. NIST SP 800-18 Revision 1: Guide for Developing Security Plans for Federal Information Systems (February 2006) https://www.epa.gov/enforcement/guidance-preparing-waste-lists-and-volumetric-rankings-release-prps-waste-guidance https://www.epa.gov/enforcement/guidance-preparing-waste-lists-and-volumetric-rankings-release-prps-waste-guidance

5. NIST SP 800-30 Revision 1: Guide for Conducting Risk Assessments (September 2012)

6. NIST SP 800-34 Revision 1: Contingency Planning Guide for Federal Information Systems (November 2010)

7. NIST SP 800-37 Revision 2: Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy (December 2018). Conduct independent control assessment annually on approximately 1/3 of controls

8. NIST SP 800-53 Revision 5: Security and Privacy Controls for Information Systems and Organizations (December 2020)

9. NIST SP 800-171 Revision 3: Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations (May 2024)

10. NIST SP 800-122: Guide to Protecting the Confidentiality of Personally Identifiable Information (PII) (April 2010)

11. OMB M-20-04, Fiscal Year 2019-2020 Guidance on Federal Information Security and Privacy Management Requirements (November 2019)

12. The Privacy Act of 1974, 5 U.S.C. § 552a, as amended

13. EPA Privacy Policy CIO 2151.1, applicable EPA rules and regulations

The Contractor and all Subcontractors shall implement all necessary processes and controls for the secure use, storage, management, and transmission of CUI and EPA privileged information, including specifically the following controls from NIST SP 800-53, Revision 5:

1. AC-17 Remote Access

2. MP-2 Media Access

3. MP-4 Media Storage

4. MP-5 Media Transport

5. SC-8 Transmission Confidentiality and Integrity

6. SC-28 Protection of Information at Rest

The Contractor and all Subcontractors shall operate consistent with EPA implementation and interpretation of the Privacy Act, guidance, and policy at all times.

Pursuant to EPA’s Privacy Policy, the Contractor and all Subcontractors who work on or in support of this contract are responsible for and shall immediately report, within one (1) hour, any suspected or known data breach of CUI as soon as the incident is discovered to the EPA Call Center at 1-866-411-4372. In addition, the Contractor and its Subcontractors shall immediately contact and inform, within that same one-hour period, the EPA Region 9 Contracting Officer, EPA Region 9 Contracting Officer Representative/Project Officer, EPA Region 9 Alternate Contracting Officer Representative/Project Officer, and EPA Region 9 Information Security Officer. The Contractor and all Subcontractors shall fully cooperate with Federal agency investigation, evaluation, and corrective action for all such security incidents.

PII, SPII, and CBI in any electronic format, e.g., Microsoft Excel, Adobe, etc., shall be encrypted at the file level while at rest and during transmission.

Transmission of CUI and privileged information between EPA and the Contractor shall occur, at the discretion and direction of the COR or TOCOR, via any or all of the following:

• Go Anywhere Enterprise File Transfer Service, an EPA-hosted Secure File Transfer Protocol (SFTP) site

• Microsoft SharePoint

• Microsoft OneDrive

• Microsoft Teams

• Encrypted FIPS 140-2, Level 3 compliant USB hard drive and/or

• Properly packaged and secured hard copy

Depending on investigation phase, exchange of CUI and privileged information may be necessary multiple times per week utilizing any or a combination of the six methods listed above on an ongoing basis over an indeterminate period. To access or use the SFTP, the Contractor shall abide by the “Rules of Behavior for Use of the Go Anywhere Enterprise File Transfer Service” document, dated October 18, 2017, or any subsequent revisions or updates. Individuals that have not read and agreed to the conditions listed in the Rules of Behavior document and signed and returned it will not be permitted to access or use the

SFTP.

Computer hard drives, including network and/or other servers, that store or contain CUI or privileged information shall be encrypted.

