&EPA
United States
Environmental Protection
Agency
Superfund
Office of Emergency and
Remedial Response
Washington DC 20460
EPA/540/G-90/001
April 1990
Guidance on EPA
Oversight of Remedial
Designs and Remedial
Actions Performed by
Potentially Responsible
Parties
Interim Final
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EPA/540/G-90/001
OSWER Directive 9355.5-01
April 1990
Guidance on EPA Oversight of Remedial
Designs and Remedial Actions Performed
by Potentially Responsible Parties
Interim Final
Office of Solid Waste and Emergency Response
U.S. Environmental Protection Agency
Washington, DC 20460
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11
Notice
Development of this document was done by the Environmental
Protection Agency (EPA). It has been subjected to the Agency's
review process and approved for publication as an EPA document.
The guidance and procedures set out in this document are
intended solely for the guidance of EPA Superfund remediation
personnel. They are not intended, nor can they be relied upon, to
create any rights, substantive or procedural, enforceable by any
party in litigation with the United States. The Agency reserves
the right to act at variance with these policies and procedures and
to change them at any time without public notice.
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Ill
Foreword
This Interim Final Guidance on EPA Oversight of Remedial
Designs and Remedial Actions Performed bv Potentially Responsible
Parties was issued in order to ensure that selected remedies being
conducted are protective of public health and the environment, and
that the Remedial Actions are in compliance with the applicable
performance standards. It provides guidance for oversight when EPA
is the lead agency on a project in which a Potentially Responsible
Party conducts the Remedial Design and Remedial Action.
This guidance does not cover projects when the Remedial Design
and Remedial Action is performed with Superfund monies in which the
EPA or the State is the lead agency. This will be the subject of
future guidance documents.
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IV
Acknowledgments
This document was developed by EPA's Office of Emergency and
Remedial Response (OERR). EPA co-project managers for the
development of this guidance were:
Christine Bel ing EPA, HSCD
Michael Peterson EPA, HSCD
The following Regional, Headquarters, and US Army Corps of
Engineers (USAGE) individuals contributed by participating as
members of the initial peer review work group:
Ira Leighton EPA, Region I
Laura Boornazian EPA, Region III
Cindy Nolan EPA, Region V
Brad Bradley EPAf Region V
Loren McPhillips EPA, Region X
Russel Wyer EPA, HSCD
Ken Ayers EPA HSCD
Sandra Connors EPA' OECM
Pat Winfrey EPA/ OECM
Patty Bubar EPA, OWPE
Ross Natoli EPA, OWPE
Jack Mahon USAGE
Noel Urban USAGE
Edward Watling USAGE
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V
Table of Contents
Page
Notice i:L
Foreword 11:L
Acknowledgments 1V
Table of Contents v
List of Figures viii
Acronyms Used in This Guidance ix
Executive Summary x
CHAPTER 1 INTRODUCTION
1.1 Purpose of This Guidance 1-1
1.2 Overview of This Guidance 1-1
CHAPTER 2 ROLES AND RESPONSIBILITIES
2.1 Potentially Responsible Parties 2-2
2.1.1 Remedial Design Professional 2-2
2.1.2 Remedial Action Constructor 2-4
2.1.3 Independent Quality Assurance Team 2-5
2.2 Environmental Protection Agency 2-6
2.2.1 Remedial Project Manager 2-6
2.2.2 Oversight Official 2-7
CHAPTER 3 MODEL SETTLEMENT AGREEMENT FOR REMEDIAL DESIGN/ACTION
3.1 Introduction 3-1
3.2 Settlement Agreement Provisions 3-2
3.2.1 Introductory Sections 3-2
3.2.2 General Provisions 3-2
3.2.3 Remedial Design 3-3
3.2.4 Remedial Action 3-4
3.2.5 Quality Assurance 3-4
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VI
Table of Contents (continued)
3.2.6 Reporting Requirements 3-5
3.2.7 Endangerment and Emergency Response . . . .3-6
3.2.8 Certificate of Completion 3-6
3.2-9 Other Conditions and Requirements 3-6
3.2.10 Concluding Sections 3-7
CHAPTER 4 REMEDIAL DESIGN OVERSIGHT
4.1 Standard Remedial Design Tasks 4-1
4.1.1 Design Investigation 4-3
4.1.2 Design Support 4-3
4.1.3 Plans and Specifications 4-4
4.1.4 Construction Cost Estimate '. 4-4
4.1.5 Construction Schedule [ 4-4
4.2 Remedial Design Review 4-4
4.2.1 Review of Remedial Design Professional
Qualifications 4-5
4.2.2 Review of Remedial Design Work Plan . . ! ! 4-5
4.2.3 Preliminary Design Review 4-6
4.2.4 Intermediate Design Review 4-8
4.2.5 Pre-Final/Final Design Review 4-8
4.3 Community Relations 4_9
CHAPTER 5 REMEDIAL ACTION OVERSIGHT
5.1 Remedial Action Reviews 5-1
5.1.1 Review of Remedial Action Work Plan .... 5-3
5.1.2 Review of Remedial Action Constructor
Qualifications 5-4
5.1.3 Independent Quality Assurance Team
Qualifications 5_4
5.1.4 Construction Quality Assurance and
Control Plans 5_5
5.2
Pre-Construction Conference 5-6
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Vll
Table of Contents (continued)
Page
5.3 Remedial Action Implementation 5-7
5.3.1 Remedial Project Manager . . . 5-7
5.3.2 Independent Quality Assurance Team 5-9
5.3.3 Oversight Official 5~10
5.4 Immediate Danger and Emergency Response . . . . 5-11
5.5 Pre-Final/Final Inspection 5-12
5.6 Project Closeout Report . 5-12
APPENDIX A CONSTRUCTION QUALITY ASSURANCE PROGRAM A-l
A.I Introduction A~1
A.2 Construction Quality Assurance Plan A-l
APPENDIX B CONTINGENCY PLAN B~1
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Figure
Number
viii
List of Figures
Figure Title
Page
2-1 Relationships Among Parties When RD/RA is
Performed by a PRP
3-1 Pre-Design Planning Phase
4-1 Critical Review Steps in Remedial Design Oversight
5-1 Critical Review Steps in Remedial Action Oversight
. 2-1
. 3-1
. 4-2
. 5-2
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ARAR
ARCS
CERCLA
EPA
FSP
HSCD
OECM
OERR
O&M
OSWER
OWPE
PRP
QA
QC
RA
RD
RD/RA
RI/FS
ROD
RPM
SARA
USAGE
IX
Acronyms Used in This Guidance
Applicable or Relevant and Appropriate Requirement
Alternative Remedial Contracting Strategy
Comprehensive Environmental Response, Compensation,
and Liability Act of 1980
Environmental Protection Agency
Field Sampling Plan
Hazardous Site Control Division
Office of Enforcement and Compliance Monitoring
Office of Emergency and Remedial Response
Operation and Maintenance
Office of Solid Waste and Emergency Response
Office of Waste Programs Enforcement
Potentially Responsible Party
Quality Assurance
Quality Control
Remedial Action
Remedial Design
Remedial Design and Remedial Action
Remedial Investigation/Feasibility Study
Record of Decision
Remedial Project Manager
Superfund Amendments and Reauthorization Act of 1986
US Army Corps of Engineers
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X
Executive Summary
This document presents the Environmental Protection Agency's
(EPA) guidance for oversight by Remedial Project Managers (RPMs)
on enforcement lead projects in which a Potentially Responsible
Party (PRP) conducts the Remedial Design and Remedial Action. The
objectives of PRP oversight are to ensure that selected remedies
being conducted by the PRP are protective of public health and the
environment, and that the Remedial Actions are in compliance with
the Settlement Agreement. The Hazardous Site Control Division
within EPA has developed a focused approach to PRP oversight that
assists RPMs in concentrating their efforts on the most significant
aspects of the projects.
