United States
          Environmental Protection
          Agency
                 Office of Emergency and
                 Remedial Response
                 Washington, DC 20460
93S5.0-04B
PB95-963307
EPA 540/R-95/059
June 1995
vvEPA
Remedial Design/Remedial
Action  Handbook
                                               Printed on Recycled Paper

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                                     9355.0-04B
United States            Office of Emergency and        PB95-963307
Environmental Protection       Remedial Response          EPA 540/R-95/059
Agency               Washington, DC 20460         June 1995
Remedial Design/Remedial
Action Handbook
                                     Printed on Recycled Paper

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RD/RA Handbook
                                             Disclaimer

                The policies and procedures set forth here are intended as guidance to Agency
                and other Government employees. They do not constitute rulemaking by the
                Agency and may not be relied on to create a substantive or procedural right
                enforceable by any other person. The Government may take action that is at
                variance with the policies and procedures in this manual.
                                          Additional Copies

                 Additional copies of this report may be obtained from the following source:
                             National Technical Information Service (NTIS)
                                    U.S. Department of Commerce
                                        5285 Port Royal Road
                                        Springfield, VA 22161
                                           (703) 487-4650

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 Acknowledgements
This handbook is the product of the U.S. Environmental Protection Agency's (EPA's) Office of Emergency
and Remedial Response (OERR). The EPA Work Assignment Manager was Richard Jeng of the Hazardous
Site Control Division (HSCD), Design and Construction Management Branch (DCMB). Lieutenant Com-
mander Jo Ann Griffith, U.S. Public Health Service, was the original author.

Special recognition is extended to the following co-authors for their ongoing support, essential technical
expertise, and invaluable recommendations and insight:

              Kenneth J. Erickson, P.E., USEPA, Region IX
              Jo Ann Cola, USEPA, Region IX
              Frances Costanzi, USEPA, Region III
              Gene Wingert, USEPA, Region UI
              William J. Bolen, USEPA, Region V
              Kenneth Skahn, P.E., USEPA, HQ HSCD/DCMB
              Robert Curnyn, P.E., U.S. Army Corps of Engineers

The authors express their appreciation to the following persons for their contributions to the depth of infor-
mation embodied in the handbook: Tracy Hopkins, P.E., USEPA, HQ HSCD/DCMB, and Gary L. Johnson,
USEPA, QAD/RTP-NC.
                                            in

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 Table of Contents
Chapter 1  Introduction
    1.1   Purpose of the Handbook	1
    1.2   Overview of the Handbook	1

Chapter 2  Project Management
    2.1   Introduction	3
    2.2   Definition of Project Management	3
         2.2.1   Scope of Work	3
         2.2.2   Project Budget, Funding, and Costs	3
         2.2.3   RD/RA Schedule	3
         2.2.4   Project Team	3
    2.3   Skills of a Successful Project Manager	4
         2.3.1   Knowledge of Project Management Principles	4
         2.3.2   Competency as a Manager in a Project Environment	  4
         2.3.3   Leadership	4
         2.3.4   Technical Competence	4
    2.4  Project Management	4
         2.4.1   Monitoring the RD/RA	4
         2.4.2   Managing the RD/RA	5
    2.5  General RPM Responsibilities During RD/RA	6
         2.5.1   Responsibilities During RD/RA Planning	7
         2.5.2   Responsibilities During RD/RA Execution	8
         2.5.3   Responsibilities During RD/RA Closeout	8
         2.5.4   Limits of Authority	8
          2.5.5   Potential RPM Liability	•• 9

 Chapters  RD/RA  Project Planning
    3.1   Introduction.	•	11
    3.2   Developing the Project Management Plan.....	11
    3.3   Establishing the RD/RA Lead for Federal-Lead Projects	:	12
    3.4   Assembling a Technical Review Team	12
    3.5   Developing a Communications Strategy	14

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RD/RA Handbook

       3.6  Collecting Predesign Information	14
       3.7  Analyzing Project Constraints	15
            3.7.1   Genera! Constraints	16
            3.7.2   Property Access Issues	18
            3.7.3   Record of Decision Changes	19
       3.8  Scheduling the RD/RA	20
            3.8.1   Gantt Chart Method	20
            3.8.2   Critical Path Method	21
       3.9  Developing the RD/RA Budget	21
       3.10 Developing a Contracting Strategy for the RD and RA	22
            3.10.1  Schedule Acceleration	23
            3.10.2  RD/RA Design Approach	24
            3.10.3  RA Contracts	25
            3.10.4  RA Procurement Strategies	26
       3.11  Coordinating with the State	27
            3.11.1  State Support Role in Federal-Lead RD/RA	27
            3.11.2  Developing the Superfund State Contract	27
       3.12 Maximizing Community Relations	28

   Chapter 4  Federal-Lead Remedial Design
       4.1   Introduction	31
       4.2  Deciding to Task the RD to an EPA Contractor or USAGE	31
       4.3  Developing the Statement Of Work	31
            4.3.1   Preparing the Remedial Design Statement of Work	33
            4.3.2   Developing a Preliminary Remedial Design Schedule	35
            4.3.3   Developing the Remedial Design Independent Government Cost Estimate	36
       4.4  Tasking the Remedial Design	36
            4.4.1   Tasking the Remedial Design to an EPA Contractor	37
            4.4.2   Tasking the Remedial Design to USAGE	38
            4.4.3   Managing the Progress of the Remedial Design	40
       4.5  Procuring a USAGE Designer	42
       4.6  Reviewing and Approving the Work Plan (ARCS/RACs)	43
            4.6.1   Reviewing the Work Plan....	43
            4.6,2   Negotiating with the Contractor	44
            4.6.3   Approving the Work Plan	45
                                                      VI

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    4.7   Overseeing the Design Development	45
          4.7.1   Design Review Procedures	45
          4.7.2   Predesign Phase Submittals	46
          4.7.3   Treatabiiity Studies	50
          4.7.4   Preliminary Design Phase....	51
          4.7.5   Intermediate Design Phase	55
          4.7.6   Prefinal/Final Design	58
    4.8   Value Engineering During Remedial Design	61
          4.8.1   VE Screen	61
          4.8.2   VE Study Team	61
          4.8.3   VE Study	62
    4.9   Post-Design Activities	63

Chapter 5  Federal-Lead Remedial Action
    5.1   Introduction	65
          5.1.1   Preparation for the Remedial Action	65
          5.1.2   Responsibilities of Key Participants Involved In the Remedial Action	65
    5.2   Remedial Action Planning Activities	67
          5.2.1   Revising the Project Management Plan	68
          5.2.2   Assembling the Technical Review Team....	68
          5.2.3   Finalizing the Superfund State Contract and Defining State Involvement During the Remedial Action.... 68
          5.2.4   Developing the Remedial Action Statement of Work	69
          5.2.5   Developing the IGCE	70
          5.2.6   Developing the Remedial Action Schedule	71
          5.2.7   Issuing the RA Work Assignment or Executing the Interagency Agreement	71
    5.3   Managing the Remedial Action	71
          5.3.1   Managing the RA Work Assignment or Terms of the Interagency Agreement	71
          5.3.2   Community Relations During the Remedial Action	72
          5.3.3   Reviewing the EPA Contractor's Remedial Action Work Plan	72
    5.4   The Remedial Action Procurement Process	73
          5.4.1   Sealed Bidding	73
          5.4.2   Negotiated Procurement	74
          5.4.3   Two-Step Sealed Bidding.	74
          5.4.4   Non-Competitive (Sole-Source) Procurement	75
          5.4.5   The Remedial Project Manager's Role in the Procurement Process	75
                                                    VII

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RD/RA Handbook

             5.4.6   Approving the EPA Contractor's Selected Constructor	75
             5.4.7   Construction Contract Award Controversies	75
        5.5   Preconstruction Activities	76
             5.5.1   Issuing the Notice to Proceed	76
             5.5.2   Conducting the Preconstruction Conference	76
             5.5.3   Delivering the Preconstruction Submittals	77
             5.5.4   Providing Site Security	77
             5.5.5   Mobilizing the Constructor	77
             5.5.6   Posting EPA Signs at the Site	77
        5.6   Construction Implementation	77
             5.6.1   Inspection and Testing	78
             5.6.2   Monitoring Construction Progress	78
             5.6.3   Reviewing Record Drawings	80
             5.6.4   Changes to the Construction Contract	80
             5.6.5   Managing Claims	81
             5.6.6   Value Engineering During Construction	81
        5.7   Contractor Completion Activities	82
             5.7.1   Achieving an Operational and Functional Remedy	82
             5.7.2   Prefinal Construction Conference	82
             5.7.3   Prefinal and Final Inspections	82
             5.7.4   Contractual Acceptance of the Project and Warranty	83
             5,7.5   Remedial Action Report	84
        5.8   State Operation and Maintenance	84
        5.9   Site Closeout Process	85
             5.9.1   Construction Completion Activities	85
             5.9.2   Site Completion Activities	87
             5.9.3   Site Deletion Activities	89

    Appendix A Glossary	A-1

    Appendix B Transmittal Forms	B-1

    Appendix C Design Review Checklists	C-1

    Appendix D Model RD, RA, and Technical Assistance lAGs	D-1
                                                        viii

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Appendix E Model RD, RD Oversight, RA, and RA Oversight SOWs	E-1

Appendix F RD/RA Fact Sheets and Other Guidance	F-1

Appendix G State-Lead	G-1

Appendix H Enforcement-Lead	H-1

Appendix I  Operations and Maintenance	1-1

List of Figures
          Figure 2-1. Skills of a Successful Project Manager	4
          Figure 2-2. Remedial Project Management Responsibilities	,	7
          Figure 3-1. Project Management Plan	11
          Figure 3-2. Potential Technical Review Team Members	13
          Figure 3-3. Example of a Communications Matrix	15
          Figure 3-4. Typical Collection of Predesign Information	15
          Figure 3-5. Examples of ROD Changes	19
          Figure 3-6. Gantt Chart	21
          Figure 3-7. Gantt Chart with Critical Path Identified	22
          Figure 3-8. Construction Bond Requirements	26
          Figure 4-1. RPM Responsibilities During Remedial Design	32
          Figure 4-2. EPA Contractor RD Standard Tasks (RACs)	33
          Figure 4-3. USAGE Standard Design Specifications	34
          Figure 4-4. Principal Remediation Categories for RD Schedules	36
          Figure 4-5. Components of a Work Plan	43
          Figure 4-6. Components of the HASP	47
          Figure 4-7. Field Sampling Plan Contents	48
          Figure 4-8. Suggested Format for the QAPP	49
          Figure 4-9. Suggested Format for a Pilot-Scale Treatability Study	50
          Figure 4-10. Preliminary Design Phase Submittal Components	52
          Figure 4-11. Intermediate Design Phase Submittal Components	55
          Figure 4-12. Prefinal/Final Design Phase Submittal Components	58
          Figure 4-13. Value Engineering Screening	62
          Figure 5-1. Preremedial Action Checklist	65
                                                  IX