The Contractor shall control and limit access to CUI and privileged information and ensure that equipment and information are secured and safeguarded within their facility and when in transit. To the extent required to carry out a program of inspection to safeguard against threats and hazards to the security, integrity, and confidentiality of Government data, the Contractor will afford the Government access to the Contractor’s or other external organization’s facilities, installations, technical capabilities, operations, documentation, records, and databases. The Contractor will cooperate with Federal agencies and their officially credentialed representatives during official inspections or investigations concerning the protection of all categories of CUI and privileged information. Cooperation may include providing relevant documentation showing proof of compliance with federal and agency requirements and rendering other assistance as deemed necessary.

The following nine tasks may be required under the CESS contract:

TASK 1 POTENTIALLY RESPONSIBLE PARTY (PRP) SEARCHES

OVERVIEW

The purpose of a PRP search is to identify PRPs and gather evidence demonstrating liability for actions conducted under CERCLA. When appropriate, and as directed by EPA in a Task Order, the Contractor may be tasked with conducting PRP search activities with the PRPs and/or the PRPs’ Contractor(s) where the PRPs and EPA are coordinating search activities.

Enforcement in Superfund consists primarily of four steps:

1. Identification of PRPs who are or may be liable for performing or paying for response/remedial actions.

2. Notification of PRPs of their potential responsibility and liability.

3. Negotiation with PRPs to obtain their agreement to perform or pay for required response/remedial actions.

4. Issuance of Unilateral Administrative Orders to PRPs to require response/remedial actions, or litigation initiation for recovery of response/remedial costs, in instances when negotiations are unsuccessful.

These steps are ideally, but not always, performed sequentially, and should be considered interrelated and interdependent. The government may order all or selected components of a PRP Search. The Contractor may be required to perform any or all the Baseline Tasks and Specialized Tasks described in the September 2017 PRP Search Manual (Chapter 3, Section 3.10 for baseline tasks), leading to production of a PRP Search Report. PRP search activities include but are not limited to:

1.1 PRP NAME AND ADDRESS VERIFICATION, CORRESPONDENCE TRACKING,

AND TRANSACTIONAL REPORTS

• Maintain a current, up-to-date list of PRP names, addresses, and other contact information (e.g., phone number, email address, attorney’s name, attorney’s phone number, attorney’s email address, etc.) which will enable EPA to contact or serve enforcement-related correspondence. The Contractor shall verify the accuracy of the PRPs’ addresses prior to mailing any correspondence and shall notify the EPA TOCOR of any correspondence that is returned undeliverable.

• When required, the Contractor may be tasked to generate Address Verification Reports (AVRs) for specific PRPs that summarize and organize some or all the above information, their research methodology, and sources of information into standalone deliverables.

• Assist the Agency in the development of databases that track contact with PRPs, and transactional data related to individual PRPs.

• When required, the Contractor shall maintain a Correspondence Tracking System (CTS) that contains data extracted from PRP responses to EPA inquiries.

• When required, the Contractor shall prepare and deliver to the government a Transactional Report which shall consist of information extracted from written documents including, but not limited to, waste manifests, invoices and/or witness testimony to establish time frames, wastes or contaminated materials, individuals and/or facilities involved, and volumetric values.

1.2 DEVELOPMENT OF WASTE-IN LISTS, VOLUMETRIC RANKING REPORTS, AND

WASTE-IN TRANSACTIONAL REPORTS

• The Contractor shall develop and submit for TOCOR approval site-specific protocols to be applied during review of supporting documents and allocation of waste volume to PRPs.

• The Contractor shall develop, operate, and maintain an electronic database which contains information needed to produce Waste-in Lists, Volumetric Ranking Reports, and Waste-in Transactional Reports.

• The Contractor shall prepare and deliver to EPA an accurate inventory of wastes that were generated at, transported to, stored, and/or disposed of at a site in the form of a computer-generated list which includes volume and nature of hazardous substances contributed by each identified PRP, while also noting any weaknesses in the data.