The successful implementation of the focused approach consists
of two steps. First, the RPM must focus on certain key documents
developed throughout the design and construction of the remedy such
as the Remedial Design and Remedial Action Work Plans, project
schedules, preliminary design, final design, Construction Quality
Assurance and Quality Control Plans, and the Contingency Plan. The
second step in the focused approach is the utilization by the RPMs
of an Independent Quality Assurance Team during construction. The
impact of the focused approach is to allow RPMs to utilize their
oversight activities in a more efficient manner, enabling them to
more effectively monitor PRP activities. The ultimate goal of PRP
oversight is to hold PRPs responsible and accountable for the
Remedial Actions.
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CHAPTER 1
INTRODUCTION
1.1 PURPOSE OP THIS GUIDANCE
When a Potentially Responsible Party (PRP) elects to conduct
the Remedial Design and Remedial Action (RD/RA) activities at a
Superfund site, they must do so in accordance with the terms of
the negotiated Settlement Agreement (either an administrative order
on consent or a judicial consent decree) per Section 122 of the
Comprehensive Environmental Response, Compensation, and Liability
Act of 1980 (CERCLA), as amended by the Superfund Amendments and
Reauthorization Act of 1986 (SARA). Subsequently, PRPs and their
agents are responsible for the adequacy of the design and the
implementation of remedies specified. During an enforcement lead
cleanup, the primary function of the Environmental Protection
Agency (EPA) is to ensure PRPs comply with all applicable laws,
regulations, and requirements, and meet all performance standards
specified in the Settlement Agreement. The purpose of this
guidance is to provide an overview of the general sequence of
events that occur during a PRP conducted RD/RA. It also provides
guidance on the specific roles and responsibilities of the EPA
Remedial Project Manager (RPM) and the Oversight Official.
1.2 OVERVIEW OF THIS GUIDANCE
EPA has two objectives for overseeing PRP conducted RD/RAs on
enforcement lead cleanups:
Ensure the remedies are protective of public health
and the environment throughout the life of the
proj ect; and
Ensure the Remedial Action (RA) is implemented in
compliance with the terms of the Settlement
Agreement.
The intent of the oversight program is to focus EPA efforts
on the most significant aspects of the project, such as overall
quality assurance (QA), scheduling, major changes due to changed
field conditions, emergency actions, and project close out. EPA
must use a high level of oversight at the onset of the Remedial
Design (RD) and again when the Remedial Action is initiated. The
amount of oversight effort may be increased or decreased over time,
depending on the capabilities of the PRPs1 design and construction
teams, the implementation of a construction quality assurance
program, the nature of the technology selected, and the provisions
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of the Settlement Agreement. The oversight must always be
structured so the PRPs, not EPA, remain legally responsible and
accountable for the success of the response action.
The reason for allowing PRPs to conduct RD/RA is to place the
responsibility for cleanup of hazardous waste disposal sites on
those who generated the wastes, and those who owned or operated the
sxtes. This enforcement approach not only conserves Fund
resources, it also frees EPA personnel to work on other sites. To
maximize the benefit of PRPs conducting the RD/RA, yet ensure
compliance with the Settlement Agreement and protection of health
and the environment, this guidance outlines a focused approach to
oversight. EPA approval authorities and monitoring focus on
certain key documents and activities performed during the design
and construction of the remedy.
^A second aspect of the focused approach is to formalize the
requirement for PRPs to implement a construction quality assurance
program. This is consistent with standard industry construction
practice. In addition to reducing the duplication of quality
assurance activities, this will maintain the burden of quality
assurance accountability with the PRP.
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CHAPTER 2
ROLES AND RESPONSIBILITIES
This chapter presents a summary of the general roles and
responsibilities of the Potentially Responsible Party(s) and the
EPA when implementing the RD/RA on an enforcement lead site.
Because each Superfund site and RD/RA is unique, there are other
acceptable variations of the PRP organizational structure in
addition to those presented in this section. Regardless of the PRP
organizational structure, however, it is the ultimate
responsibility of the PRP to successfully implement the remedy
under the terms of the Settlement Agreement.
Figure 2-1 presents a simple organizational chart illustrating
the relationships in an enforcement lead project in which the PRP
conducts the RD/RA. There are a number of organizations that could
be used for conducting the work, and the best approach will depend
on the experience and preference of the PRPs.
FIGURE 2-1
RELATIONSHIPS AMONG PARTIES WHEN RD/RA IS PERFORMED BY A PRP
EPA
OVERSIGHT
OFFICIAL(s)
REPORTING RELATIONSHIP
LINES OF COMMUNICATION
INDEPENDENT
QUALITY
ASSURANCE
TEAM
REMEDIAL
ACTION
CONSTRUCTOR
REMEDIAL
DESIGN
PROFESSIONAL
A "reporting relationship" is defined as a direct line
responsibility in which one party, as an agent of the other or as
a legal requirement, is compelled to report the results of their
work or observations. The PRP has a "reporting relationship" with
the EPA as a condition of the Settlement Agreement, while agents
and contractors hired by the PRP have a similar type of association
with the PRP. Where "lines of communication" are indicated in
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Figure 2-1, it implies that an information exchange is highly
desirable between parties. Such an exchange is usually necessary
for a successful implementation of a remedy, however, there is no
legal requirement for such communication.
The PRPs are legally responsible for the adequacy of the
design and the implementation of remedies specified in the
Settlement Agreement. After ensuring the public health and
environment are protected, EPA's primary goal is to confirm the
PRPs meet all performance standards specified in the Settlement
Agreement. This guidance introduces the concept of using an
"Independent Quality Assurance Team" to ensure compliance and
provide unbiased quality assurance monitoring of the Remedial
Action. The following sections discuss the specific roles and
responsibilities of the PRP and EPA in the implementation of an
enforcement lead project where the PRP does the RD/RA.
2.1 POTENTIALLY RESPONSIBLE PARTIES
The PRPs are legally responsible for complete site remediation
as specified in the Settlement Agreement. All work is done under
the PRP's control and they are responsible for the long term
performance of the remedy. EPA monitors compliance. The PRPs
provide the necessary input to effect site remediation, whether
done with "in-house" resources, or through the use of hired
contractors and subcontractors. PRP responsibilities are
apportioned among the Remedial Design Professional, the Remedial
Action Constructor, and the Independent Quality Assurance Team.
In an enforcement lead RD/RA, the following roles and
responsibilities fall under the direction of the PRP. The purpose
of the descriptions is to provide a typical view of the design and
construction process. Much of this discussion is based upon the
American Society of Civil Engineers' publication entitled Quality
in the Constructed Pro-iect; A Guideline for Owners. Designers and
Constructors, Volume 1, Preliminary Edition for Trial Use and
Comment, May 1988. Please refer to this publication for further
information.
2.1.1 Remedial Design Professional
The primary function of the Remedial Design Professional, or
design_ engineer, is to provide the PRP with a set of plans and
specifications for the proposed remediation which meets the
requirements and is within budget and on schedule. The Remedial
Design Professional may be an employee of the PRP or may be a
private consulting entity retained under a contractual relationship
with the PRP. Unless the Remedial Design Professional has a large
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and experienced staff, many projects are sufficiently complex to
require the design team to be supplemented with additional
capabilities, i.e., geotechnical, electrical, mechanical or
structural engineers, field surveyors, or other specialized skills.
This may be done by subcontracting with the Remedial Design
Professional or some of these specialists may contract directly
with the PRP. Tasks which the Remedial Design Professional may be
responsible to perform include the following:
Evaluate and interpret data generated in the
planning phase, such as treatability data and
geotechnical investigations;
Collect and evaluate additional data required for
the design phase;
Provide a complete engineered design of the Remedial
Action to be constructed, i.e., plans and
specifications;
Identify and obtain easements, permits, and
approvals necessary for the RD/RA;
Identify critical technical requirements and
activities where quality may be at risk;
Provide and review key documents concerning
compliance with design requirements; and
Update plan and specification changes during
construction.
In addition to the above responsibilities, the Remedial Design
Professional will usually be required to provide a Resident
Engineer to act as the PRP's agent on the site during construction.
In some situations the Resident Engineer may be hired directly by
the PRP. In either case, this person is one of the most critical
in establishing and maintaining construction quality on the site.