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RD/RA Handbook
              Figure 5-2. Remedial Action Process	66
              Figure 5-3. Contractual Relationships in the Remedial Action Process	67
              Figure 5-4. Roles and Responsibilities of the Resident Engineer	68
              Figure 5-5. RAG and ARCS Contract RA Standard Tasks	69
              Figure 5-6. Preconstruction Conference Activities	77
              Figure 5-7. EPA Contractor Progress Reports	79
              Rgure 5-8. Site Completion and Deletion Processes	86
              Figure 5-9. Contents of the Preliminary Closeout Report	87
              Rgure 5-10. Final Closeout Report Summary	88
              Rgure 5-11. Contents of the Notice of Intent to Delete	90

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                                                                     Acronyms and Abbreviations
Acronyms and Abbreviations
EL
                           A/E
                        ARARs
                         ARCS
                         BAFO
                           CA
                          CBD
                          CCE
                           CD
                      CERCLA

                     CERCLIS
                          CFR
                           CM
                           CO
                         CPAF
                          CPM
                        CQAP
                          CRC
                          CRP
                           CSI
                          CWE
                        D&CA
                          D&F
                          DBA
                          DQO
Architect/Engineer
Applicable or Relevant and Appropriate Requirements
Alternative Remedial Contracting Strategy
Best and Final Offer
Cooperative Agreement
Commerce Business Daily
Construction Cost Estimate
Consent Decree
Comprehensive Environmental Response, Compensation,
and Liability Act
CERCLA Information System
Code of Federal Regulations
Construction Manager
Contracting  Officer
Cost-Plus-Award-Fee
Critical Path Method
Construction Quality Assurance Plan
Community  Relations Coordinator
Community  Relations Plan
Construction Specification Institute
Current Working Estimate
Design and Construction Advisor
Determination and Finding
Davis-Bacon Act
Data Quality Objective
                                           xi

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RD/RA Handbook
                               EL
                          EPCRA
                             ERP
                             BSD
Expenditure Limit
Emergency Planning and Community Right-to-Know Act
Emergency Response Plan
Explanation of Significant Differences
                              FAR
                            FCOR
                               FR
                              FRP
                               FS
                              FSP
                               FY
Federal Acquisition Regulation
Final Closeout Report
Federal Register
Federal Response Plan
Feasibility Study
Field Sampling Plan
Fiscal Year
                             GAO
                            HASP
                           HTRW
General Accounting Office
Health and Safety Plan
Harzardous, Toxic, and Radioactive Waste
                              IAG
                              IDT
                              IFB
                            IGCE
Interagency Agreement
Indefinite Delivery
Invitation for Bids
Independent Government Cost Estimate
                             LAN
                            LEPC
                             LOE
Local Area Network
Local Emergency Planning Committee
Level-of-Effort
                                               xii

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                                                                    Acronyms and Abbreviations
CL
EL
H_
                         LTCS
                        LTRA
                         MOU
                         MSW
                         NCP
                        NOID
                         NPL
                         NRC
                      NTCRA
                        O&M
                        OERR
                         OGC
                         OIG
                         OMB
                         ORC
                         ORD
                         OSC
                        OSHA
                      OSWER
                          OU
                        p&ro
                       PCOR
                         PFD
Long-Term Contracting Strategy
Long-Term Response Action
Memorandum of Understanding
Municipal Solid Waste
National Contingency Plan
Notice of Intent to Delete
National Priorities List
National Response Center
Non-Time-Critical Removal Action
Operations and Maintenance
Office of Emergency and Remedial Response
Office of General Counsel
Office of Inspector General
Office of Management and Budget
Office of Regional Counsel
Office of Research and Development
On-Scene Coordinator
Occupational Safety and Health Administration
Office of Solid Waste and Emergency Response
Operable Unit
Piping and Instrumentation Diagram
Preliminary Closeout Report
Process How Diagram

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RD/RA Handbook
                              PPE       Personal Protective Equipment
                               PO       Project Officer
                               PR       Procurement Request
                              PRP       Potentially Responsible Party
                              QA
                            QAPP
                              QC
Quality Assurance
Quality Assurance Project Plan
Quality Control
                               RA
                             RAC
                            RACS
                            RCRA
                               RD
                               RE
                            REPR
                              RFP
                               RI
                             ROC
                             ROD
                             RPM
Remedial Action
Response Action Contract
Response Action Contracting Strategy
Resource Conservation and Recovery Act
Remedial Design
Resident Engineer
Real Estate Planning Report
Request for Proposal
                                I
Remedial Investigation
Regional Off-Site Contract
Record of Decision
Remedial Project Manager
                          S/RPOD
                            SACM
                              SAP
                            SARA
                             SAVE
                              SCA
                                SF
                            SMOA
Superfund/RCRA Procurement Operations Division
Superfund Accelerated Clean-Up Model
Sampling and Analysis Plan
Superfund Amendments and Reauthorization Act
Society of American Value Engineers
Service Contract Act
Standard Form
State Memorandum of Agreement
                                               XlV

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                                                                    Acronyms and Abbreviations
                         SMP      Site Management Plan
                          SOP      Standard Operating Procedure
                         SOW      Statement of Work
                          SSC      Superfund State Contract
DL
EL
 W,X,Y,Z
                           TA
                         TAG
                           TO
                        TERC
                         TQM
                         TRT
                         UAO
                       USAGE
                           VE
                        VECP
                          VEP
                          WA
                        WACN
                        WACR
                         WAF
                         WAM
                         WAP
                         WBS
                          WP
Technical Assistance
Technical Assistance Grant
Technical Direction
Total Environmental Restoration Contract
Total Quality Management
Technical Review Team
Unilateral Administrative Order
United States Army Corps of Engineers
Value Engineering
Value Engineering Change Proposal
Value Engineering Proposal
Work Assignment
Work Assignment Closeout Notification
Work Assignment Completion Report
Work Assignment Form
Work Assignment Manager
Work Assignment Package
Work Breakdown Structure
Work Plan
                                          xv

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                                                                               Chapter 1« Introduction
 Chapter 1   Introduction
1.1   Purpose of the Handbook
The purpose of this handbook is to provide Reme-
dial Project Managers (RPMs) with an overview of
the remedial design (RD) and remedial action (RA)
processes. The handbook may be used by the entire
range of RPMs—from those who have had little ex-
perience with RD or RA projects to those who have
managed several. It should be most useful for Fed-
eral-lead sites where the Superfund is used to finance
the RD or RA. The management principles outlined
herein, however, apply generally to all lead sites.

The RD/RA Handbook focuses on how an RPM can
use project management principles to implement ef-
fectively  a selected remedy in accordance with the
Record of Decision (ROD). It is not a conventional
engineering manual, but rather a general reference
document for issues that arise during the RD/RA
process.  Where additional EPA guidance exists on
a topic, it is referenced at the end of the applicable
section.

1.2   Overview of the Handbook
Chapter 2, "Project Management," and Chapter 3,
"RD/RA  Project Planning," introduce an RPM to
basic  engineering project management principles.
Chapter 4, "Federal-Lead Remedial Design,"  and
Chapter 5, "Federal-Lead Remedial Action," pro-
vide an overview of the RD and RA processes re-
spectively, as they should occur in Federal-lead,
Fund-financed sites. Chapters 4 and 5 also docu-
ment procedures and suggest RPM actions for Fed-
eral-lead, Fund-financed sites. The appendices, an
integral part of the RD/RA Handbook, contain addi-
tional reference material in support of the chapters.

Every effort has been made to make the  RD/RA
Handbook a user-friendly reference guide.   The
handbook is in notebook format with tabbed divid-
ers so that revisions or updates to the chapters or
appendices may be added or pages may be removed
where appropriate. Tabbed dividers for state- and
enforcement-lead and operations and maintenance
guidance are included so that those documents may
be added as developed.

The RD/RA Handbook will assist the RPM in nego-
tiating and managing the challenges that arise dur-
ing an RD or RA. It contains detailed information
about the activities that RPMs perform and the tools
that are available to make their job easier.  One of
the most important functions that any RPM must
perform, however, is managing the complex profes-
sional relationships that are part of all RD/RA
projects. A typical RPM works with EPA Regional
staff, EPA Headquarters staff, United States Army
Corps of Engineers (USAGE) staff, Alternative Re-
medial Contracting Strategy (ARCS) or Response
Action Contract (RAC) contractor staff, local com-
munity members, and representatives from the states.
Although the RD/RA Handbook defines these rela-
tionships and provides guidance  on encouraging
communication among those who will influence the
outcome of an RD/RA project, the RPM ultimately
must decide how to manage the multiple individual
and organizational relationships involved.

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                                                                       Chapter 2 • Project Management
  Chapter 2  Project Management
2.1  Introduction
Managing a remedial design (RD) or a remedial
action (RA) presents a number of challenges to the
Remedial Project Manager (RPM).  While RD/RA
projects are similar to other design and construction
projects in many respects, there  are unique
challenges that RPMs face due to the sensitized
regulatory environment under which these projects
are conducted. For example, managing an RD/RA
project under the Comprehensive Environmental
Response, Compensation,  and Liability  Act
(CERCLA),  as amended by  the  Superfund
Amendments  and Reauthorization Act (SARA),
requires that the RPM balance the sometimes
conflicting objectives and needs of individuals and
organizations whose cooperation is required for
successful project completion. This chapter provides
the RPM with the definition of project management
and covers the skills required of and the activities
performed by a successful project manager, quality
principles to be applied to projects, and other general
responsibilities.  The RPM should be familiar with
the project management concepts presented in this
chapter and should periodically evaluate his or her
management approach for effectively directing an
RD or an RA.

2.2  Definition of Project Management
Project management is the process  of creating,
monitoring, and controlling the scope of work,
schedule, and budget of an RD/RA project.  The
project manager creates and manages the project
team, which is composed of all project participants.
The RPM as project manager acts as the focal point
of communications and coordinates project team
efforts, ensuring that project participants work
together to accomplish the RD/RA project.   The
project manager maintains a clear vision of the final
objective—successful completion of the RD/RA
project on time and within the budget—while
coordinating the individuals, organizations,
technology, money, equipment, time, and other
resources to bring it about.
2.2.1 Scope of Work
The RD/RA scope of work must be based on the
Record of Decision (ROD), which defines the
selected remedy to be applied at the site.   The
elements of the ROD are contained within the
following documents:

•   Work assignments (WAs) issued to the EPA
    contractor for Federal/EPA-managed sites
•   Interagency agreements (LAGs) for Federal/
    United States Army Corps of Engineers
    (USACE)-managed sites
•   Cooperative agreements (CAs) for State-lead
    sites
•   Consent decrees (CDs) or unilateral
    administrative orders (UAOs) for
    enforcement-lead sites

As the focus of the RDIRA Handbook is Federal-
lead sites,  CAs, CDs, and UAOs are not discussed
in detail.

2.2.2 Project Budget, Funding, and Costs
Project budget, funding, and costs for Federal- and
state-lead sites are maintained and tracked in the
Comprehensive  Environmental   Response,
Compensation, and Liability Information System
(CERCLIS).  One of the RPM's most important
functions is updating RD/RA budget information hi
CERCLIS  as the project progresses.

2.2.3 RD/RA Schedule
The project schedule, developed and managed by
the RPM, is also tracked hi CERCLIS.  It is specified
in the WA, IAG, CA, CD, or UAO, depending on
the  site-lead status.  Scheduling is  necessary to
anticipate when project resources or participation
by others will be needed.  The RPM updates the
schedule as the RD/RA project progresses.