• The report summarizes analyses performed to estimate volumes of hazardous waste attributable to PRPs including chemical processes, chemical fate, and waste modeling. The report presents stoichiometric calculations, analysis of material balances, and interpretation of process engineering data about manufacturing processes employed by PRP generators.

• The Waste-in List shall identify all clarifying assumptions made during compilation in accordance with Section 3.8 and related subsections of the September 2017 PRP Search Manual. The Waste-in List document summarizes analyses used to estimate hazardous waste volumes attributable to PRPs, including stoichiometric calculations, analysis of material balances, and interpretation of process-engineering data about manufacturing processes employed by PRP generators.

• The Volumetric Ranking conforms to the Contractor proposed, TOCOR-approved report format. The Volumetric Ranking Report created for release to PRPs satisfies all information-release requirements of CERCLA § 122(e)(1)(C).

• Databases developed under this subtask shall be functional and compatible with EPA hardware and software. The Contractor shall be prepared to assist EPA in installing databases (with edit capability) on EPA computers/laptops as designated by the COR, and provide training on use, if needed. Databases will be completed within the proscribed schedule detailed in the Task Order. Costs will be within the approved budget ceiling.

1.3 CORPORATE/INDIVIDUAL RESEARCH AND FINANCIAL ASSESSMENTS

Financial Reports shall generally: (a) summarize the financial issues being addressed; (b) list documents received and reviewed from EPA or from a third party (such as a PRP) that formed a basis for the financial analysis; (c) describe the methods of financial analysis used to arrive at recommendations; (d) identify relevant referenced EPA guidance documents and how they were applied in the analysis and recommendations; (e) explain policy or action alternatives, if any; and, (f) otherwise make clear the methods and considerations upon which recommendations are based. Tasks that may be performed under this task area include, but are not limited to, the below:

• Ability to Pay (ATP) Analysis of Individual PRPs: The Contractor shall analyze the ability of individual PRPs (including sole proprietors or business partners) to contribute to financing costs at a Superfund site. The Contractor will use individual tax returns, individual financial statements and other financial information provided by the PRP to EPA, as well as available public documents, to provide EPA with advice regarding the PRP’s ability to contribute to costs at the site.

• ATP Analysis of Business PRPs: The Contractor shall analyze the ability of business PRPs to contribute to financing costs at a Superfund site. The Contractor shall use Federal tax returns, business financial statements, and other financial information provided by the PRP to EPA. In addition, the Contractor shall use available public documents and other sources of business information, as applicable to the business PRPs, to provide EPA with advice regarding the PRP’s ability to contribute to costs at the site.

• ATP Analysis of Government Organizations PRPs: The Contractor shall analyze the ability of PRPs that are government organizations, such as municipalities, counties, state agencies or universities, to contribute to financing costs at a Superfund site.

The Contractor shall use financial statements and other financial information provided by the PRP to EPA, as well as available public documents, and shall apply principals of government finance to provide EPA with advice regarding the PRP’s ability to contribute to costs at the site.

• ATP Analysis of Non-Profit Organizations PRPs: The Contractor shall analyze the ability of PRPs that are non-profit organizations, either government or non-governmental, such as educational institutions, hospitals, and service organizations, to contribute to financing costs at a Superfund site. The Contractor shall use financial statements and other financial information provided by the PRP to EPA, as well as available public documents, and shall apply accounting principles applicable to non-profit organizations to provide EPA with advice regarding the PRP’s ability to contribute to response costs at the site.

• EPAs five penalty and financial models (e.g., ABEL, INDIPAY, etc.) can be accessed and downloaded at https://www.epa.gov/enforcement/penalty-and-financial-models. The Contractor shall utilize EPAs modeling software and any updates to make and support its analyses.