Typically the Resident Engineer is required to:
Review progress
schedules;
and shop-drawing submittal
Serve as the PRP and Remedial Design Professional's
liaison with the Remedial Action Constructor/-
Maintain, at the site, orderly files of all job
records;
Log shop drawings and samples;
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Reylew work performed, disapprove defective work,
and verify that test and start-up procedures are
accomplished;
Accompany PRP personnel and inspectors, and other
agency personnel with a jurisdictional interest,
during site visits;
Prepare periodic progress reports, make
recommendations concerning major inspections and
tests, draft change orders, field orders, and work
directive changes;
Conduct the pre-final and final inspection of
completed work with PRP, Remedial Action
Constructor, EPA, and other agencies with a
jurisdictional interest;
Prepare a Project Closeout Report which
certifies the completed project has been
constructed in accordance with the Settlement
Agreement and that all performance standards
have been met; and
Determine that certificates, operation and
maintenance (O&M) manuals, and other required data
have been assembled by the Remedial Action
Constructor.
2.1.2 Remedial Action Constructor
A Remedial Action Constructor's primary responsibility in
constructing the Remedial Action is to meet the quality standards
specified by the design and accepted trade practices. They are
responsible to the PRP for implementing and maintaining the quality
control (QC) program. The following is a list of responsibilities
that generally apply to Remedial Action Constructors on most jobs:
Obtain all necessary permits and approvals as
required by the Remedial Action activities;
Construct the project according to the plans and
specifications by supervising and controlling the
execution of work, including means, methods and
sequences of construction;
Provide progress schedules and other required
submittals;
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Furnish signs, utilities, and office facilities, as
required;
Maintain "Record Drawings" at the site, properly
noting all changes made during construction;
Be responsible to the public and to site personnel
for project safety;
Notify all personnel in the event that the
Contingency Plan has been triggered;
Implement and maintain a construction quality
control program, identify and report problems,
provide qualified testing to demonstrate that
proposed materials and equipment are acceptable,
and respond constructively to quality control
issues; and
Cooperate fully with inspection authorities and
provide them access to the project for adequate
inspection.
2.1.3 Independent Quality Assurance Team
Quality is conformance to properly developed requirements.
In the case of construction contracts, these requirements are
established by the contract specifications and drawings. Quality
assurance is planned and systematic actions by the PRP to provide
confidence that the completed remedy meets these requirements.
The Independent Quality Assurance Team is used to provide this
level of confidence to the PRP by testing and inspecting the work
of the Remedial Action Constructor. Quality control is the system
used by the Remedial Action Constructor to manage, control, and
document the compliance with requirements of all Remedial Action
activities. This includes not only activities of the parent firm,
but also those of suppliers and subcontractors.
The Independent Quality Assurance Team are representatives
from testing and inspection organizations, independent of the
constructor, that are responsible for examining and testing various
materials, procedures, and equipment during the construction.
Since the PRP is responsible for the quality assurance of the
remedy, the Independent Quality Assurance Team is retained by the
PRP. The qualifications and expertise of the personnel should be
commensurate with the scope of the project. Typical functions of
the Independent Quality Assurance Team are to:
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Review design criteria, plans, and specifications
for clarity and completeness;
Direct and perform observations and tests for
quality assurance inspection activities;
Verify that the Construction Quality Control Plan
is implemented in accordance with the site-specific
Construction Quality Assurance Plan;
Perform independent on-site inspections of the work
to assess compliance with design criteria, plans
and specifications;
Verify that equipment used in testing meets the test
requirements and that the tests are conducted
according to standardized procedures; and
Report to the PRP and EPA the results of all
inspections and corrective actions, including work
that is not of acceptable quality or that fails to
meet the specified design requirements.
2.2 ENVIRONMENTAL PROTECTION AGENCY
f EPA is responsible for pi-otecting the public health and the
environment and ensuring that the PRPs comply with the terms of the
Settlement Agreement. The most successful way for EPA to do this
*?*? vest responsibility for the project in a single individual
within EPA. This person is known as the Remedial Project Manager
(RPM) or as the EPA Project Coordinator. For the purposes of this
guidance these terms will be synonymous.
2.2.1 Remedial Proiect Manager
The Remedial Project Manager is defined as the Federal
official designated by EPA to coordinate, monitor, or direct
remedial activities, in the case of an enforcement lead project
the_ RPM's role is one of coordination and monitoring. At a
minimum, the RPM should review and approve the following documents
submitted by the PRP under the Settlement Agreement:
Remedial Design and Remedial Action Work Plans;
Preliminary and final design;
Construction Quality Assurance and Construction
Quality Control Plans;
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Contingency Plan; and
Project Closeout Report.
Traditionally, the RPM may exercise a high level of oversight
at the onset of the project. As the PRP demonstrates competence
in implementing the remedy, the amount of oversight may be relaxed
accordingly. The oversight program must focus the RPM's efforts
on the most significant aspects of the project, such as overall
quality, scheduling, major changes due to changed field conditions,
site safety, emergency actions, and project close-out.
The RPM acquires technical assistance for performing oversight
bv engaging one or more Oversight Officials capable of providing
support in all technical aspects of the Remedial Design and
Remedial Action. The recommended options available for oversight
support include Alternative Remedial Contract Strategy (ARCS), the
US Army Corps of Engineers (USAGE), and the Bureau of Reclamation.
2.2.2 Oversight official
The Oversight Official is under some form of contractual or
interagency agreement with EPA and reports directly to the RPM.
They provide technical support to the RPM in monitoring PRP
compliance with the Settlement Agreement. The responsibilities of
an Oversight Official during Remedial Design could include the
following:
Assist in reviewing the professional qualifications
of Remedial Design Professional, Remedial Action
Constructor, and the Independent Quality Assurance
Team;
Review the Remedial Design and Remedial Action Work
Plans;
Review design support data including field
investigations and treatability study results;
Review the Remedial Design submittals to determine
if they are protective of the public health and the
environment, comply with the Record of Decision
(ROD), and will attain the performance criteria
specified in the Settlement Agreement.
During Remedial Action, the Oversight Official reviews for
compliance with the Construction Quality Assurance Plans, schedule,
and the approved plans and specifications. Construction oversight
is limited to observing construction and comparing the work to a
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SSt -f.f standards (in this case, the design plans and
specifications, and the Construction Quality Control Plan prepared
toy the PRP's Remedial Action Constructor). The Oversight Official
also spot checks the activities of the Independent Quality
Assurance Team and reviews quality assurance reports. The results
of all Remedial Action oversight activities are reported to the
RPM.
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CHAPTER 3
MODEL SETTLEMENT AGREEMENT FOR REMEDIAL DESIGN/ACTION
3.1 INTRODUCTION
The pre-design planning phase as shown in Fif^e %1 m°ves the
nroiect from the ROD into Remedial Design. After the ROD is
signed, EPA prepares a "Pre-Design Technical Summary" which defines
thl technical criteria to implement the remedy Negotiations then
take place with the PRP. If it is determined that the RD/RA will
bf conducted as an enforcement response action the PRP enters into
an agreement with EPA. This agreement specifies the terms and
conditions of the work to be performed by the PRP and is embodied
in either an administrative order on consent or a uudicial consent
decree.
FIGURE 3-1
PRE-DESIGN PLANNING PHASE
__========
RECORD OF DECISION
PRE-DESIGN
PLANNING
PHASE
PRE-DESIGN TECHNICAL SUMMARY
NEGOTIATIONS WITH PRPs
SETTLEMENT AGREEMENT
REMEDIAL DESIGN
The term "Settlement Agreement" is used in this guidance to
refer to either an administrative order on consent or a .judicial
consent decree. It is a commitment by the PRPs that they will
finance and perform the Remedial Design and Remedial Action in
accordance with the provisions set forth in the Settlement
Agreement.