2.2.4 Project Team
Creating and managing an RD/RA project team from
all the participants in  an RD/RA  project is a
challenge.  The RPM must rely on his or her ability
to communicate among, direct, and coordinate

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RD/RA Handbook
   project participants. TheRPM should use the project
   management plan, the  Technical Review Team
   (TRT), a communications strategy, and other tools
   at his or her disposal to accomplish this task (see
   sections 3.2, 3.4, and 3.5).

   2.3   Skills of a Successful Project Manager
   Successfully managing an RD/RA project requires
   the RPM to blend  a number of skills.  Four of the
   most important,  as listed in Figure 2-1, are
   knowledge of project  management principles,
   competency as a manager in a project environment,
   leadership, and technical competence.
      Figure 2-1
        Skills of a Successful Project Manager

     • Knowledge of project management principles
     • Competency as a manager in a project environment
     • Leadership
     • Technical competence
                                           51-043-19A
   2.3.1  Knowledge of Project Management Principles
   Each RPM should  understand basic project
   management principles and the application of these
   principles for the successful completion of an RD/
   RA project.  Technical competence alone is
   insufficient because a large portion of the RPM's
   job is comprised of non-technical components. The
   project manager must  perform his  or her
   management functions with a foundation of basic
   project management principles, supplemented by a
   common-sense approach based on experience and
   effective use of scheduling and budgeting systems.

   2.3.2  Competency as a Manager in a Project
         Environment
   A successful RPM exhibits certain characteristics,
   such as having a concern about quality and
   performance, leadership ability, anticipating possible
   project constraints, staffing the project with quality
   people, communicating frequently and effectively,
   having  effective work systems, documenting the
   project decision-making process, delegating
   authority when possible, being enthusiastic, and being
   sensitive to interpersonal and interorganizational
   relationships.
2.3.3  Leadership
The RPM must lead, motivate, and inspire project
personnel to give their best efforts to the project.
Completing an RD or RA brings people together who
do not routinely work together. The RPM must
develop a project team to perform satisfactorily; an
RPM's personal attributes are as important as project
management systems and procedures for this skill.
Leadership includes setting a project's direction,
establishing  a vision,  and  developing and
implementing strategies to achieve the project goals.

2.3.4  Technical Competence
Ideally, the RPM should be competent in a discipline
suitable to the project. This allows the RPM to feel
comfortable with, and contribute to, the highly
technical aspects of the RD/RA and enhance his or
her ability to communicate effectively with technical
participants in the project. An RPM familiar with
the technical aspects of a project is better equipped
to make decisions regarding the project scope,
schedule, and budget issues, thus reinforcing his or
her leadership position and gaining respect from
project team members. RPMs lacking the applicable
technical abilities for their projects should select
others with these skills to assist in RD/RA activities.
One of the best training methods for an inexperienced
RPM is to seek an apprentice relationship with an
experienced RPM, particularly before assuming first-
time responsibility for an RD/RA.


2.4   Project Management
This section presents approaches to routine activities
for monitoring and managing RD/RA projects.
These methods are extremely important in producing
a successful project and have their roots in traditional
project management.

Effective management at the onset of and throughout
a project minimizes the obstacles that develop as
the project progresses. During initial project stages,
it is easier to effect change and to take corrective
action.  Changes during later project stages usually
take significantly more effort to achieve, cost more,
and extend the schedule.

2.4.1  Monitoring the RD/RA
The RPM monitors actual site progress, adherence
to the project schedule, and  budget and work

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                                                                         Chapter 2 • Project Management
performance throughout the project, using a number
of techniques at his or her disposal.

Site Progress
The primary method for gauging site progress is to
compare actual events with the schedule and budget
developed  in the  planning phase; this  is
accomplished  by holding review meetings  in
conjunction with obtaining regular status reports.
Both USAGE and EPA contractors should produce
monthly progress reports for RPM use.  More
frequent  reports  may be needed  during RA
construction (i.e., the RA statement of work [SOW]
could be written to require weekly reports).  The
Alternative Remedial Contracting Strategy (ARCS)/
Response  Action Contract (RAC) contractors are
required by contract to provide specific types  of
progress reports that the RPM uses to compare the
actual schedule and budget with the planned targets.
To facilitate this comparison,  the regular progress
reports must:

•   Determine the status and progress of each task
    towards its objective
•   Report progress for the current period and
    estimate progress for the succeeding period
•   Report expenditures for the current period and
    estimate expenditures for the succeeding
    period
•   Review total expenditures
•   Review the overall schedule and budget status
•   Identify issues affecting work progress,
    especially ones that may cause delay or
    necessitate additional funding

Schedule and Budget
Monitoring and reporting of project schedules are
conducted using the techniques discussed in section
3.8.  The RPM uses this information  in the short-
term to ensure that critical milestones such as design
reviews are met. These techniques also are used for
long-term project management decisions to avoid
delays that could affect the schedule and budget.

Budget reports are monitored by the RPM to ensure
that a particular activity is being accomplished
according to its overall schedule and within the
budget ceiling,  to ascertain that funding is spent
appropriately, and to obtain cost information for
invoice approval.  The RPM also reviews budget
reports  to  assess  the  underutilization  or
overutilization of funds and labor hours (burn rate)
as compared to the expected burn rate.

Work Performance
In addition to routine monitoring of the schedule and
budget, the RPM evaluates work performance.
Where deficiencies are noted, the RPM must  be
proactive  and correct the deficiencies as soon as
possible.  Early corrections allow a project to get
back on course without additional expenditures and
schedule delays.

An RPM may receive a seemingly overwhelming
number of submittals (deliverables) because of his
or her monitoring function.  A register, like the one
in Appendix B, can be used by the RPM as a valuable
tool to track submittals, due dates, and required EPA
action.  The RPM should decide which submittals
he or she will review and which submittals the
Technical Review Team (see section 3.4) will review.

Implementation of effective quality assurance and
quality control (QA/QC)  activities to support RD/
RA work is critical to work performance. The RPM
is responsible for planning, implementing, and
assessing the effectiveness of required and
appropriate QA/QC activities that support all phases
of the RD/RA process. Part C of the ANSI/ASQC
guidelines should be used as the basis for QA/QC
for RD/RA projects.

ANSI/ASQC E4-1994, "Specifications and
Guidelines for Quality Systems for
Environmental Data Collection and
Environmental Technology Programs," Part C,
provides the minimum quality systems
requirements for the design, construction, and
operation of technology usedforRDIRAs.

2.4.2 Managing the RD/RA
Although a project manager is held accountable for
all aspects of a project, a Superfund RPM seldom
has the authority or the control of all external factors
to ensure that a project proceeds according to plan.
Thus, the RPM must develop a proactive approach
to project management.

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RD/RA Handbook
   For example, routine progress meetings help the
   RPM identify potential deviations from the project
   strategy.  RPM response to a particular project
   management issue varies depending on the problem
   and its immediacy—some deviations will be long-
   term trends rather than immediate events. Deviations
   from project strategy are avoided or controlled by
   initiating preventive or corrective actions.  The
   proactive approach emphasizes anticipating potential
   problems  and developing pre-emptive solutions,
   devising work-around strategies when problems do
   arise, and modifying the project with minimum
   disruptions to handle  surprise  situations that
   inevitably arise.

   Anticipatory Actions
   Anticipatory actions are preventive strategies for
   avoiding potential  schedule disruptions. Possible
   actions include:
   •   Requesting USAGE  assistance in EPA
       contractor oversight
   •   Maintaining strict submittal schedules
   •   Increasing direct observation of office or field
       activities
   •   Maintaining awareness of upcoming project
       milestones  and associated EPA reviews
   •   Identification and resolution of property
       access issues
   •   Early and continued interaction with the
       community
   •   Early state involvement

   Work-Around Strategies
   Work-around strategies respond  to  negative
   deviations (usually in schedule, budget, or personnel
   resources) to accommodate changes and minimize
   the effects on  overall completion of the project.
   Examples include:
   •   Streamlining requirements for work products
       to avoid repetition of data in multiple
       deliverables
   •   Conducting in-progress reviews to eliminate
       interim deliverable requirements
Modifications to Project Strategy
Modifications are used to accommodate deviations
only as a last resort.  Modifications alter the project
budget, schedule, or scope and may require:

•   Additional funding (if available)

•   ROD changes
•   Superfund state contract (SSC) changes


2.5   General RPM Responsibilities During
      RD/RA
This section provides an overview of the RPM's
responsibilities during the performance of the RD/
RA. As a professional project manager responsible
for the successful  completion of a technically
complex,  multi-million  dollar  design  and
construction project, the RPM has an instrumental
role in the planning, execution, control, and closeout
of the RD/RA. As such, the RPM is a guardian of
the taxpayer's money, imbued with upholding the
public trust in executing a ROD as promised.

To carry out his or her responsibilities, the RPM must
oversee the successful completion of the RD/RA,
regardless of lead, and ensure that the completed
remedy meets all goals and objectives described in
the ROD. The RPM's involvement in ensuring that
the objectives  and goals are achieved varies
depending on the designated lead agency or party.
In attempting to  achieve the end results of the RA,
the RPM should manage the big  picture and not
micro-manage all aspects of the project. Micro-
management can result in the RPM becoming
overwhelmed as the project progresses. The RPM
must use appropriate team members to help manage
the RD/RA and delegate responsibility to those
individuals or organizations so that he or she can
effectively manage the entire project.

Specific details on RPM responsibilities are
presented throughout Chapters 3, 4, and 5.

Figure 2-2 lists the RPM's general responsibilities
during each of  the  RD/RA phases.   RPM
responsibilities can be divided  into the  following
categories, each described below, which  provide a

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                                                                                Chapter 2 • Project Management
  Figure 2-2
           Overall
       RD/RA Planning
      RD/RA Execution
       RD/RA Closeout
 Remedial Project Management Responsibilities
•   Ensures completed remedy meets all goals and objectives in the ROD
•   Focuses on the overall management ("big picture") versus micro-management of RD/RA

•   Develops project management plan
•   Organizes Technical Review Team
•   Establishes communications strategy
•   Understands requirements and procedures of EPA support contracts
•   Prepares SOW, schedule, budget/independent government cost estimate
•   Revises budget and schedule based on review of the contractor's/USACE's work plan
   and subsequent negotiations
•   Coordinates with the state/potentially responsible parties (PRPs) regarding site access
•   Ensures public awareness of RD/RA activities
•   Ensures all applicable or relevant and appropriate requirements (ARARs) are identified
   for the site
•   Plans necessary  QA/QC activities

•   Monitors, controls, and revises schedule on regular basis
•   Monitors, controls, and revises budget on regular basis
•   Audits project execution
•   Reviews key deliverables and ensures quality products
•   Manages WAs, lAGs, CAs, CDs, and other agreements
•   Facilitates communications between parties
•   Updates CERCLIS/WasteLAN Systems
•   Maintains administrative record/site files

•   Conducts final inspection
•   Reviews RA reports
•   Prepares WA closeout report or formal cioseout request for the IAG, reviews and approves
   invoices, and deobligates any remaining funds in WA, IAG, or CA
framework for understanding the general and varied
nature of the position:
•   Responsibilities during RD/RA planning
•   Responsibilities during RD/RA execution
•   Responsibilities during RD/RA closeout
•   Limits of authority
•   Potential liability

2.5.1  Responsibilities During RD/RA Planning
The RPM is the key to successful project planning
and should devote considerable time and energy to
                          the planning and startup phases of the project.  The
                          majority of funds in the Superfund program are spent
                          on RDs and RAs; consequently, it is important that
                          each RD/RA project be successful. Although even
                          the most carefully planned and administered project
                          can develop  serious implementation problems, the
                          chances of this occurring are greatly reduced by
                          adequately scoping the project and  developing  a
                          strategy for project implementation. When planning
                          the RD/RA,  the RPM must be aware of his or her
                          role, responsibilities, and level of authority to ensure
                          that the best plan for accomplishing the objectives
                          is produced.