• Additional information and resources on ATP analysis can be accessed at https://www.epa.gov/enforcement/penalty-and-financial-models. EPAs General Policy on Superfund Ability to Pay Determinations, dated September 30, 1997 (or https://www.epa.gov/enforcement/penalty-and-financial-models https://www.epa.gov/enforcement/penalty-and-financial-models https://www.epa.gov/enforcement/penalty-and-financial-models most current version) and codified by PL 107-118 (HR 2869), enacted January 11, 2002, and called the Small Business Liability Relief and Brownfields Revitalization Act should also be referenced under this tasking, as well as any additional updates, revisions, or emergent guidance and policy developed by EPA.

• Financial Assurance Analysis: The Contractor shall review and analyze financial assurance documentation to assist EPA in evaluating a PRPs ability to fulfill or continue fulfilling financial obligations under Superfund settlements. The Contractor will advise EPA whether the economic assumptions used to calculate the value of the cost estimates are acceptable or unrealistic and whether the financial assurance documents satisfy EPA’s criteria for acceptability based on the requirements established by EPA site enforcement attorneys and EPA CERCLA financial assurance guidance. This tasking requires that the Contractor understand the six common financial assurance mechanisms typically accepted by EPA in connection with CERCLA settlement agreements and UAOs - Corporate Guarantee, Financial Test, Letter of Credit, Payment Bond, Performance Bond, and Trust Fund, as well as other less commonly accepted financial assurance mechanisms, including but not limited to, escrow accounts, certificates of deposit, and commitments to secure financial assurance upon asset sales.

• Additional information and resources on Financial Assurance in Superfund Settlements and Orders can be accessed at https://www.epa.gov/enforcement/financial-assurance-superfund-settlements-and-orders. EPAs Guidance on Financial Assurance in Superfund Settlement Agreements and Unilateral Administrative Orders, issued April 6, 2015, can be accessed at https://www.epa.gov/enforcement/guidance-financial-assurance-superfund-settlements-and-orders.

• Financial Analysis of Complex Corporate Organizations: The Contractor shall research and analyze the history and organizational structure of complex corporate organizations. The Contractor will use corporate Federal tax returns, available financial statements and other information provided by the PRP to EPA. In addition, the Contractor will use public documents and other available sources of business information. The Contractor will assist EPA in understanding the relationships among existing corporations and their potential liability for Superfund costs.

Analyses may focus on a variety of issues such as operation and control of a PRP by another person, ability of a person to undercapitalize a PRP, evaluation of fair market value of related-party transactions, ability of a PRP to limit or reduce its earnings for benefit of a different person, and ability of a PRP to transfer an investment or other asset to an entity that may not be subject to CERCLA authority.

• Corporate Research: The Contractor shall provide support to EPA in analyzing information obtained in this and other tasks to determine whether a PRP identified from historical records still exists, and for business entities, whether a successor as defined by statute and common law, exists for the historical PRP(s). Such support shall include, but not be limited to, obtaining copies of certificates of name changes, mergers, Securities and Exchange Commission filings, Secretary of State filings, asset purchase agreements, merger agreements, and other relevant case https://www.epa.gov/enforcement/financial-assurance-superfund-settlements-and-orders https://www.epa.gov/enforcement/financial-assurance-superfund-settlements-and-orders https://www.epa.gov/enforcement/guidance-financial-assurance-superfund-settlements-and-orders https://www.epa.gov/enforcement/guidance-financial-assurance-superfund-settlements-and-orders development documents and providing document synopses or summaries, tailored to the tests established by statute and common law for determining a successor relationship.

• Financial assessment: The Contractor shall provide support to EPA, when tasked by the TOCOR, by developing pro forma balance sheets, cash flow statements, and income statements; reviewing and analyzing financial statements, accounting and tax records, and other relevant information; calculating financial ratios; analyzing trends from year to year; assessing future viability of responsible parties; assessing risk to EPA in accepting installment or deferred payments; performing economic trends analyses of selected businesses and the business sector to which the responsible parties belong; and providing experienced, expert opinions.