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3.2 SETTLEMENT AGREEMENT PROVISIONS
"Mo^T ^ 2eVe}°ping a "Model Consent Decree for RD/RA" and a
"Model Unilateral Order for RD/RA" to be used as a guide in
preparing Settlement Agreements. These models incorporate the
rSS£i5 * P5ovlslons. ^o implement this guidance and should be
^ 5 d ^°^ov more inf°rmation. The following is a brief summary
and description of provisions included in these models ummarY
3.2.1 Introductory Sections
The introductory sections of the Settlement
generally include discussions of the following items:
Description of what EPA and the State seek in
their complaint against the PRP, and the status
of the site activities that have previously
taken place;
Jurisdiction of EPA and/or the courts relative
to the PRP;
Parties bound by the Settlement Agreement (PRP,
including employees, agents, and assigns) ; and
Definitions of terms used in the Settlement
Agreement and attachments incorporated
thereunder.
Agreement
3.2.2
General Provisions
Secti°ns are Discussions which address the
The objectives of the parties entering into the
agreement, i.e., protection of the public
health and welfare and the environment from
releases of waste material from the site;
The responsibility of the PRP to finance and
perform the work in accordance with the
Settlement Agreement, including past response
costs, oversight response costs, and future
response costs;
The_ requirements for both EPA and the PRP to
designate a Project Coordinator to serve as the
contact point for each party;
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Requirements for compliance with applicable
laws and for the performed work to achieve the
performance standards specified;
The requisite for the PRP to obtain all permits
required by CERCLA and the National Contingency
Plan;
The notice of obligations to Successors-in-
Title;
The right of EPA to access the site at all
times for the purpose of conducting any
activity related to the Settlement Agreement,
such as monitoring work, verifying data,
conducting investigations, obtaining samples,
and assessing PRP compliance;
Requirements for all aspects of the work
performed by the PRP to be under the direction
and supervision of qualified contractors, the
selection of whom are subject to EPA approval;
Procedures for EPA to review PRP submissions
including the process for approval, conditional
approval, or disapproval of these submissions;
and
Acknowledgement that EPA review and approval
of PRP submissions does not warrant the
performance standards will be met.
3.2.3 Remedial Design
These sections describe the requirements of the PRP to
commence and perform the Remedial Design as a contractual
obligation. Items which are required to be submitted to EPA for
review only or review and approval should be described. This could
include such items as:
Remedial Design Work Plan which provides for
the design of the remedy set forth in the ROD
and in accordance with the Statement of Work.
The Remedial Design Work Plan would include
plans and schedules for the implementation of
all Remedial Design and pre-design tasks
identified in the Statement of Work;
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Health and Safety Plan for all field design
activities;
Preliminary design submittal to include design
criteria, project delivery strategy, results
of treatability studies and additional field
sampling, preliminary plans and drawings,
outline of required specifications, and a
preliminary construction schedule;
Intermediate design submittal (optional); and
Pre-f inal/f inal design submittal which includes
the final plans and specifications, Operation
and Maintenance Plan, Field Sampling Plan,
Construction Quality Assurance Plan, and the
Contingency Plan.
3.2.4 Remedial Action
,, h, > ' , " "
The requirements for the PRP to initiate Remedial Action after
approval of the Remedial Design are described in these sections.
This could include the following items:
ini ' , '," '
Submission to EPA for review and approval a
Remedial Action Work Plan which details the
plan and schedules for the construction of the
remedy;
The requisite to submit for EPA review a Health
and Safety Plan for all field construction
activities;
Requirements for the off-site shipment of any
waste material to an out-of-state waste
management facility; and
The requirement for the PRP to implement the
activities required by the approved Remedial
Action Work Plan.
3.2.5 Quality Assurance
fIncluded in these sections are descriptions of the
requirements for the PRP to use quality assurance and quality
control procedures for all remedial activities that take place on
the site. It would include the following requirements:
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That the PRP submit a Construction Quality
Assurance and Quality Control Plan;
The requirement for the PRP to retain an
Independent Quality Assurance Team, separate
from the Remedial Action Constructor, to
conduct quality assurance activities during
the construction phase of the project; and
The right for EPA to take split or duplicate
samples of any samples collected by the PRP,
and the right to take any additional samples
deemed to be necessary.
3.2.6 Reporting Requirements
Described in these sections is the frequency and type of
reports required for the PRP to submit to the EPA. Typical
reporting requirements for the reporting period specified could
include the following:
Actions taken toward achieving compliance with
the Settlement Agreement;
All sampling and test results and all other
data generated by the PRPs or their
contractors;
All plans and deliverables completed during the
reporting period;
All actions scheduled for the next reporting
period including data collection and
implementation of work plans and other
information relating to the progress of
construction; and
Information regarding percentage of completion,
unresolved delays encountered or anticipated
that may affect the future schedule for
implementation of the work plan, and a
description of efforts made to mitigate those
delays.
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r
3-6
3.2.7 Endangerment and Emergency Response
This section defines the requirements of the PRP in the event
of any action or occurrence which causes or threatens a release of
waste material, or which may present an immediate threat to the
public health or welfare or the environment.
3.2.8 Certification of Completion
After the PRPs conclude that the Remedial Action has been
fully performed, the PRPs shall so notify EPA and shall schedule
a pre-certification inspection to be attended by the PRP and EPA.
The requisites for this procedure is described in the Settlement
Agreement. It details the notification and inspection
requirements, the method for correction of deficiencies, and the
xssuance of a certification of completion.
3.2.9 Other Conditions and Requirements
Many sections are required in the Settlement Agreement to
address the performance of the PRP and other miscellaneous
requirements. They could include the following:
The requirements (notification, review, and
approval process) if EPA or the PRP determines
that additional response activities are
necessary to meet the performance standards;
The_ requirements of the PRP to demonstrate
their ability to complete the work and to pay
all claims which may arise. Such requirements
may include performance bonds, letters of
credit, third party work guarantees, and EPA
access to PRP financial records;
The requirements of the PRP to notify EPA of
any event which may delay the performance of
the work. If EPA agrees that the delay is
attributable to a force majeure (i.e., event
arising from causes entirely beyond the control
of the PRP), the times for performance that is
directly affected by the force majeure may be
extended;
The requirements for the establishment of a
Trust Fund necessary to finance the obligations
of the PRP under the terms of the Settlement
Agreement. This section would also describe
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3-7
the method for the PRP to reimburse the EPA
for past response costs, oversight response
costs, and future response costs;
PRP insurance requirements;
Dispute resolution procedures, i.e., mechanisms
to resolve disputes arising under or with
respect to the Settlement Agreement;
The stipulated penalties for violations to the
conditions of the Settlement Agreement.
Language is also included which details when
the EPA or PRP has the right to sue or take
administrative actions against the other party
for any claims related to or arising from any
response action taken with respect to the site
or Settlement Agreement;
The right for EPA to be provided access to
copies of all documents and information
relating to site activities and implementation
of the Settlement Agreement. It also describes
the time requirements of the PRP to preserve
and retain all records that relate in any way
to the site;
Requirements for making modifications to the
Settlement Agreement; and
Requirements for community relations and
opportunities for public comment.
3.2.10 Concluding Sections
The concluding sections of the Settlement Agreement include
the following sections:
Addresses of EPA and PRP for notices and
submissions;
Effective and termination dates
Settlement Agreement; and
Signatories.
of the
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CHAPTER 4
REMEDIAL DESIGN OVERSIGHT
The Remedial Design establishes the general size, scope, and
character of a project. It details and addresses the technical
requirements of the Remedial Action. Remedial Design begins with
preliminary design and ends with the completion of a derailed set
of engineering plans and specifications.
There are two approaches to Remedial Design: performance-based
and definitive. In a performance-based design, basic technical
specifications are developed, containing the performance
requirements for the work. The Remedial Design Professional
focuses on defining criteria and process limits. It is the
Remedial Action Constructor's responsibility to implement a
remedial plan that achieves those technical specifications.
In a definitive design, information is provided on system
integration and on appropriate equipment for each unit process.
The designer chooses equipment, dimensions, controls, size, shape,
materials, and installation details. The constructor builds to
these definitive plans and specifications.
In many situations, a mixed design approach is used. This
often occurs for designs incorporating an innovative or emerging
technology for which there is relatively little information
available. In this instance, the designer may use a performance
specification for the innovative technology and a definitive design
for all other aspects.