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RD/RA Handbook
   Initially, the RPM  should develop a project
   management plan (section 3.1) to serve as a
   framework for defining the RPM's approach to
   project execution. This enables the RPM to visualize
   the specifics of the project, make key decisions
   regarding execution, consider constraints, and plan
   accordingly. The project management plan is an
   evolving document that is updated periodically as
   more information is gathered and circumstances
   change. The purpose of the project management plan
   is to develop a strategy to complete the RD/RA
   successfully. It is a particularly useful tool for the
   less experienced RPM who has not yet managed an
   RD/RA  project.  Less experienced RPMs should
   obtain assistance in preparing a project management
   plan from a more experienced manager. Experienced
   RPMs may find that they already perform a similar
   planning exercise when scoping the project.

   OSWER Directive 9355.0-43, "Guidance for
   Scoping the Remedial Design," (Publication No.
   PB95-963306), March 1995, provides more
   information on scoping an RD project.

   2,5.2 Responsibilities During RD/RA Execution
   After the initial planning is completed and the RD/
   RA begins, the RPM is responsible for ensuring that
   the project progresses on schedule and within budget.
   To do so, the RPM manages the EPA contractor,
   USAGE, state, or potentially responsible parties
   (PRPs) by:

   •    Initiating and maintaining frequent
       communications with project participants via
       conference calls
   •    Conducting regular meetings to discuss RD/
       RA progress,  identify problems, and take
       corrective actions  as necessary
   •    Developing complete documentation of all
       meetings and conference calls
   •    Ensuring timely review of key deliverables by
       the TRT (section 3.4)

   2.5.3 Responsibilities During RD/RA Closeout
   Upon completion of the RD/RA, the RPM must
   ensure that the appropriate procedures are followed
   for closing out the EPA contractor WA, the USAGE
LAG, the state CA, or the PRP-lead activities. The
RPM also ensures that the proper transfer of sites to
parties responsible for operation and maintenance
(O&M) of the remedy takes place. For Federal-lead,
Fund-financed sites, the state generally is responsible
for O&M and its responsibilities are outlined in the
SSC. Chapter 5 and section 3.11 contain additional
information on these responsibilities.

2.5.4  Limits of Authority
During  project  execution, EPA  enters  into
agreements with a state, USAGE, a contractor, or
PRPs to accomplish all or part of the remedial
activities at the site.  Even though the successful
completion  of  the RD/RA  is  the  RPM's
responsibility, he or she often does  not have the
authority or ability to control all external influences
that can impede the project's successful completion.

For Federal-lead/EPA-managed RDs and RAs, the
RPM must know the contracting structure of the
project; the RPM cannot direct or assign work not
specified in contract documents (e.g., the SOW or a
WA) or enforcement documents.  The Contracting
Officer (CO) is the only government official who
can authorize work beyond the original scope of the
WA. To prevent this from happening, the RPM must
develop a thorough SOW for the WA while being
familiar  with the terms and organization of  all
agreements with all the parties involved.  For
Superfund sites, the RPM usually functions as a
Work  Assignment Manager (WAM).   When
functioning as a WAM, the RPM should be aware of
his or her limits of authority in directing and
authorizing work. As the CO is the only government
official authorized to commit government funds in
a WA, the RPM must not direct a contractor to initiate
work before receiving authorization from the CO.

When USAGE is the contracting party and manages
the RD or RA, personnel from USAGE authorize
the work.  The RPM should understand his or her
role and limits of authority and work within the limits
of the particular contractual agreement (the IAG).

In addition to knowing his or her limit of authority
under  each type  of agreement,  the RPM must
administer the  necessary paperwork  for the
agreement. For all types of agreements into which

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                                                                         Chapter 2 • Project Management
EPA enters  with third parties to implement
Superfund remedial activities, the RPM usually
initiates, monitors, revises (as necessary), and closes
out the agreements.

2.5.5 Potential RPM Liability
The RPM should understand his or her own liability
and the liability of others during the performance of
theRD/RA.

Remedial Design
Although  the RPM approves  the design and
deliverables before they are implemented, EPA's
review and approval does not imply an assumption
of responsibility for design deficiencies, errors, or
omissions.  Whenever the RPM submits review
comments or approves a design, the correspondence
should include a clause that emphasizes  that the
responsibility for the effectiveness of the design rests
with the designer  and that RPM "approval"
constitutes only an authorization to proceed.
Likewise, the RPM does not approve, although he
or she may appear to do so, other design-related
.deliverables such as the health and safety plan
(HASP) and the quality assurance project plan.

The RPM  also must guard against directing the
design contractor toward an unsound design. If the
RPM does so and the implemented design fails, and
the contractor was not negligent in implementing
the design, then the design contractor's  liability is
reduced or eliminated, regardless of whether the RD/
RA is a Federal-, state-, or enforcement-lead project.
However, the RPM, as a federal employee, would
not be personally liable for government damages
resulting from directing the design contractor
because government employees are protected from
personal liability incurred from performance of their
job duties under the Federal Torts Claims Act. An
RPM could incur personal liability for damages,
however, if the damages are the result of an action
the RPM knowingly performed outside the scope of
his or her job duties or area of competence.

To avoid those situations, the RPM should assemble
a complete and competent TRT to review thoroughly
the design (see section 3.4). The RPM also should
verify that the design contractor is complying with
its own design QA/QC plan.

Remedial Action
The RPM must respect the privity of contract
between the contracting party and the constructor.
Unless EPA has a contract directly with a constructor,
EPA must not direct the work of the constructor.
Only the party contracting directly with the
constructor has the authority to do so. For example,
during remediation activities, the  RPM must be
cautious to  ensure  conformance with  the
specifications without assuming responsibility for
the direction of the work of the constructor. To
accomplish that,  the RPM works  with the EPA
contractor or USAGE, which then directs the work
of the constructor.

As with RD deliverables, EPA review and approval
of RA deliverables such as the HASP does not
constitute legal "approval." For  more specific
information on legal liability, consult the Office of
General Counsel or Regional Counsel.

If an RA contract modification is required because
of an error or deficiency in the design, the party that
contracted for the design should examine the
designer's possible liability.  If sufficient liability
appears to exist, the designer may be held liable.

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                                                                         Chapter 3 • RWRA Project Planning
 Chapter 3 RD/RA Project Planning
3.1   Introduction

Any successful project begins with thorough and
sound project planning. This  chapter and the
remainder of the RD/RA Handbook focuses
specifically on Federal-lead, Fund-financed sites.
Tabbed  dividers have  been provided so that
individual documents on state- and enforcement-lead
sites may be added.

The Remedial Project Manager  (RPM), acting on
EPA's behalf, is responsible for  the quality of the
remedial design (RD) or remedial action (RA)
project. To implement a successful RD/RA project,
the RPM must devote substantial time and effort to
the planning process. The RPM who  does so will
face fewer unanticipated management demands as
the project progresses.  Although RD/RA project
planning may appear to start after remedy selection
and the signing of the Record of Decision (ROD), it
should commence before the ROD  is signed
whenever possible. The earlier the planning begins,
the greater the RPM's ability to direct the RD/RA to
its successful completion.


3.2   Developing the Project Management
      Plan

After the RPM is familiar with remedy details and
pertinent site information and history, he or she can
begin making key planning decisions. To facilitate
the planning and eventual implementation of the RD/
RA, the RPM should develop a project management
plan that documents project management goals and
operational procedures. The project management
plan is the RPM's tool to devise and document a
strategy for successfully completing the project on
time and within budget.  The project  management
plan is a "living" document that is updated when
new information becomes available as the design
proceeds or as site circumstances change.

The RPM is responsible for the quality of the project,
establishing    project    requirements    and
communicating these requirements  to the other
project participants, including the designer and the
constructor. To summarize the requirements of the
project fully, the RPM should consider carefully all
aspects of the RD/RA project. A project management
plan enables the RPM to do this effectively.

Figure 3-1 outlines the major managerial decisions
addressed in project management plan development.
  Figure 3-1
              Project Management Plan
   1.  Definition of project objectives
   2.  Organizational structure
      • Identifying the lead
      • Assembling a Technical Review Team (TRT)
   3.  Communications structure
      • Developing the communications strategy
   4.  Project constraints
      • Analyzing effect on schedule/scope/budget
   5.  RD/RA contracting strategy
      • Identifying opportunities to accelerate the schedule
       - Phasing
       - Fast-tracking
       - Use of preplaced and prequalified contracts
      • Selecting the design approach
       - Detailed design specifications and drawings
       - Performance-based specifications and drawings
      • Identifying the RA contract type
       - Fixed price
       - Cost-plus-reimbursement
       - Time and materials
       - Indefinite delivery orders
       - Service or construction contracts
      • Choosing an RA procurement strategy
       - Competitive procurement
       - Non-competitive procurement
   6.  Schedule development
   7.  Budget preparation
      • Independent government cost estimates (IGCEs)
   8.  Superfund state contract (SSC) timing
   9.  Property access issues
  10.  Community relations
                                                11

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RD/RA Handbook
   Plan content will depend on the complexity of the
   RD or RA; fewer requirements need to be addressed
   for simple projects. The  RPM determines plan
   contents and the level of  detail. Some questions
   cannot be addressed until the design is underway;
   thus, the project  management plan must be
   periodically revisited and updated. An inexperienced
   RPM should seek technical assistance from
   experienced Regional staff or the U.S. Army Corps
   of Engineers (USAGE) when developing the plan.
   Specific elements of the project management plan
   are discussed in the  following  sections and in
   Chapters 4 and 5.

   3,3  Establishing the RD/RA Lead for
        Federal-Lead Projects
   Before an RD/RA project commences, the lead is
   established.  For Federal-lead sites, the RPM must
   select the appropriate means of performing the RD
   and the RA. RD responsibilities may be assigned to
   an EPA contractor or USAGE,  at the Region's
   discretion, regardless of cost An Office of Solid
   Waste  and Emergency  Response  (OSWER)
   Dkective mandated a maximum RA ceiling of $15
   million for issuing RA assignments to  an EPA
   contractor. RAs estimated to exceed $15 million
   should be assigned to USAGE for construction
   management.