• Review Compliance with Superfund Settlements and Orders: If required, the Contractor shall assist EPA in reviewing compliance with Superfund settlements and orders involving financial issues, including financial assurance. Compliance reviews may include assisting EPA to calculate economic benefit derived by liable parties from non-compliance with CERCLA requirements.

• Develop and Test Financial Analysis Tools: The Contractor may be tasked to work with the Office of Site Remediation Enforcement (OSRE) and Regional enforcement teams to develop and test financial analysis tools, e.g., spreadsheets, and databases, in the context of providing expert financial analysis support.

• Provide Real and Personal Property Appraisals: The Contractor shall arrange for or provide real and personal property appraisals, as requested by the TOCOR, by a licensed, certified individual. This tasking may require an individual qualified to perform contaminated property appraisals.

• Provide Property Surveys: The Contractor shall arrange for or provide property surveys, as requested by the TOCOR, by a licensed, certified surveyor.

• The Contractor shall assist EPA in drafting, mailing, tracking, reviewing, and analyzing correspondence and PRP responses in support of this task area.

• The Contractor shall support EPA in obtaining documentation in order to verify information and substantiate claims submitted by PRPs related to this task area.

1.4 INVESTIGATIONS

PRP searches require the ability to obtain and develop information from sources and parties not known at the outset of the search. Therefore, it is essential for the Contractor to have experienced personnel available, either on staff or through contract, with demonstrated success in planning, organizing, and conducting investigations and securing information and cooperation from a variety of people, some of whom may be uncooperative or hostile. The Contractor may be required to work independently or to work concurrently with other parties, including PRPs and their contractors. If private investigators are utilized by the Contractor, licensed private investigators shall be used in those states where licensing is a requirement.

When conducting investigation(s), the Contractor shall apply and be governed by:

• CO approved Task Order pricing quote

• Written technical direction from the TOCOR, that is approved by the CO

• Evidence custody and admissibility rules (e.g., collection, chain of custody, credibility, and admissibility) and

• The scope, application and specific provisions of CERCLA § 104(e) relating to the investigative jurisdiction of EPA

Tasks performed under this task area may include, but are not limited to:

• Trace individuals and businesses, locate assets, and develop leads to relevant records and document collections.

• Identify discrepancies or inconsistencies in information received and develop strategies to resolve significant discrepancies.

• Prepare investigative activity reports that are accurate, concise, thorough, logically organized, and objective.

• Prepare lists of recommended individuals (e.g., former employees, etc.) to be interviewed by EPA and/or the Contractor. Lists shall include name, title, and current or last known address, and telephone numbers for all persons named. Lists shall indicate relevant knowledge the individual is expected to provide, as well as recommended questions to be asked of the individual.

• Conduct interviews, or provide support when EPA conducts interviews, with governmental officials, witnesses, and other knowledgeable persons. The Contractor shall identify witnesses whose testimony, due to the age or infirmity of the witness, should be preserved by audio or audiovisual recording. At written direction of the TOCOR, and with prior expressed knowledge and permission of the interviewee, the Contractor shall record by audio or audiovisual means selected interviews. The Contractor shall prepare a Memorandum of Interview, as a deliverable, to document the interview, summarizing information and/or documents acquired. The Contractor may also be assigned to prepare a detailed summary of information provided by the interviewee (including all opinions, comments and statements of the interviewee, whether believed to be erroneous), and statements of interviews which the interviewee may be asked to review, authenticate, and sign.

The deliverables shall demonstrate that the Contractor has conducted interviews in accordance with proper interview standards set forth in applicable federal and state rules of evidence and relevant interpretive case law concerning collection, chain of custody, credibility, and admissibility.

• Transcribe, or arrange for transcription, interview audio or audiovisual recordings, producing accurate and complete written transcripts.

• Submit the original interview audio or audiovisual recordings or provide copies depending on the recording media/format, to the TOCOR with appropriate labeling and documentation in preparation for submission to the Regional Records Center.