Figure 4-1 presents a flow chart illustrating the Remedial
Design process of the focused .approach to oversight. The
"diamonds" in the figure represent decision or review points that
are the RPM's responsibility and are considered critical to the
quality and success of the project.
4.1 STANDARD REMEDIAL DESIGN TASKS
Before commencing Remedial Design, it is often necessary to
perform design related tasks (e.g., data gathering and treatability
studies). In addition, there are other activities required to be
performed during the actual design process to support the design
(e.g., establishing design criteria and a delivery strategy, value
engineering study, and community relations). The following
standard tasks are commonly required in a PRP performed Remedial
Design, either as prerequisites to the design or as part of the
actual design.
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4-2
FIGURE 4-1
REMEDIAL DESIGN OVERSIGHT PROCESS
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4-3
4.1.1 Design Investigation
It is unlikely that all the data required for the Remedial
Design was collected during the remedial investigation and
feasibility study (RI/FS) phase. Some RODs prescribe remedies
contingent on the results of additional testing or treatability
studies. Additional field data may need to be collected and
evaluated, including geotechnical investigations, groundwater
sampling, and surveys (property, utility, right-of-way,
topographic). Usually this information is required before the
significant progress can be made on the design.
4.1.2 Design Support
During the initial preliminary design phase, concepts
supporting the technical aspects of the design are defined in
detail. Much of the information is based on the results of field
data and treatability studies that may have been completed since
the RI/FS. These design criteria supplement the information
provided in the "Pre-Design Technical Summary" and are commonly
summarized in a report format that usually addresses the following
items:
Summary of available data;
Design assumptions and parameters including
"Applicable or Relevant and Appropriate
Requirements" (ARARs), design restrictions, and so
forth;
Process design and performance criteria;
Long-term monitoring and operation requirements;
Real estate, easement, and permit requirements; and
Cleanup verification methods.
Besides the design criteria, which primarily address the
project's technical issues, the designer must devise a strategy
for delivering the project. This is the management approach to
carry out the design and implement the Remedial Action. It
normally discusses the following items:
Procurement method and contracting strategy;
Phasing alternatives
Health and safety considerations;
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4-4
Review requirements;
Design schedule;
Contractor, labor,
concerns; and
and equipment availability
Requirements for addressing sampling and data
gathering methods (Field Sampling Plan), quality
assurance considerations (Construction Quality
Assurance Plan), and air emissions and spill control
requirements (Contingency Plan).
4.1.3 Plans and Specifications
The_goal of Remedial Design is to produce a detailed set of
engineering plans and specifications that are consistent with the
technical criteria established for the design. These documents
present the design information in the detail appropriate for the
requirements of the project.
4.1.4 Construction Cost Estimate
An important element of Remedial Design is to prepare a cost
estimate for the construction activities covered by the design.
The>PRP will need this information in order to plan for Remedial
Action. Unless required by the Settlement Agreement, the PRP is
not required to share the cost estimate with EPA, although this
information might be beneficial in cost negotiations, i.e.
minimis settlements.
4.1.5 Construction Schedule
A construction schedule is developed to identify major tasks,
determine their duration, and establish milestone dates. Key
issues that may affect the schedule should also be identified.
4.2 REMEDIAL DESIGN REVIEW
During Remedial Design, EPA monitors and reviews the
performance of the PRP. The Oversight Official provides technical
assistance to EPA in this process. An approval of any of the
Remedial Design work elements at any stage by EPA in no way
guarantees the success or failure of the ultimate remedy. This is
analogous^to a city issuing a building permit to a developer for
construction of a building. The permit does not guarantee the
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4-5
building will be structurally sound, it merely indicates compliance
with the minimum design criteria and standards of the city for such
buildings. The soundness of the building's construction is still
the complete responsibility of the owner. Similarly, EPA review
and approval of a PRP's work plan or design merely assesses their
acceptability with regard to Remedial Action goals in accordance
with the ROD and the Settlement Agreement. It does not warrant
that the specified performance standards will be met.
4.2.1 Review of Remedial Design Professional Qualifications
The PRP is responsible for selecting the Remedial Design
Professional, subject to the approval of EPA. Selecting a
qualified designer with the training, experience, staff, and
capabilities consistent with the scope of work is an important step
towards completing a quality constructed project. Factors that
should be considered in evaluating a Remedial Design Professional's
qualifications include the following:
The professional and ethical reputation as
determined by inquiries with previous clients and
other references;
The principal and other responsible members of the
firm must be registered professional engineers;
The Remedial Design Professional should have
demonstrated qualifications and expertise in
performing the specific design services required for
the project, including knowledge of codes or other
governmental regulations; and
The Remedial Design Professional should be able to
assign or make provision for qualified staff to work
on the project and be able to complete required
services within the time allotted.
The RPM, in conjunction with the Oversight Official, should
review the qualifications of the Remedial Design Professional. The
resultant analysis is used to form the basis of the level of
oversight employed by EPA during the Remedial Design process.
4.2.2 Review of Remedial Design Work Plan
The Remedial Design Work Plan is the first major deliverable
and area of focus for the RPM and Oversight Official. It is the
PRP's interpretation of the Settlement Agreement and the Statement
of Work. A thorough review of the work plan is essential since it
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4-6
sets the course for the PRP's implementation of the design portion
of the Remedial Action. The Remedial Design Work Plan should be
reviewed for its thoroughness and approach, and to ensure that it
contains at least the following items:
Tentative formation of the design team;
A Health and Safety Plan for design activities;
Requirements for additional field data collection;
Requirements for treatability studies;
A schedule for completion of the design;
Design criteria and assumptions; and
Tentative treatment schemes.
The RPM and Oversight Official should use the results of this
review and the evaluation of the Remedial Design Professional
qualifications to establish the level of initial Remedial Design
oversight as the designer begins the preliminary design.
4.2.3 Preliminary Design Review
The preliminary design review is the most critical technical
review^ performed during Remedial Design oversight. Since the
preliminary design sets the pattern and direction of the entire
design process, it is imperative that any deficiencies in the
Remedial Action performance standards be identified. Furthermore,
inconsistencies within the design itself must be identified and
corrected before the PRPs proceed with the detailed design
pubmissions. Based on the Settlement Agreement, EPA is required
to review and approve this submission. The preliminary design
submittal from the PRP should include the following elements:
Design criteria;
Project delivery strategy;
Results of treatability studies and additional
field sampling;
Preliminary plans, drawings, and sketches;
Outline of required specifications; and
i ' '
Preliminary construction schedule.
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4-7
In performing the preliminary design review, the Oversight
Official and the RPM use their professional training to assess the
feasibility of the design to achieve the Remedial Action goals in
accordance with the ROD and Settlement Agreement. The Oversight
Official makes a recommendation to the RPM based on the criteria
listed below. The RPM is responsible for the deciding whether the
design is adequate and if enforcement action is necessary.
Ultimately the Settlement Agreement and any document
incorporated into the agreement set the performance criteria for
the site. The preliminary design review should evaluate the
adequacy of the design with respect to all environmental and public
health requirements. A review with respect to environmental
criteria can be done by determining the feasibility of the design
to meet the performance standards. The preliminary design should
be reviewed with consideration of the following:
Technical requirements of the ROD, Settlement
Agreement, and ARARs;
Currently accepted environmental protection measures
and technologies;
Standard professional engineering practices;
Applicable statutes, EPA policies, directives, and
regulations;
Conformance with results of field data and
treatability studies;
Reasonableness of estimated quantities of materials
specified based on known data; and
Examination of the construction schedule for meeting
project completion goals.
The preliminary design review is limited to ensuring that the
design criteria and the delivery strategy are consistent with the
design requirements of the selected remedy. It should focus only
on the environmental aspects of the design. The level of review
should initially be limited to the following:
Verifying that appropriate unit processes are
being employed by the treatment train;
Confirming that the removal or treatment
efficiencies assumed are reasonable for both
the process and waste (concentration and
volume);
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4-8
Checking that process waste streams are
adequately identified and addressed, and that
flow rates are appropriate;
Verifying that the proposed siting of the
process is appropriate and that any site
abnormalities have been addressed; and
i ' ' '
Spot checking some (about 10%) of the design
calculations.