   If an EPA contractor will be selected for the RD or
   RA or for both, the RPM, with assistance from the
   Project Officer (PO), should evaluate the contractor's
   success on other projects. Although it may appear
   to be desirable  to maintain continuity from the
   remedial investigation/feasibility study  (RI/FS)
   through the RA by using the same contractor for the
   RD and the RA, the RPM must consider carefully
   all options in light of project requirements  and
   available contract capacity. In some instances, an
   EPA contractor will be selected to design the remedy
   and USAGE to manage the construction.  In these
   situations, it is strongly recommended that USAGE
   serve as a technical advisor during the RD and be
   permitted to participate fully in the  review of
   drawings and specifications.

   OSWER Directive 9242.3-03, December 10,
   1991, mandated a maximum RA ceiling of $15
   million for issuing RA assignments to an EPA
   contractor.
3.4   Assembling a Technical Review Team

The complexity of a typical RD or RA project
requires in-depth knowledge  of a  variety of
engineering and geological fields, including
chemical, civil,  mechanical, and electrical
engineering, and hydrogeology. Since a single RPM
rarely possesses such a broad knowledge base, the
RPM should assemble and coordinate a project team
of career professionals with knowledge in  the
applicable fields. Before initiating an RD, the RPM
should review the nature of the project and select
the appropriate technical assistance. The project team
approach, which requires the creation of a Technical
Review Team (TRT) comprised of representatives
from many disciplines, is used by federal agencies
engaged in design and construction management,
including USAGE, and results in higher  technical
quality and improved project efficiency.

The TRT may include Superfund technical support
staff, other experienced RPMs, representatives from
USAGE, the state, the Office of  Research and
Development (ORD), other EPA programs such as
the Offices  of Air, Water, and Solid Waste, or
Technical Assistance  Grant (TAG) technical
representative. The RPM should  also involve  the
state or other agencies with the expertise to assist in
regulatory interpretation for compliance with permit
or substantive requirements.

USAGE uses the project  team  approach when
managing an RD or RA and taps  its own in-house
resources to create a TRT. When issuing work
assignments (WAs) to Alternative Remedial
Contracting Strategy (ARCS) contractors and
Response Action Contract (RAG) contractors,  the
RPM must  identify additional  resources, both
internal and external, that could be used as part of
the TRT to ensure success. For example, the RPM
should  consider using USAGE in a technical
assistance capacity. Other agencies have excellent
technical resources and may provide a wide variety
of engineering and project management services
unavailable  within EPA. These  services can be
obtained by preparing a technical  assistance
interagency agreement (IAG) that will explain and
authorize the services needed. An IAG is an
agreement between governmental agencies that
outlines the  responsibilities of each agency in a
cooperative project. An RPM will encounter three
                                               12

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                                                                            Chapter 3 • RWRA Project Planning
types of lAGs with USAGE on RD/RA projects: RD
lAGs; RAIAGs; and technical assistance LAGs.The
titles of the lAGs reflect their purposes; technical
assistance lAGs  typically are used to facilitate
USAGE provision of technical assistance on a
project. See section 4.4.2 and  Appendix D for
additional information.

Once the TRT is formed, team members assist the
RPM in scoping the work and reviewing the work
plan and other crucial deliverables. Document review
   Figure 3-2
    is a very common bottleneck in project management.
    Some EPA Regional offices have adopted an intra-
    agency approach involving the creation of peer
    review groups from EPA staff to assist RPMs. Peer
    review groups tend to be most useful on simple or
    small-scale projects or as a component of the TRT.
    Figure 3-2 lists potential  representative members
    of the TRT.

    Large, diverse TRTs, with  members from EPA and
    other organizations located in different areas, present
                                Potential Technical Review Team Members
   EPA Regional Personnel
   Technical Suppport Team
   Groundwater Technical Support Unit
   Other experienced RPMs
   ORD personnel
   Office of Water
   Office of Solid Waste
   Office of Air
   RCRA representative

   Health and Safety Officer
   Community Relations Coordinator
   Environmental Services Division
   Regional IGCE Coordinator
   Contracting Officer/Project Officer
   Staff attorney
   Quality Assurance Manager/Coordinator
   State Personnel
   State Environmental Departments
   State Natural Resources Trustees
   Federal Agencies
   U.S. Army Corps of Engineers
   U.S. Bureau of Reclamation
   U.S. Department of Interior
   U.S. Geological Survey
   Occupational Safety and Health Administration
   National Oceanic and Atmospheric Administration

   EPA Contractors
   ARCS/RACs
   Local Government Agencies
   Building inspectors
   Community members (TAG representatives)
Experience Added to Project Team
   Specialized technical services
   Specialized technical services
   RD/RA management experience
   Technology experts
   Media experts
   Media experts
   Media experts
   Applicable or relevant and appropriate requirements
   (ARARs), regulatory specialists
   Health and safety specialists
   Experience in communicating with the public
   Quality assurance/sampling experts
   Costing specialist
   Contract/WA administration
   Legal expertise
   Quality assurance/quality control experts
   State ARARs, procedures, concerns
   Environmental impact/management
   Design, construction, & management experience
   Management and oversight experience
   Management and oversight experience
   Management and oversight experience
   Safety and health expertise
   Media and weather expertise
   Engineering and scientific expertise; RD and construction
   management
•  Design review plan-checks for compliance with building codes
•  Technical expertise
                                                                                                  51-043-36C
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RD/RA Handbook
   the RPM with a resource management challenge.
   When creating the TRT, the RPM should delegate
   responsibilities up front to team members and clearly
   establish project and individual requirements for
   each team member.

   3.5  Developing a Communications Strategy

   Once a TRT is formed, the  RPM must develop an
   effective communications  strategy. The strategy
   should provide a framework for communication
   among a diverse team of individuals, usually
   working within different organizational boundaries,
   and facilitates efficient exchange of technical,
   financial, schedule, and procedural information. As
   a general rule, the more information a project
   manager passes along to TRT members, the more
   likely that they will generate good ideas for the
   project and communicate them to the project
   manager.

   Since the RPM acts as the conduit for RD/RA project
   information, he or she should ensure that appropriate
   information is communicated to the appropriate
   people at the right time. The project management
   plan should document a strategy, in written or
   graphical form, that:

   •  Sets up  communication  procedures
   •  Outlines frequency of communication patterns
   •  Provides clear channels  for communication
   •  Establishes controls to identify
      communication breakdowns

   The RPM should strike a balance between the
   frequency of communication among the various
   parties and the appropriate level of communications.
   The opportunity for miscommunication and
   misunderstanding increases with the number of
   people involved and the complexity of the project.
   The following communications mechanisms should
   be included in the project management plan:

   •  Kickoff meeting involving all team players
   •  Formal meetings to review progress (e.g.,
      design reviews)
   •  Conference calls
   •  Periodic status reports
•   Informal meetings/interpersonal
    communication

An RPM can structure a communications strategy
in many different ways. One suggested method
involves preparing a communications matrix
identifying key team members and how information
(including submittals, memoranda, documents, and
approvals) is distributed among the members. The
RPM should use whichever matrix format(s) best
serves his or her purposes. A generic example of a
matrix format is illustrated in Figure 3-3.

The communications  matrix should reflect the
agreement of the entire team and be designed so that
everyone clearly understands his  or her role in the
flow of communication before the RD commences.
The roles in the communications matrix should
provide  open channels of communication without
inundating  team members with  too much
information, thereby discouraging a value-added
review.  An  important  aspect  of effective
communications is providing TRT members with
advance notice regarding submittals for their review.

3.6   Collecting Predesign  Information
During the planning process and before the RD
begins, the RPM must be as thorough as possible in
providing all relevant information (sampling reports,
etc.) to the designer. Predesign information collection
is an essential step in facilitating the smooth
transition from the ROD to the RD and ensuring that
the designer has a clear understanding of the
technical objectives of the ROD. The RPM must be
as thorough as possible in  providing  relevant
information, but the designer is responsible for
ensuring the completeness  of  the information
provided. This collection of information, along with
the project management plan, serves as the initial
building block for the RPM to  develop the RD
statement of work (SOW) (see section 4.3).

Primary information sources  for predesign
information collection include the RI/FS, the ROD,
and other available documents. In addition, much
of the information for Federal-lead RDs may be
obtained through a predesign discussion session,
which should be held soon after the ROD is signed,
involving the RPM, the RI/FS contractor, in-house
                                                14

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                                                                            Chapter 3 • RDJRA Project Planning
Figure 3-3 ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^H

Example of a Communications Matrix

Invoice/
Monthly
Reports
Internal
Memoranda
RD
Submittals
(List)
RA
Submittals
(List)
RPM




PO




CO




State




ARCS/RAC
Contractor




TRT






                                                                                               51-043-37A
technical experts, and other Regional personnel
experienced   in   RD/RA   project   work.
Representatives from the designer, theTRT, the state,
and other federal agencies also may attend.

A listing of collected information serves as a current
inventory of information pertinent to  the RD and
should be attached as an appendix to the RD SOW
so that both the RPM and designer may identify
design information needs.  Figure 3-4 lists
information to be collected.

OSWER Directive 9355.0-43, "Guidance for
Scoping the Remedial Design," March 1995,
provides more information on predesign
information collection.


3.7   Analyzing  Project Constraints

Although the RPM faces several project constraints
that can jeopardize timely project completion, they
can be minimized through effective planning. This
section describes a list of issues an RPM generally
encounters that can affect the project schedule and
costs. By recognizing potential constraints, the RPM
can develop the most effective RD/RA contracting
strategy to avoid late changes to the budget and
schedule.
   Figure 3-4
      Typical Collection of Predesign Information

   • Initial site conditions (e.g., characteristics, availability
     of utilities, restrictions on road use)
   • Availability of site access (any known restrictions or
     issues)
   • Technology/design approach
   « Performance standards, ARARs, permits
   • Summary of all available technical information (listing
     of the source and description of the data)
   • Volume of materials to be treated and the accuracy
     of the data
   • Unresolved issues (including undecided or unknown
     performance standards)
   • Health and safety concerns
   • Operation and maintenance (O&M) issues
   • Historical property boundary and ownership information
                                                                                               51-043-388
                                                  15

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RD/RA Handbook
   3.7.1  General Constraints
   The following major types of constraints should be
   considered for most RD/RA projects:

   •   Funding
   •   Schedule
   •   Health and safety
   •   Equipment
   «   Weather
   •   Change in RPM
   •   Community relations

   •   Permits
   •   Off-site disposal

   Funding
   All funding constraints must be identified so that
   the project may be scoped adequately. The RPM
   should know the availability of funds for the RD,
   RA, technical assistance, and O&M costs. The RPM
   also should be aware of the state cost share.

   Incomplete RA funding for the project (only partial
   funding available) may result in the need to phase
   certain portions  of the RA (see section 3.10.1). A
   phased RA would alter the  design approach.
   Additionally, a state's inability to fund expensive
   RAs or O&M activities may affect design decisions
   (see section 3.11).

   Schedule
   The RPM, with help from theTRT, prepares a master
   project schedule  containing  major milestones
   throughout the RD/RA process. The RPM must
   identify any schedule commitments to factor them
   into the contracting decision-making process. The
   schedule must be updated as the project develops.