• Identify EPA, state and local government officials and interview them in order to obtain information on: (1) the existence of relevant documents such as site records, permits, and clean-up orders, hauler’s licenses, business licenses, landfill permits, zoning permits, building permits, zoning ordinances, and compliance history; and,

(2) the names of individuals who may be knowledgeable about the site (e.g., current and former site employees who may have information regarding site operations). If directed to do so by the TOCOR, the Contractor shall interview private individuals regarding site history and operations.

• Provide translation services for both written and recorded material and provide professional contemporaneous translation support for activities such as interviews, depositions, meetings, etc. Language support needs may include, but not be limited to, Spanish, Chinese (Cantonese or Mandarin), Tagalog, Vietnamese, Arabic, and sign language. Support for other languages may be necessary and will be assigned at the direction of the TOCOR. Such capability may be provided by multilingual Contractor personnel or may be subcontracted.

• Provide testimony regarding PRP search activities conducted by the Contractor in support of EPA’s enforcement actions.

• Analyze and organize information obtained during PRP Search activities in accordance with the rules of evidence, CERCLA elements of liability, and applicable case law. The Contractor shall be tasked per individual task orders to provide written summaries of information gathered during PRP searches in the form of Evidence Assessment Summary (EAS) Reports, Facility Summary Sheets (FSS) Reports, Liability Analysis Reports (LAR), etc. and shall include analyses of information for evidentiary value, strength, and potential admissibility.

• Recommend, in writing, the classification of each “person” [as defined by CERCLA § 101(e)(21)] or entity identified during research into appropriate PRP categories for EPA consideration and approval under CERCLA § 107(a).

• The Contractor possesses sufficient Geographic Information System (GIS) and mapping capabilities to produce maps, overlays, figures, and diagrams, as directed by the TOCOR, to support this and other task areas.

• Deliverables demonstrate that the Contractor conducted investigations in accordance with: (a) proper investigative standards set forth in applicable federal and state rules of evidence and relevant interpretive case law concerning collection, chains-of-custody, credibility, and admissibility; and (b) scope, application, and specific provisions of CERCLA § 104(e) relating to the investigative jurisdiction of EPA.

1.5 TITLE SEARCHES

Provide the government with site owner, lessee, and/or operator information that will assist in issuance of CERCLA § 106 Notice Letters. The Contractor shall conduct title searches by identifying and obtaining copies of relevant title documents from city, county, or state offices, or other designated sources. Title searches shall identify current and past owners of properties identified by the TOCOR. Title searches generally address the entire time period in which hazardous substances were disposed, beginning with initiation of commercial activity (if known) to the present. Otherwise, the search shall address a time frame established by the TOCOR.

Tasks that may be performed under this task area include, but are not limited to the following:

• Review all relevant title documents pertinent to the property identified by EPA.

Relevant title documents include deeds, mortgages, deeds of trust, liens, leases, mining claims, mining patents, right-of-way easements and any other documents which establish an ownership or possessory interest in or an encumbrance upon the property. The Contractor shall locate Superfund sites on county parcel maps as well as review metes and bounds legal descriptions to determine whether a parcel is part of a site.

• Analyze the contents of documents located, including leases, for information which will aid EPA in identifying and issuing notice to owners and operators, as defined in CERCLA § 107(a).

• Provide copies of relevant County Assessor parcel maps, and title documents, either certified true copies or regular photo or scanned copies, as directed by the

TOCOR.

• Analyze title records and develop chain of title, title abstracts, or lessee information summaries as directed by the TOCOR.

• Develop a graphic presentation (“title tree”) of the title information as part of its deliverable to aid in representing the chain of title.

• Develop parcel maps as directed, plotting out each parcel using current legal descriptions from recorded title documents and utilizing GIS or other software technology. To the extent that the plotted legal descriptions do not match closely with the dimensions of the parcels as identified on the most recent County Assessor Parcel map(s), the Contractor shall immediately alert the TOCOR and advise them as to the extent of the discrepancies. Unless directed otherwise, the Contractor shall attempt to determine the basis for the discrepancies and rectify the discrepancies on the Contractor- generated map (such as by obtaining and plotting additional recorded documents). Any unresolved discrepancies shall be noted in the Contractor’s report deliverable.