The review can be expanded if any of the above areas appear
to be deficient. Approval of the preliminary design only allows
the PRP to proceed to the next step of the design process. It does
notDimply acceptance of later design submittals that have not been
reviewed, or that the remedy, when constructed, will meet
performance standards and be accepted.
4.2.4 Intermediate Design Review
The intermediate design review is an optional review and would
normally only be performed for larger, complex designs or when
required by the Settlement Agreement. The design is reviewed to
determine that comments from the preliminary design review have
been incorporated. If a value engineering study has been performed
by the PRP, the intermediate design would typically reflect any
design modifications resulting from this study. These changes must
be evaluated for consistency with the ROD.
4.2.5 Pre-Final/Final Design Review
The pre-final/final design submittals are reviewed for
consistency with the ROD and Settlement Agreement. The final
design submittal package from the PRP should include the following:
Final design plans and specifications;
Operation and Maintenance (O&M) Plan;
Field Sampling Plan (FSP). This defines in detail
t:he sampling and data gathering methods to be used
during construction of a project. It is the basis
for ascertaining whether the performance standards
have been achieved by the Remedial Action. A
description of a FSP can be found in Guidance for
Conducting Remedial Investigations and Feasibility
Studies Under CERCIA (U.S. EPA, Interim Final,
October 1988, OSWER Directive No. 9355.3-01);
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4-9
Construction Quality Assurance Plan. This plan
describes the site specific components of the
quality assurance program. The purpose is to
ensure, with a reasonable degree of certainty, that
the completed project meets or exceeds all design
criteria, plans, and specifications. More
information and the specific elements to be included
in a Construction Quality Assurance Plan can be
found in Appendix A; and
Contingency Plan. This is written for the local
affected population in the event of an accident or
emergency at the site. More information describing
a Contingency Plan and the specific elements to be
included in a this plan can be found in Appendix B.
The pre-final/final design review is the last review of the
Remedial Design and should be based upon the approved preliminary
and intermediate design submittals. The Oversight Official and RPM
assess the acceptability of the final design submittals on the
basis of the same considerations used for the preliminary design.
The approval of the final design is acceptance that the project may
proceed to the next step; i.e., community relations activities and
preparation of a Remedial Action Work Plan.
4.3 COMMUNITY RELATIONS
At the conclusion of the Remedial Design, the RPM distributes
to the community and other interested persons, a fact sheet on the
final engineering design. The fact sheet enables EPA to inform the
public about activities related to the final design, including the
schedule for implementing the Remedial Action, what the site will
look like during construction, the roles of the PRP and EPA, the
Contingency Plan, and any potential inconveniences such as excess
traffic and noise. The RPM should also provide an opportunity for
a public briefing to be held near the site prior to initiation of
the Remedial Action. A public briefing could address issues such
as construction schedules, changes in traffic patterns, location
of monitoring equipment, and the methods in which the public will
be informed of progress at the site.
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CHAPTER 5
REMEDIAL ACTION OVERSIGHT
After completion of the Remedial Design, the Remedial Action
begins, during which the actual implementation of the remedy
occurs. Figure 5-1 presents a flow chart that illustrates the
Remedial Action process of the focused approach to oversight. As
in Figure 4-1, the "diamonds" represent critical decision or review
points required of the RPM.
The RPM may use a high level of oversight at the onset of the
Remedial Action as determined by requirements specified in the
Settlement Agreement, the complexity of the remedy, past
performance of the PRPs, the qualifications of the PRPs1 design and
construction teams (including the Independent Quality Assurance
Team) and any other relevant factors affecting the design and
implementation of the Remedial Action. The level of this oversight
may then be adjusted accordingly as implementation proceeds based
upon the actual performance of the Remedial Action Constructor.
The objective of the oversight program is to focus the RPM efforts
on the most significant aspects of the project such as
environmental protection, consideration of public health concerns,
overall quality, scheduling, major changes due to changed field
conditions, emergency actions, and project close-out.
5.1 REMEDIAL ACTION REVIEWS
During Remedial Action, EPA monitors and reviews the
performance of the Remedial Action Constructor in building the
project. It is the PRP's responsibility to ensure the Remedial
Action Constructor meets the quality standards specified by the
design and accepted trade practices. EPA, through the Oversight
Official, monitors and reviews the work of the PRPs on the basis
of defined applicable standards, in this case, approved design
plans and specifications and the Construction Quality Assurance and
Quality Control Plans. It is inappropriate for the Oversight
Official to direct or determine the means and methods of
construction. Clearly defining these roles, and adhering to them,
ensures that the responsibility and accountability of the
construction project remains with the PRP.
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5-2
FIGURE 5-1
REMEDIAL ACTION OVERSIGHT PROCESS
PRP
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5-3
5.1.1 Review of Remedial Action Work Plan
The Remedial Action Work Plan is the basis for the PRP's
approach to the implementation of the designed Remedial Action.
The work plan may be a negotiated part of the Settlement Agreement
or it may be a required submission under the agreement. As with
the Remedial Design Work Plan, the RPM and Oversight Official
should thoroughly review the work plan to ensure that the PRP will
use a sound approach to the Remedial Action.
The Remedial Action Work Plan should be reviewed to ensure
that it addresses the following:
Tentative formulation of the Remedial Action
Team, including the key personnel, descriptions
of duties, and lines of authority in the
management of the construction activities;
Description of the roles and relationships of
the PRP, PRP Project Coordinator, Resident
Engineer, Independent Quality Assurance-Team,
Remedial Design Professional, and Remedial
Action Constructor;
Process for selection of the Remedial- Action
Constructor;
Schedule for the Remedial Action and the
process to continuously update the project
schedule;
Method to implement the Construction Quality
Assurance Plan, including criteria and
composition of the Independent Quality
Assurance Team;
A Health and Safety Plan for field construction
activities;
Strategy for implementing the Contingency Plan;
Procedure for data collection during the
Remedial Action to validate the completion of
the project; and
Requirements for project closeout.
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5-4
i , ' ' '' ' N1
5.1.2 Review of Remedial Action Constructor Qualifications
The PRP is responsible for selecting the Remedial Action
Constructor, whether through a competitive bidding process or the
assignment of PRP "in-house" resources. EPA reviews and approves
the selection of the Remedial Action Constructor using the
following criteria for guidance:
. '"IP , ' I ' . > .,: .' '
An evaluation of the professional and ethical
reputation as determined by inquiries with previous
clients and other references;
The Remedial Action Constructor should have previous
experience in the type of construction activities
to be implemented;
A demonstrated capability to perform the specific
construction activities required; and
Again, as with the Remedial Design Work Plan, the RPM and the
Oversight Official will use this evaluation to assist in
determining the initial level of oversight required for
construction activities.
5.1.3 Independent Quality Assurance Team Qualifications
Quality assurance is planned and systematic actions by the
PRP to provide confidence that the constructed remedy meets project
requirements. The Independent Quality Assurance Team is used to
provide this level of confidence to the PRP by selectively testing
and inspecting the work of the Remedial Action Constructor, and
ensuring the Construction Quality Control Plan is being effectively
implemented. The members of the Independent Quality Assurance Team
are representatives from independent testing and inspection
organizations responsible for examining and testing various
materials, procedures, and equipment during the construction.
Since the PRP, as the owner, is responsible for the quality of the
remedy, the Independent Quality Assurance Team is retained by the
PRP. They may be separate consultants working for the PRP under
a contractual relationship or they might be "in-house" personnel
assigned to the project. EPA reviews and approves the selection
of the Independent Quality Assurance Team using the following
criteria for guidance:
An evaluation of the professional and ethical
reputation as determined by inquiries with previous
clients and other references;
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5-5
The qualifications and expertise of the inspection
personnel should be commensurate with the scope of
the project;
Confirmation that the Quality Assurance team is
truly independent and autonomous from the Remedial
Action Constructor; and
If a PRP elects to use "in-house" resources to implement the
Remedial Action, it is inappropriate for PRP "in-house" personnel
to also be used for quality assurance. It is necessary for the
Quality Assurance Team be completely independent of the constructor
so the results of the quality assurance are unbiased and objective.