   Health and Safety
   The RPM should be aware of worker and public
   health and safety issues because they might affect
   project completion. For example, the use of levels
   A or B personal protective equipment (PPE) for
   workers may affect productivity and, subsequently,
   the budget and schedule. There  also may be periods
   when construction is halted at  a site to protect the
   public against  safety threats such as a potential
   increase in air emissions.
Equipment
Although the RPM is not responsible for procuring
equipment,  he or she should know if the ROD
specifies a process or remedy that requires special
or proprietary (unique) equipment. Equipment that
needs to be  procured under a separate contract or
has a delayed delivery schedule may affect the RD/
RA schedule.

Weather
Geographic location and seasonal weather variances
should be evaluated for the project  site. Extreme
temperatures, excessive rainfall, or high winds may
delay RA execution; winter construction shutdowns
are common in the northern United States. Weather
patterns affect design decisions such as whether to
use fast tracking. It may not make sense to fast-track
an RD/RA only to be shut down during the winter.

Change in RPM
An RPM may not be the project manager for the
entire process due to the length of time required for
project completion. To minimize project disruption,
records should be organized and current so that the
replacement RPM can trace the history of the project
and the rationale for earlier decisions.

Community Relations
The RA schedule should accommodate community
concerns. Responding to the community takes much
more of the RPM's time while a  site is being
remediated because of the increase in construction
activity (e.g., the community may be affected by
truck traffic or noise levels). The community may
propose a desired hauling route, work hours, etc.
These constraints must be identified to allow the
designer an opportunity to address them.

Permits
Permitting requirements may delay an RD/RA if not
addressed in a timely fashion. Section 121(e)(l) of
the Comprehensive Environmental Response,
Compensation,  and Liability  Act (CERCLA)
exempts EPA from having to obtain permits (local,
state, or federal)  for any RA conducted entirely on
site; however, the "substantive requirements" of such
permits must still be met. This applies to all permits,
including environmental and building permits. The
formal permitting process must be completed for any
                                                  16

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                                                                       Chapter 3 • RD/RA Project Planning
off-site activities, because off-site activities are not
exempt from having to obtain permits.

The designer is responsible for applying for all off-
site   permits  and  identifying  substantive
requirements, but the RPM  must ensure that
permitting requirements for the project are met. As
part of the basis of design report, the designer must
submit a permits plan that lists the permits required
and  the strategy for complying with permit
requirements, including how to address the
substantive  requirements for the on-site RA.  In
addition, the permits plan should include a schedule
for obtaining all required permits before the RA
begins. To prevent RA delays, this process must be
started as early in the design effort as possible.

The  expertise  to  evaluate the substantive
requirements often resides with the appropriate
permitting agency. The RPM must identify the
agencies responsible for setting permit requirements
so that agency personnel may provide assistance with
interpreting the regulations and setting permit
conditions. Arrangements should be made  with the
permitting authorities for assistance in reviewing
submittals for compliance both for on-site work
where permits are not required and for off-site work
where permits  are required.

The same approach should be used to work with local
authorities to  ensure that all national and local
building codes are met. If necessary, an RPM may
request assistance from local permitting authorities
to review pertinent design specifications to ensure
substantive requirements are met. Local authorities,
however, may lack the health and safety training to
be allowed access to certain areas of the site.

OSWER Directive 9355.7-03, "Permits and
Permit Equivalency Processes for CERCLA On-
Site Remedial Actions," February 1992, provides
guidance on permits for CERCLA.

Off-Site Disposal
Section 121(d)(3) of CERCLA requires EPA to
dispose  of hazardous waste only at those facilities
operating in compliance with the Solid Waste
Disposal Act.  The RPM plays a critical role in
ensuring effective implementation of the off-site
rule. The RPM must determine if the facility permit
or interim status authorizes receipt  of waste,
pretreated as required, from the RA site.

The RPM is responsible for contacting the Regional
Off-Site Contact (ROC) in the Region  where the
wastes will be shipped. The ROC reports on whether
the facility can currently receive the waste. Often,
determining whether a facility can accept  waste is
specific to particular units within a facility, rather
than to the entire facility. Because of the dynamic
nature of compliance  conditions at these  units or
facilities, status should be verified before each waste
shipment.

A facility  that  has  received  a notice  of
unacceptability (issued by the ROC) has a 60-day
period during which it may  continue to receive
CERCLA wastes  while it addresses the violation
cited. The ROC and RPM should communicate
throughout the 60-day period. On the 60th day after
issuance of the unacceptability notice, the RPM must
stop  waste transfer to the facility if the facility has
not corrected the problem.

Because the off-site disposal rule  can result in
lengthy RA schedule delays,  the RPM  should be
prepared with  an alternative disposal site  or other
contingency in place such as requiring the designer/
RA constructor to designate backup facilities.

For example,  the disposal contract between the
constructor and the company chosen to manage the
disposal of CERCLA waste off site should specify
the primary and alternate facilities that will receive
the waste for ultimate treatment, storage, or disposal.
The RPM should coordinate with the ROC regarding
the facility permit status of all facilities to receive
waste before a disposal contract is signed. The
contracting party should require the constructor to
provide copies of written agreements between the
facilities and the constructor to document facility
availability.

OSWER Directive 9834.11 and.Ha, "Revised
Procedures for Planning and Implementing Off-
Site Response Actions," September 1993, and
OSWER Directive 9834.11FS, "Overview  of the
Off-Site Rule for OSCs andRPMs," September
1993, provide guidance for EPA's off-site
disposal policy.
                                               17

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RD/RA Handbook
   3.7.2  Property Access Issues
   Property access is a potential constraint for both RDs
   and RAs and obtaining site access for both will
   involve much  more  effort than an RPM may
   anticipate. Early planning is crucial because failure
   to obtain  access in a timely manner results in
   schedule delays and increased costs.

   Access for RD Data Collection Activities
   The RPM, with  assistance from the Office of
   Regional  Counsel (ORC), should determine if
   existing RFFS access  agreements, obtained using
   the authority provided by CERCLA, allow EPA
   access to  the site. If new  access agreements  are
   needed, they must be obtained before the designer
   goes onto  the property. Generally, property access
   is not problematic during the design effort because
   of existing property access agreements or because
   the designer does not need to access the property.
   On a few occasions where sampling must occur off-
   site (e.g., the ground water in off-site areas must be
   sampled) and RI/FS agreements do not cover the
   access, property access must be established. At this
   stage, the RPM  also should begin to explore
   obtaining access to utility connections. The RPM
   should work with USACE or the EPA contractor to
   establish responsibilities for doing so.

   Access for RA Implementation
   During RD development, the designer should
   identify all property access necessary to implement
   the RA and submit the information to the RPM as a
   design submittal. The  RPM, with assistance from
   ORC, develops an approach to obtain site access to
   the property. The process by which property is
   acquired depends upon the parties involved in
   remedy implementation and the state where the site
   is located.
   There are two ways to obtain access to a property to
   implement the RA:
   •  Access agreements
   •  Property acquisition

   Access Agreements
   Section 104(e) of CERCLA provides EPA with the
   authority  to obtain  access to property that is
   contaminated or threatened with contamination for
   implementing response actions. Any existing access
agreements from previous site activities must be re-
examined to ensure that the agreements are valid
during construction. Because of the intrusive nature
of construction,  the access agreement should
describe the activities that will occur and the planned
restoration of the property upon completion. This
approach may not be effective for ground water
actions where the extraction well networks extend
across adjacent properties and there is a requirement
for guaranteed long-term access. Access agreements
are valid only for the current landowner whose
signature is on the agreement and do not transfer to
future property owners. Access agreements usually
are not tied to the property deed.

Property Acquisition
Section 104(j) of CERCLA allows EPA to acquire
by purchase, lease, donation, condemnation,  or
otherwise any property necessary (generally EPA
will only acquire property that is not contaminated)
to conduct an RA. However, EPA may acquire
property under CERCLA 104(j)  only  if the state
where the property is located assures EPA before
the property is acquired, through a contract  or
cooperative agreement or otherwise, that the state
will accept transfer of the interest after RA
completion. Property acquisition (includes purchase,
easements, leases,  etc.) allows EPA to record its
interest onto the property deed. Property acquisition
differs from property access agreements, which are
subject to  future  access issues should property
ownership change.  Acquisition ensures long-term
access for off-site actions. CERCLA  104(j) also
allows EPA to acquire property for off-site staging
areas, creation of new wetlands for  ARARs
compliance, or permanently relocating residents.

In addition, other types of property issues may arise
during the RA that should be considered during the
RD:

•   Temporary relocations during construction—
    Residents may need to be relocated during
    construction activities. USACE has a
    relocation staff to carry out this effort. ARCS/
    RAC contractors must not perform this
    function for EPA.
•   Replacing damaged property—It may be
    necessary for EPA to excavate in residential
    areas such as yards, driveways, or sidewalks.
    EPA can offer replacements (e.g., replacing
                                                 18

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                                                                       Chapter 3 • RD/RA Project Planning
    fencing and restoring landscaping). The RPM
    should consult with ORC in these instances.

Site access  issues must be resolved before
advertising the RA contract. Failure to obtain access
may result in contractor delay claims.

USAGE develops a Real Estate Planning Report
(REPR) for all RDs that it manages.  The REPR
describes the property needs for the project based
on information from the designer and associated
costs  should EPA choose to acquire property or
interests in property. The RPM should consider
requesting a similar report from an EPA contractor
for EPA-managed RDs. The strategy for obtaining
the property through the access provisions of 104(e)
or acquisition through 104(j), however, is developed
by the RPM and ORC.

Regardless of the RD lead, if property acquisition is
necessary, USAGE must perform that function.
USAGE acquires property (including acquisition of
temporary construction easements) on EPA's behalf
because EPA lacks the appropriate staff to carry out
an acquisition program. EPA contractors can be
tasked to  provide real estate support  but cannot
determine any purchase price, make any offers, or
negotiate with property owners.

The RPM enters into an IAG with USAGE (if one
does not already  exist) for real estate assistance.
When acquiring property,  USAGE follows Public
Law 91-646, the Uniform Relocation and Real
Property Assistance Act, which governs the means
by which citizens  are compensated and  the
procedures the government must  follow when
purchasing property. Although the  law  concerns
permanent property acquisition, the procedures are
used by USAGE for all property acquisitions.

OSWER Directive 9355.5-01/FS, "Real Estate
Acquisition Procedures for USAGE Projects,"
February 1990, outlines USACE's role in real
estate acquisition under CERCLA.

3.7.3  Record of Decision Changes
The RPM must ensure that the RD is consistent with
the ROD. After a ROD is signed, information may
be received or generated during the RD/RA process
that could affect how EPA believes the selected
remedy should be implemented. These changes may
include a change in the remedy scope or performance
standards or an increase in costs  or treatment
quantities. In case of a deviation from the ROD, the
designer should immediately notify the RPM. The
RPM then makes a determination whether the design
results in one of the three categories of ROD changes
described below. Figure 3-5 illustrates examples of
each type of ROD change.
  Figurb3-5
           Examples of ROD Changes

   Minor- Testing during RD shows that soil volume
   requiring treatment is 75,000 cubic yards, not the 60,000
   estimated in the ROD. the remedy cost, however, will
   increase only by five percent because of economies of
   scale.
   Significant- Residuals from a treatment operation were
   unexpectedly hazardous and must be disposed of in a
   Subtitle C landfill, rather than a Subtitle D landfill.
   Fundamental- The in-situ soil washing remedy selected
   in the ROD proves to be infeasible to implement after
   testing during the RD. A decision is made to excavate
   and thermally treat the waste instead.
                                        51-043-39
Minor Changes
Minor changes have little or no effect on the overall
scope, performance, or cost and should be recorded
in a memorandum in the post-decision document file.