• The Contractor possesses sufficient GIS and mapping capabilities, including the creation of maps and overlays that help identify parcel boundaries and site topography.

• Provide preliminary title reports establishing current ownership within thirty (30) days of initiating a title search.

• Prepare site parcel overlays onto aerial photography and provide other mapping services.

• Conduct lessee/operator searches.

• Provide both “spotted” and cadastral surveys to support title searches and other activities, as required by EPA.

• For mine sites, the report shall summarize the history of patented and unpatented mining claims, including an alphabetical list and copies of relevant documents including: (1) Bureau of Land Management Documents (master title plats, use plats, historical indexes, mining claim indexes, serial register pages, case files, survey plats, individual control documents, such as patents, public land orders, secretarial orders, and survey notes); (2) Minerals Management Service Documents; (3) Uniform Commercial Code Filings; and, (4) County Records (deeds, assignments, mortgages, assessment work for unpatented mining claims, land valuation and appraisal data, ownership plats, tract or abstract indexes, grantor/grantee indexes, mortgagor/mortgagee indexes, and miscellaneous indexes that may contain information on leases, judgments, liens, encumbrances, royalty agreements, UCC filings, and zoning).

1.6 CERCLA § 106 GENERAL/SPECIAL NOTICE AND § 104(e) INFORMATION

REQUEST LETTER SUPPORT

Provide formal notification to PRPs of potential site liability and request information from persons or companies with knowledge about site operations and hazardous substance management practices at a site. In addition, request information related to a PRPs ability to pay (ATP) for/to conduct cleanup of a site or financial assurance documentation that the PRP will fulfill or continue fulfilling financial obligations under Superfund settlements.

Tasks that may be performed under this task area include, but are not limited to, the following:

• Provide administrative and technical support in preparation and mailing of CERCLA § 104(e) Information Request Letters, Supplemental CERCLA § 104(e) Information Request Letters, General Notice Letters, Special Notice Letters, and combination 104(e) Information Request/General Notice Letters, as defined in CERCLA § 122 and other enforcement related correspondence. Support may include preparation of routine administrative-type letters (non-decision making) based on a model or template provided by EPA.

• Collect and compile PRP responses to Information Request letters and provide EPA a written summary and analysis of the responses (“Completeness Review”), integrating the findings into other deliverables, e.g., EAS, etc., as directed by the TOCOR, and ultimately the PRP Search Report.

• As directed, compile, review, and prepare background summaries supporting enforcement referrals to the Department of Justice.

• Develop, maintain, and operate a database to track correspondence mailings to PRPs and receipt of responses, including but not limited to, 104(e) Information Request Letters and Notice Letters as directed by the TOCOR.

• PRP information and lists shall be maintained in a format that allows easy electronic transfer to EPA’s Superfund Enterprise Management System (SEMS) database as directed by the TOCOR.

1.7 PRP SEARCH REPORT

Organize the information collected during the PRP search described above into a PRP Search Report.

Tasks that may be performed under this task area include, but are not limited to, the following:

• Deliver to EPA a PRP Search Report which contains comprehensive evidentiary information on PRPs.

• The PRP Search Report conforms to the format and content standards outlined in the September 2017 PRP Search Manual. Supporting documents cited in the report are identified correctly in accordance with the information management requirements of the SOW.

• The report demonstrates that the Contractor supported EPA in conducting the PRP search in accordance with proper investigative standards, consonant with applicable Federal and State rules of evidence and relevant interpretive case law concerning collection, chains-of-custody, credibility, and admissibility.

• The Contractor possesses sufficient GIS and mapping capabilities to produce maps as directed by the TOCOR to be included in the PRP Search Report.