In this situation, it is preferable that EPA utilize the Oversight
Official to provide Independent Quality Assurance services.
5.1.4 construction Quality Assurance and Control Plans
The focused approach to Remedial Action oversight is directed
at the implementation of the Construction Quality Assurance and the
Construction Quality Control Plans. It involves both quality
assurance, a planned system of activities by the Independent
Quality Assurance Team to provide confidence that the facility is
constructed as specified in the design; and quality control, a
planned system of inspections and tests performed by the Remedial
Action Constructor to directly monitor and control the quality of
the construction project.
The Construction Quality Assurance Plan is normally prepared
by the Remedial Design Professional and is submitted with the final
design. It is the responsibility of the Resident Engineer to
implement it through the Independent Quality Assurance Team. The
use of the Independent Quality Assurance Team will provide for an
unbiased implementation of the Construction Quality Assurance Plan.
More information and the specific elements to be included in this
plan can be found in Appendix A.
Construction quality control should be a requirement on all
construction projects. The Remedial Action Constructor is
responsible for all activities necessary to manage, control, and
document work so as to ensure compliance with the project
requirements, i.e., plans and specifications. The Construction
Quality Control Plan is prepared by the Remedial Action Constructor
and it should be indicative of the scope and complexity of the work
as well as the project requirements. It is the Remedial Action
Constructor's management tool and should include:
A description of the organization providing
quality control, including lines of authority;
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5-6
The name, qualifications, duties, responsibilities,
and authorities of each person assigned a quality
control function;
A copy of a signed letter which describes the
responsibilities and delegates the authorities of
the quality control manager;
Methods of performing the quality control
inspections, including when inspections should be
made and what to look for;
Control testing procedures for each specific test.
T,his includes information which authenticates that
personnel and laboratories performing the tests are
qualified and the equipment and procedures to be
Used complies with applicable standards;
Procedures for scheduling and managing submittals,
including those of subcontractors, off-site
fabricators, suppliers, and purchasing agents; and
Reporting procedures including frequency of reports
and report formats.
The Oversight Official should assist the RPM in reviewing each
of the above plans. The review should focus on determining that
the ^Construction Quality Control Plan is consistent with the
requirements of the plans and specifications, and that the
Construction Quality Assurance Plan ensures the performance
standards will be met. The review should examine the
appropriateness and the frequency of the tests and inspections
identified in both plans. Reviewing the Construction Quality
Assurance and Quality Control Plans will assist the Oversight
Official in developing a strategy to spot check the PRP's quality
assurance program.
5.2 PRE-CONSTRUCTION CONFERENCE
The PRP will initiate a pre-construction conference prior to
the start of construction on the project. The participants would
include representatives of all parties involved in the Remedial
Action ;(e.g., RPM, Oversight Official, PRP, Remedial Design
Professional, Independent Quality Assurance Team, and Remedial
Action Constructor). The purpose of this meeting is to establish
relationships among all parties involved in the Remedial Action
implementation. The agenda should include:
Introduction of the members of each team;
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5-7
Discussion of EPA's expectations for the project;
Review of general project scope and requirements
specified in the Settlement Agreement;
Review of the final Construction Quality Assurance
and Quality Control Plans;
Review of the project schedule;
Establishment of scheduled meetings and briefings
during construction;
Review of roles and responsibilities of all parties;
Review of document control procedures;
Discussion of all key issues, concerns, and project
goals;
Procedures to resolve disputes or misunderstandings
during construction;
Review of emergency actions and the Contingency
Plan; and
Review of endpoint activities and procedures for
project completion.
The tone of this meeting will help the RPM to determine the
level of oversight necessary for the project.
5.3 REMEDIAL ACTION IMPLEMENTATION
5.3.1 Remedial Proiect Manager
It is the RPM's responsibility to monitor PRP compliance with
the Settlement Agreement and all documents and plans included
therein by incorporation or reference. The RPM uses all the
information and interactions to monitor PRP compliance and has the
flexibility to adjust the level of oversight as determined to be
necessary. The following defines the RPM's role during Remedial
Action Construction:
Conduct progress meetings with the PRPs on a
periodic basis during remediation to address the
status of project construction, schedule changes,
test results, observations and findings, issues of
non-compliance, change orders, and upcoming
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5-8
activities. The frequency of the meetings depends
on the environmental significance of site activities
and the level of oversight desired;
Ensure that construction activities are not
endangering public health and that the
Contingency Plan is implemented in the event
of an accident or emergency;
Monitor the construction quality assurance
program including review of the sampling
results and testing data from the PRP and
Independent Quality Assurance Team, and the
Oversight Officials' summary of all inspection
Reports;
Coordinate interaction among all government
entities involved, including the State and
local municipalities;
Enhance community relations by accompanying
representatives of the public or other agencies
during site visits;
Document all contacts with the PRPs concerning
implementation of the Remedial Design and
Remedial Action;
Verify that the work required under the
Settlement Agreement is complete, and initiate
project closeout activities;
Ensure that the PRP is in compliance with the
Settlement Agreement. If it is determined that
the PRP is failing to comply with the terms of
the Settlement Agreement, approach the problem
in a constructive manner:
- Identify the problem and devise corrective
actions that are consistent with the
Settlement Agreement;
- Document all contacts with the PRPs
concerning the inadequacies of the
implementation;
- Discuss the proposed correction action
with Regional management to ensure the
RPM is maintaining a consistent Regional
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approach in overseeing the PRP's response
activities; and
Contact the Office of Regional Counsel for
advice on how to proceed in the event
enforcement becomes necessary.
5.3.2 Independent Quality Assurance Team
The responsibilities of the Independent Quality Assurance
Team include implementation of the activities specified in the
Construction Quality Assurance Plan (e.g., inspection, sampling,
documentation). Quality assurance is planned and systematic
actions by the PRP to provide confidence that the constructed
remedy meets project requirements. The Independent Quality
Assurance Team is used to provide this level of confidence to the
PRP by testing and inspecting the work of the Remedial Action
Constructor. Typical activities may include:
Submitting blind samples for analysis by the
quality control inspection personnel and one
or more independent laboratories;
Confirming that regular calibration of testing
equipment is properly conducted and recorded;
Verifying that testing procedures are conducted
consistently and in the prescribed manner;
Confirming that the test data is properly
recorded, validated, maintained, and
interpreted;
Reporting the results of the quality assurance
activities to the PRP, including:
- Review and interpretation of all data
sheets and reports;
Identification of work that should be
accepted, work that should be rejected,
and work that may require special testing;
Providing copies of test results to the
Oversight Official and RPM;
Verifying that implementation of the
Construction Quality Control Plan is in
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accordance with the Construction Quality
Assurance Plan; and
ijlH ' " '
Maintaining a communication and coordination
felationship with the Oversight Official
concerning quality assurance activities and
test results.
5.3.3 Oversight Official
The Oversight Official reports to the RPM and supports the RPM
in monitoring PRP compliance with the Settlement Agreement, the
plans and specifications, and the Construction Quality Assurance
and Quality Control Plans. Responsibilities that the RPM may
assign to the Oversight Official include:
Attendance at the pre-construction conference,
progress briefings, and any other meetings as
required;
* Making on-site observations of the work in
progress to determine if the work is generally
proceeding in accordance with the plans and
specifications, and the Construction Quality
Assurance and Quality Control Plans. The role
of the Oversight Official is to monitor the
PRP's quality assurance program;
Immediately notifying the authorized
Representative of the Remedial Action
Constructor or PRP of any observed activities
presenting imminent and substantial
endangerment to the public health or welfare
or environment, and following up with an
appraisal of the situation to the RPM (see
section 5.4);
Reporting to the RPM any actions that the
constructor and/or the PRP take in interpreting
contract documents in a way that may materially
affect the work in progress or intent of the
plans and specifications;
Reviewing change orders, work directives, and
contract modifications made by the Remedial
Action Constructor for consistency with the
Settlement Agreement, and reporting the results
of these reviews to the RPM;
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Reviewing progress reports of the constructor
and furnishing the RPM with routine reports on
the schedule and progress of work;
Maintaining a diary or log of observations at
the site, including interactions with all
parties, results of tests, site visits, and
questions, concerns or discussions about
conformance with the approved design plans and
specifications;
Reviewing perimeter monitoring data submitted
to evaluate if the action levels have been
exceeded and if so, verifying that corrective
actions were promptly taken;
Reviewing certificates, operations and
maintenance manuals, and other data required
to be assembled and furnished by the
constructor;
Attending the pre-final/final inspection and
reviewing the punch list of items requiring
correction. Verifying that all punch list
items have been completed or corrected; and
Reviewing deliverables (e.g., Remedial Action
Work Plan, Construction Quality Control Plan,
and Project Closeout Report) submitted by the
PRPs.