Significant Changes
Significant changes have a profound effect on the
scope, performance, or cost of the remedy and are
documented in an Explanation of Significant
Differences (BSD) as required  by CERCLA
Section 117(c). Depending on the significance of the
change, a public comment period may be warranted.
While the BSD is developed, EPA may continue with
the design or construction activities.

Fundamental Changes
Fundamental changes occur when fundamental new
information results in a change of the selected
remedy and must be documented by a ROD
amendment. The amendment must be prepared in
accordance with procedures outlined in iheNational
Contingency Plan (NCP),.4Q Code of Federal
Regulations (CFR) Section 300.435(c)(2). If a ROD
                                              19

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RD/RA Handbook
   amendment is necessary, affected site activities
   should be stopped until an amendment is issued.
   Work unaffected by the change may continue.

   Documenting both minor and significant ROD
   differences is an NCP requirement that must be
   performed in a timely manner. Preparing the
   documentation for ROD changes cannot wait until
   site deletion. No site will be eligible for the NCP's
   Construction Completion category with outstanding
   memoranda on minor changes or outstanding ESDs
   on significant changes.

   Significant or fundamental ROD changes must be
   reflected in the SSC. The RPM must ensure that the
   state is aware of the ROD changes and that they are
   incorporated into the SSC.

   OSWER Directive 9355.3-02IFS, "Guide to
   Addressing Pre-ROD andPost-ROD Changes,"
   April 1991, outlines how to address and
   document ROD changes.


   3.8  Scheduling the RD/RA
   In the project management plan, the RPM, with the
   assistance of theTRT, develops a baseline schedule
   from start to completion of the RD and RA.  The
   RPM creates an initial RD/RA schedule during the
   planning stage that builds upon the schedule
   information in the Comprehensive Environmental
   Response, Compensation, and Liability Information
   System (CERCLIS). An inexperienced RPM should
   communicate with experienced RPMs who have
   successfully managed an RD or RA to identify
   obstacles and factors that will affect the overall
   schedule (see section 3.7).

   Project scheduling flows from the work breakdown
   structure (WBS), a standardized system for
   numbering each work element (see the statement of
   work [SOW] for a RAC). The schedule assigns dates,
   durations, and interconnections to the tasks and
   subtasks identified in the WBS. Start and end dates
   for each task and subtask in the WBS are based on
   the RPM's experience and knowledge of site
   conditions, on the advice of the  TRT and more
   experienced RPMs, existing guidance for scheduling
   RDs and RAs, and the RPM's ability to balance
   priorities. Although some tasks are conducted
   concurrently, some  depend on  the successful
completion of others. The interrelationships among
tasks need to be identified and reflected  in the
scheduling technique used by the RPM.

The RPM should evaluate the appropriateness of
accelerating the schedule. For example, the RPM
may want to consider acceleration options (e.g.,
phasing and fast-tracking) for RDs. Generally, more
opportunities exist for schedule acceleration during
the RD than the RA (see section 3.10.1).

The baseline project schedule is the basis for
negotiations with the EPA contractor and is used to
develop agreed-upon timeframes for USACE-
managed projects.   When the EPA contractor
provides the RPM with a detailed RA or RA schedule
(as part of the work plan submittals), it should be
incorporated into the RPM's overall baseline project
schedule. For USACE-managed projects, the
schedule is maintained by USAGE with a copy
provided to the RPM. The approved project schedule
must be established early in the RD or RA and must
incorporate any scope changes as they occur to
remain a valid benchmark for evaluating schedule
performance. The RPM should review the schedule
on a monthly or more frequent basis. Because the
schedule is a tool for evaluating contractor or
USAGE performance, it may be changed only upon
prior EPA approval. The RPM also should update
schedule changes in  CERCLIS and inform EPA
management  as  necessary. Two scheduling
techniques are suggested: the Gantt chart method
and the  critical path method (CPM). EPA
predominately uses the former.

3.8.1 Gantt Chart Method
The Gantt chart is a bar  chart presenting a list of
tasks or activities required to meet an objective with
estimates of time required to complete each task.
Time is usually displayed as a horizontal bar with a
dateline placed at the top. Tasks or activities are
scaled  to show expected durations—the length of
each line represents the number of planned labor
hours/days for a particular activity. For example, in
Figure 3-6, Task A is scheduled for three days and a
horizontal bar extends between day one and day four.
Also, Tasks C and D are scheduled for six and two
days, respectively, and each includes two floating
days (note boxes spanning days  11 and 12 for Task
C and days 13 and 14 for Task D). Depending on the
RD/RA project, the time scale should be weekly or
                                                20

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                                                                       Chapter 3 • RD/RA Project Planning
Figure 3-6 ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^H


Task
A
B
C
D
E
Gantt Chart
Days
1


2


3


4



5



6



7



8



9



10




11




12




13



14




15


16


17


18


19


20

.egend
i Planned Activity I i Float

                                                                                           51-043-6
monthly, covering as many years as is necessary for
project completion. The Gantt chart is easy to read,
the time scale is readily comprehensible, and it
clearly identifies where resources are required. Its
main disadvantage is that schedule logic (i.e., tasks
critical to timely completion) is not always evident.

3.8.2 Critical Path Method
Crucial project elements are called critical tasks and
are determined by a process called the critical path
method (CPM.) The critical path is determined by
considering each activity's duration, sequence, and
constraints and may be identified by making the bars
solid. For example, in Figure 3-7, Tasks A, B, and E
are critical tasks; therefore, they are represented by
solid horizontal bars. Noncritical tasks are displayed
differently.

CPM uses precedence diagrams for a graphic display
of tasks and subtasks.  CPM  should be used to
determine the project length and to identify activities
critical to project completion. The critical path of a
project is the series of interdependent activities of a
project that must occur in a specific sequence. The
CPM illustrates schedule logic. Disadvantages of
using the CPM are that the time scale is difficult to
understand, since time is usually denoted above or
below each task, and it is difficult to assess resource
use, because resources are not  depicted on the
diagram.


3.9   Developing the RD/RA Budget

The RPM is responsible for controlling RD/RA cost
when Superfund monies are used for cleanup
activities. The RPM controls RD/RA costs  by
establishing a preliminary budget and periodically
updating it. After the ROD is signed,  the RD/RA
budget and schedule developed during the RI/FS
should be reviewed for accuracy and corrected, if
necessary. The  RPM consults  with the IGCE
coordinator,  the  information  management
coordinator,  or other experienced staff within the
Region to ensure  consistency with available
historical cost and schedule data.

The RPM incorporates budget information into
CERCLIS to ensure funding availability upon
                                               21

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RD/RA Handbook
Figure 3-7 ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^H


Task
A
B
C
D
E
Gantt Chart with Critical Path Identified
Days
1

2
.
3
.
4
•
5



6



7



8



9
m


10




11




12




13



14



15
-
16
-
17
-
18
-
19
-
20

Legend
F=q Planned Activity ••• Critical Task cm Float

   commencement of the design process and  to
   facilitate other planning and project management
   activities. The estimated costs and dates serve  as
   benchmarks; however, they should be refined and
   updated in CERCLIS periodically as they become
   more detailed and accurate. Failure to update
   CERCLIS hinders efforts to fund and schedule the
   project properly, potentially resulting in work
   stoppages, scheduling delays, cost overruns, and a
   general reduction in project quality.

   3.10  Developing a Contracting Strategy for
         the RD and RA
   When planning the RD/RA project, the RPM should
   develop a contracting strategy. The contracting
   strategy for RD/RA execution includes several
   interrelated decisions including choices for the
   following:
   •   Accelerated or traditional scheduling
   •   Design approach
   •   Designer
•   RA contract types
•   RA procurement strategy

Each decision affects other parts of the strategy. For
example, an accelerated approach to start or
complete a project more  quickly affects all other
contracting strategy decisions, which subsequently
affect remediation costs.  Project constraints (see
section 3.7) also affect the contracting strategy.
Examples of this include:

•   Schedule requirements—Starting or
    completing a project quickly could require an
    accelerated strategy, which would affect all
    other contracting strategy decisions, including
    choice of designer, type of RA contract, RA
    procurement strategy,  and cost.

•   Project complexity and size—Project
    complexities range from simple earthwork
    projects to more complex projects to
    innovative technologies. Technical complexity
    also affects the type of design approach
    needed.
                                                 22

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                                                                        Chapter 3 • RDIRA Project Planning
 •   Level of confidence—The degree of
    confidence in the site characterization data
    primarily will affect the contract type (e.g., a
    fixed-price contract may be inappropriate for a
    site where contaminant concentration or
    distribution is not well defined).

 The following four sections of the chapter describe
 the major elements to consider when developing an
 RD/RA contracting strategy.

 3.10.1 Schedule Acceleration
 EPA  is committed to expediting cleanups at
 Superfund sites. Therefore, the RPM must evaluate
 every project for opportunities to accelerate the
 schedule. Methods  of developing an optimum
 schedule for an accelerated RA include phasing, fast-
 tracking, and  using preplaced or prequalified
 contracts. The RPM should be aware, however, that
 ill-considered shortcuts or schedule acceleration
 during the RD process may result in problems during
 RA construction that require more financial
 resources to address at that stage of the RD/RA
 process.

 Phasing
 Phasing is the division of a project into smaller work
 elements that can be  implemented on different
 schedules, thereby accelerating the RD and RA. It
 allows certain project elements to be started ahead
 of others to reduce the hazards present at the site or
 to complete simple prerequisite work elements ahead
 of more complex and hazardous ones. All elements
 may be in progress simultaneously, but each one has
 its own schedule and rate of progress.  Phasing is
 advantageous because the initial RA start date can
be accelerated.  The following criteria can be used
for  grouping RD/RA activities into discrete work
elements:

 •   Existing information
 •   Type of waste
 •   Funding availability

 Existing Information
When sufficient information is available to design
some RA components, these elements may be
phased. Typically, these activities include road or
fence construction, utilities  installation, building
demolition, tank removal, and site preparation. These
 activities can be completed and RA contracts
 procured while data on other aspects of the design
 are gathered.

 Type Of Waste
 Segregation of nonhazardous and hazardous work
 elements can be a simple criterion for project
 phasing.  The  engineering  required for the
 nonhazardous components of a project is frequently
 more conventional and may lend itself readily to an
 accelerated schedule.  Activities generally suitable
 for this approach include constructing roads and
 fences and installing utilities. Whenever possible,
 construction activities  should be designated as
 nonhazardous to allow for more open competition,
 thereby resulting in lower government costs (29 CFR
 1910.120 may not apply).

 Funding Availability
 As stated in section 3.7, funding constraints may
 create the need to phase an RA. For example, an
 incinerator project could be phased by mobilizing
 and constructing the incinerator as phase one and
 operating the incinerator as phase two.