TASK 2 EXPEDITED PRP SEARCH SUPPORT

Provide PRP search support on an expedited basis. These assignments are usually of short duration and of lesser monetary value. They require an expedited turnaround time of under 48 hours or less in mobilization of Contractor efforts and submission of complete work product deliverables

Tasks that may be performed under this task area include, but are not limited to the following:

• The Contractor shall be capable of providing, when ordered, all PRP search support activities in an expedited manner, which may include, but not be limited to: records collection, title searches, interviews, corporate research, financial research, assessment of PRPs, filing liens, service of documents, notice letter preparation, financial information collection and analysis relating to individual or corporation ATP assessments, and EAS preparation.

• Identify available personnel with Level C health and safety training and necessary equipment, in accordance with OSHA requirements found in 29 CFR 1910.120, in order to respond on a contingency basis. The Contractor shall ensure that the relevant staff maintain any necessary certifications and associated monitoring required to meet OSHA and EPA health and safety requirements.

• The Contractor shall have in place streamlined procedures for health and safety planning, conflict of interest certification, and quality assurance.

• The Contractor shall maintain a site-specific log on expedited search tasks for review by EPA. This log shall include the date of notification, the date deliverables were completed, and the cost of the expedited PRP search work.

TASK 3 DOCUMENT/RECORD COLLECTION, GATHERING, AND

COMPILATION ACTIVITIES

Document Management and Control In accordance with the September 2017 PRP Search Manual, preliminary information gathering PRP search tasks generally include interviewing government officials and private parties, records collection activities, conducting industrial surveys, and developing site histories. The Contractor shall also develop sources of information tailored to the needs of specific PRP searches. The Contractor shall, when conducting record searches, interview record custodians to obtain an understanding of the uses and manner in which documents are or were received, created, processed, stored, preserved, and destroyed. The information obtained during this phase will be used to produce a written history of the site.

As these searches will require the Contractor to review records from a variety of sources, including archives and highly specialized collections, the Contractor shall have knowledge of records management practices and library science principles.

Tasks shall include, but not be limited to:

• Providing general records management support services.

• Establishing and operating document support centers for selected Superfund cases. Associated tasks may include developing a computer-based information management system for organizing and controlling document files and for summarizing case-specific information contained in the documents.

• Converting paper source documents to an electronic, scanned with optical character recognition (OCR), format that can be saved, stored, managed, and transmitted electronically including via optical disk media. This includes creation of index materials, maintenance of conversion schedules, and quality control evaluation of delivered products to ensure compliance with EPA and contract specifications.

• Obtaining copies of EPA, federal, state and local government documents, as well as documents located at the site or at offsite storage locations, that provide relevant information on activities that have taken place at the site. To ensure comprehensive review of business records pertaining to potential liability under CERCLA § 107(a), and to document the PRP’s volumetric contribution and ability to pay, knowledge of records maintained in the ordinary course of business and knowledge of documents kept in accordance with environmental regulations is required of the Contractor.

Such documents may include manifests (including Uniform Hazardous Waste Manifests), business plans, gate logs, records of accounts receivable and payable, purchase orders, invoices, and bills of lading, in addition to financial records and statements, including balance sheets, income statements, cash flow statements, ledgers, and journals.

• Maintaining ability to photocopy and scan documents with OCR, often at remote locations consistent with EPA guidance on reproduction of documents.

• Assessing and providing a written recommendation as to whether site records to be reviewed are, or are likely to be, contaminated by hazardous wastes. The Contractor shall have the capability to handle contaminated documents, and to safely transport and/or store such records should the situation arise. The Contractor shall undertake all appropriate measures to protect the health and well-being of its employees in these situations, including training in the proper safe handling and transport/storage of contaminated records.

• Documenting record collection activities in PRP Search Reports, including information on contacts, records availability, and leads, consistent with the September 2017 PRP Search Manual.

• Preparing profiles of industries and businesses that are currently…