The Oversight Official is a representative of the EPA and does
not have authority to authorize any deviation from the contract
documents or assume any of the responsibilities of the constructor,
subcontractor, or their superintendents. This includes advisement
on or issuance of instruction concerning the constructor's
techniques or performance of duties.
5.4 IMMEDIATE DANGER AND EMERGENCY RESPONSE
In the event any action during the performance of the remedial
activities causes or threatens a release which may present an
immediate danger to the on-site construction workers, the PRP shall
take actions in accordance with the Health and Safety Plan. If
there is a substantial danger is to the off-site public health or
environment, the Contingency Plan (see Appendix B) shall be
implemented. This plan is written for the local affected
population. In either case, the EPA shall be notified.
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During an emergency, the RPM and the Oversight Official should
closely monitor the situation to determine that the Health and
Safety Plan and Contingency Plan are being implemented. EPA does
have the Authority stop work on the site if the conditions present
an imminent and substantial endangerment to the public health or
welfare or environment.
5.5 PRE-FINAL/FINAL INSPECTION
The PRP conducts the pre-final and final inspection of
completed work with EPA, the Oversight Official, and other agencies
with a jurisdictional interest in attendance (e.g., the State).
The purpose of the inspection is to determine if all aspects of the
plans and specifications have been implemented at the site. If any
items have not been completed the PRP will develop a punch list
which details the outstanding items still requiring completion or
correction before acceptance of work. Acceptance of work may not
be granted until the startup and operation of treatment systems.
This may also include a demonstration that performance standards
have been met.
The RPM and the Oversight Official should take careful notes
of all corrective and extra work required to meet the requirements
of the design plans and specifications. These notes should be
carefully compared to the punch list developed by the PRP.
A final inspection should be conducted when all the items on
the punch list have been completed. All items indicated as
requiring correction on the punch list should be reinspected, and
all tests that were originally unsatisfactory should be conducted
again. A final punch list should be developed for any outstanding
deficiencies still requiring correction.
5.6 PROJECT CLOSEOUT REPORT
At the completion of the Remedial Action and correction of all
punch list items, the PRP (usually the Resident Engineer) prepares
a Project Closeout Report which certifies that all items contained
in the Settlement Agreement and any incorporated documents (e.g.,
plans and specifications) have been completed. The report includes
documentation (e.g., test results) substantiating that the
performance standards have been met and also includes "Record
Drawings" of the project. The Oversight Official reviews the
Project Closeout Report and verifies that all changes and
variations from the original contract drawings have been made on
"Record Drawings".
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The RPM then initiates the project completion and deletion
process as described in Procedures for Completion and Deletion of
National Priority List Sites", OSWER Directive 9320.2-3A, EPA,
April 1989.
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APPENDIX A
CONSTRUCTION QUALITY ASSURANCE PROGRAM
A.I INTRODUCTION
The terms quality assurance and quality control are
frequently, and erroneously, used interchangeably. Since quality
control is a part of quality assurance, maintaining a clear
distinction between them is difficult but important. Quality
assurance is planned and systematic actions necessary to provide
confidence that the construction will perform satisfactorily and
conform with project requirements. Quality control is the project
specific activities that apply the quality assurance policies.
If strict construction related quality assurance and quality
control guidelines are established and followed, the project will
be constructed according to the project's requirements. The PRP
is responsible for establishing the quality assurance program
appropriate for the proposed action, and to provide adequate funds
to implement the program. The constructor is responsible for
implementing and maintaining the construction related quality
control program. The exact scope of the quality assurance program
and its relation to the quality control program should be clearly
explained to the constructor before construction begins.
A.2 CONSTRUCTION QUALITY ASSURANCE PLAN
The Construction Quality Assurance Plan is a document that
describes the site specific components of the quality assurance
program. The purpose is to ensure, with a reasonable degree of
certainty, that a completed project meets or exceeds all design
criteria, plans, and specifications. Although the overall content
of the Construction Quality Assurance Plan depends on the site
specific nature of the site, at a minimum, several elements should
be included in the plan. These elements are briefly summarized as
follows:
Responsibilities and authorities of all
organizations and key personnel involved in the
design and construction of the site remediation;
The qualifications of the quality assurance
personnel to demonstrate they possess the training
and experience necessary to fulfill their identified
responsibilities;
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the observations and tests that will be used to
ijlohitpr construction, and the frequency of
performance of these activities;
The sampling activities, sample size, sample
locations, frequency of testing, acceptance and
rejection criteria, and plans for implementing
corrective measures as addressed in the plans and
specifications; and
Description of the reporting requirements for
quality assurance activities including such items
as daily summary reports, schedule of data
submissions, inspection data sheets, problem
identification and corrective measures reports,
evaluation reports, acceptance reports, final
documentation. Also describe the provisions for
the final storage of all records consistent with
the requirements of the Settlement Agreement.
Although quality assurance is, by definition, a system of
overview activities, the Construction Quality Assurance Plan must
also include a detailed description of the inspection activities
that will be used to monitor and control construction quality. The
Construction Quality Assurance Plan documents the PRP's commitment
to quality assurance and is tailored to the specific project to be
constructed. An example of a quality assurance program can be
found in Technical Guidance Document: Construction Quality
Assurance for Hazardous Waste Land Disposal Facilities, U.S. EPA,
October 1986, OSWER Directive 9472.003.
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APPENDIX B
CONTINGENCY PLAN
The Contingency Plan is written to protect the local affected
population in the event of an accident or emergency. It may
incorporate an Air Monitoring Plan and a Spill Control and
Counter-measures Plan, if applicable, for the site. The following
is a preliminary list of items that could be included in a
Contingency Plan.
Name of person responsible for responding in the
event of an emergency incident;
Plan and date for meeting with the local community,
including local, State and Federal agencies involved
in the cleanup, as well as local emergency squads
and hospitals;
First aid and medical information including names
of personnel trained in first aid; clearly marked
map with the loactions of medical facilities; all
necessary emergency phone numbers; fire, rescue,
local hazardous material teams; and National
Emergency Response Team;
Air Monitoring Plan - Air monitoring will be
necessary at any site when the site-specific risk
assessment specifies a risk via the inhalation/air
transport pathway. This section details the minimum
requirements for air monitoring both on-site and at
the perimeter of the site. The chemical
constituents identified at the site as part of the
risk assessment should be the basis for pollutant
sampling and measurement of pollutants in the
atmosphere. Air monitoring may include personnel
monitoring, on-site and/or of f-site area monitoring,
and perimeter monitoring. Trigger concentrations
to implement the Contingency Plan should be
specified; and
Spill Control and Countermeasures Plan which will
provide contingency measures for potential spills
and discharges from materials handling and/or
transportation. It describes methods, means, and
facilities required to prevent contamination of
soil, water, atmosphere, uncontaminated structures,
equipment or material from the discharge of wastes
due to spills; provides for equipment and personnel
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to perform emergency measures required to contain
any spillage and to remove and properly dispose of
any media that become contaminated due to spillage;
and provides for equipment and personnel to perform
decontamination measures that may be required to
remove spillage from previously uncontaminated
structures, equipment, or material.
*U.S. GOVERNMENT PRINTING OFFICE: 1990 748-159/00421
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