 Fast-Tracking
 Fast-tracking is a procedure that is complementary
 to phasing. Whereas phasing is the process by which
 large complex projects are partitioned into smaller,
 more manageable work elements, fast-tracking
 accelerates the implementation of individual work
 elements. Fast-tracking techniques manipulate the
 internal steps required to complete  each phased
 element, thereby optimizing the overall schedule.
 There are several ways in which the RD/RA process
 can be fast-tracked:
 •   Expediting the RD
 •   Optimizing the RD
 •   Fast-tracking the RA

 Expediting the RD
In this method, steps  in the RD  process are
eliminated or shortened. However, short-cutting
involves the assumption of risks. The level of detail
in an RD can be reduced, particularly for simple
engineering efforts, such as soil excavation or tank
dismantling. Several Regions also are developing
standardized design specifications  that can be used
to shorten the design time. The designer would begin
                                               23

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RD/RA Handbook
   with the standard specifications and modify them
   for the specific site. USAGE, with funding assistance
   from EPA, developed a series  of standard design
   specifications for certain types of remediation
   activities that are available to any designer involved
   in federal remediation (see section 4.3.1 and Figure
   4-3 or USAGE'S Huntsville Construction Division
   should be contacted for additional information).

   Optimizing the RD
   Optimization is the rearrangement of the sequence
   in which RD elements are performed to enhance the
   overall schedule. Examples include:

   •   Completing the site preparation portion of a
       design (and other simple construction
       activities) and initiating construction while the
       rest of the design effort continues
   •   Scheduling all design reviews in parallel with
       ongoing design work so they are not on the
       critical path

   Fast'Tracklng the RA
   Some projects can be divided into separate stages
   for construction by awarding contracts for each stage
   of construction work as soon as the design is
   completed  (e.g., site preparation, procurement of
   long-lead equipment, utilities installation).

   OSWER Directive 9355.5-2, "Guidance on
   Expediting RD and RA," contains additional
   information on phasing and fast-tracking.

   Use of Preplaced or Prequalified Contracts
   The use of preplaced or prequalified contracts is
   another means of expediting construction initiation.
   These contracting methods require approximately
   30 to 60 days to initiate construction activities by
   eliminating the solicitation and audit requirements
   of site-specific contracts. Additionally,  lengthy
   delays due to bid protests or bonding difficulties are
   eliminated.  These contracts reduce competition,
   however, and may increase the cost of the project.
   Furthermore, because preplaced contracts are cost-
   reimbursement contracts, they require more
   extensive  government oversight than fixed-price
   contracts.  USAGE  has developed methods to
   expedite RA initiation through the implementation
   of the following two innovative contracting
   strategies:
•   Preplaced RA and Rapid Response Contracts
•   Total Environmental Response Contracts
    (TERCs)
There are restrictions on these types of contracts,
but they may provide an excellent means  to
accelerate the RA.The RPM is encouraged to consult
with the appropriate USAGE contact to discuss the
possibility of using them.

OSWER Directive 9355.5-05IFS, "Procedure for
Use of USAGE Preplaced Contracts to Expedite
Superfund Cleanups," April 1994, contains more
information on preplaced and rapid response
contracts.

3.10.2 RD/RA Design Approach
The design approach for an RD/RA is an important
part of the contracting  strategy. Specifications,  a
generic term that includes drawings, are developed
by the remedial designer and  included in the RD
package. Specifications contain a description of the
technical requirements the constructor must meet to
implement the RA and the criteria for determining
whether these requirements are met. Two types  of
design specifications typically used in Superfund are
detailed  design   and   performance-based
specifications. The type of specification package,
developed in response to specific site characteristics
and the selected remedy, influences both the design
and the RA procurement schedule. Although the
RPM cannot mandate which type of design
specifications the remedial designer should develop,
if the RPM can accurately describe  EPA's
requirements for the site in the RD SOW, the designer
should choose design specifications to meet EPA's
requirements. Therefore, the RPM should know the
different types of design specifications and their
effect on the RA procurement strategy when
planning how to manage the RD/RA.

Detailed Design Specifications
Detailed design specifications and drawings are used
in solicitations when the government's technical
requirements are definite and can be clearly
communicated to bidders (e.g., an entire treatment
plant designed down to the bolt level). Under this
type of specification, the contracting party (in some
cases, EPA) or the designer may be responsible for
design and related omissions, errors, and deficiencies
                                                 24

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                                                                      Chapter 3 • RDJRA Project Planning
in the specifications and drawings. If the constructor
follows the design and the remedy fails, the
constructor may not be liable. The government must
assume the cost of correcting the problem (and
pursue designer liability, if any, separately). RAs
lending themselves to detailed design specifications
include landfill covers and traditional ground water
treatment systems.

Detailed design specifications permit RA contract
award solely on price and may result in a lower cost
to the government (see section 5.4 for additional
information). Competition for contract award is also
expanded because construction firms without design
capabilities may bid on projects. Although detailed
designs save time during the RA procurement phase
of a project (by alleviating the need for a technical
proposal review),  some time is usually lost during
the intensive design effort. The RPM, in consultation
with the TRT, should decide whether the overall
schedule and budget can  be reduced using this
approach.

Performance-Based Specifications
Performance-based specifications in the RD package
advise the constructor what the final product must
achieve and explicitly describe how performance
will be measured. The RA constructor proposes the
method to achieve the requirements established in
the specifications.  If the RA constructor has
undertaken an impossible task, meets technological
problems, or cannot complete performance due to a
lack of experience, the constructor assumes the risk
of financial loss. This potential risk of financial loss,
however, translates into a higher project cost for the
government (in  the form of  higher  bids).
Performance-based specifications are suitable for
more complex treatment technologies and are
commercially  available through a number  of
vendors. A performance-based specification package
is generally more easily prepared and can result in a
shortened RD schedule. Time savings, however, are
offset by the additional procurement time needed to
conduct technical evaluations of the submitted
proposals, since each bidder may propose different
means to achieve the prescribed requkements.

3.10.3 RA Contracts
The enormous scale and complexity of procurement
has necessitated the development of a wide variety
of contract types. The appropriate contract to
implement the RA is a project-specific determination
made by the party contracting for the RA. USAGE
and the ARCS/RAC contractor, respectively, will
decide the RA contract type for USACE-managed
and EPA contractor-managed RAs. Although the
RPM does not choose the contract type for the RA
procurement, he or she must be aware of the different
contract types.

RA Contract Type
The three types of contracts generally used for RAs
are fixed-price, cost-reimbursement, and time and
materials contracts.

Fixed-Price Contracts
Fixed-price contracts provide a firm price for the
RA at contract award.  The contract amount is
adjusted only when work must be added to or deleted
from the contract, such as upon the occurrence of an
unanticipated event or contingency. Most Superfund
RAs, in which the work is well-defined, are awarded
as fixed-price contracts.

Cost-Reimbursement Contracts
Cost-reimbursement contracts provide for payment
to the contractor of all  allocable, eligible, and
reasonable costs expended by the contractor in
contract performance. In addition to the costs, most
cost-reimbursement  contracts provide for the
payment of a fee (profit) to the contractor.  Cost-
reimbursement contracts contain an estimate of total
cost and a cost ceiling so funds may be obligated.
These contracts should  be used only when the
performance cost cannot be estimated at the time of
contract award with the accuracy necessary for a
fixed-price contract. Because cost-reimbursement
contracts require the government to pay for all costs
incurred by the  RA constructor, the government
assumes a financial risk.  To minimize  the
government's potential financial risk, more intensive
contract management is required by EPA.

Time and Materials Contracts
A time and materials contract provides for the
acquisition of supplies, services, equipment, and
construction on the basis of direct labor hours at
specified hourly rates and materials at cost. These
contracts are used only where it is not possible (at
                                              25

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RD/RA Handbook
   the time of contract placement)  to estimate
   accurately the scope (extent or duration) of work
   required. The contract provides for direct labor hours
   at an hourly rate and the provision of materials at a
   designated cost. Time and materials contracts require
   the use of time and cost standards  applicable to the
   particular work item.

   RA Contract Requirements
   After the  RA contract type is established, bonding
   and wage rate requirements must be met by the
   constructor. Bonding and wage rates  are the
   responsibility of the RA contracting party, but the
   CO works with the contracting party to ensure all
   requirements are met.  The RPM,  however, should
   be aware of the status of such requirements.

   Construction and Service Contract Wage Rates
   The contracting party soliciting the RA contract must
   differentiate between construction and service
   portions of the contract. Whether an RA or portions
   of it are determined to be construction (alteration or
   repair, including dredging, excavating, and painting)
   or service (operating a treatment unit, refuse
   removal,  etc.) will determine the labor wage rates
   and the bonds necessary for the project. The plans
   and specifications should differentiate between the
   two types of activities so that appropriate labor wage
   rates  (Davis-Bacon Act rates for construction and
   Service Contract Act rates for service) can be used.

   For construction work funded in  whole or hi part
   under Section  104(g)(l) of CERCLA, the law
   requires that all laborers and mechanics employed
   by contractors be paid wages at rates not less than
   those prevailing on projects of a similar character
   within the same locality as  determined by the
   Secretary of Labor in accordance with the Davis-
   Bacon Act. Service Contract Act wage rates must be
   applied when appropriate for government contractors
   providing services.

   OERR, "Davis-Bacon Act/Service Contract Act
   and Related Bonding," contains more
   information on wage rates and bonding
   requirements.

   Bonding Requirements for RA Contracts
   Historically, bonding companies have been reluctant
   to issue bonds where the construction cleanup costs
are high. By separating the project into two portions,
construction and service, the overall construction
costs are lower, thereby increasing the opportunities
for contractors to obtain bonds. Performance and
payment bonds are required on all federal
construction jobs over $25,000. Figure 3-8 describes
construction bond requirements. When RA costs
increase, bonds  may need  to be re-evaluated and
additional bonds obtained by the constructor.
   Figure 3-8
            Construction Bond Requirements
   The Miller Act (40 U.S.C. 270a-270f) requires performance
   and payment bonds for any construction contract
   exceeding $25,000. h payment bond is required should
   the RA contractor fail to pay its subcontractors. The
   amount of the payment bond shall equal:
     1.  50 percent of the contract price if the contract price
        is not more than $1 million;
     2.  40 percent of the contract price if the contract price
        is more than $1 million but less than $5 million; or
     3.  $21/2 million if the contract price is more than $5
        million.
   A performance bond guarantees that the cost of the
   construction can be recovered should the RA contractor
   default on its obligation. Performance bonds generally
   cover 100 percent of the contract price and can be
   increased if the cost of the RA changes. The performance
   bond requirement may be waived or reduced by the CO,
   provided the government's financial interest is adequately
   protected.
                                          51-043-40A
3.10.4 RA Procurement Strategies
The selected procurement method should correlate
to the type of work being performed and will depend
on the type of design specifications developed. Since
EPA usually does not directly procure the RA, the
RPM probably will not choose the RA procurement
method. The RPM should, however, be familiar with
the  different types of procurement methods. In
general, there are four basic forms of procurement
within federal construction contracting:

•    Sealed bidding

•    Negotiated procurement
•    Two-step sealed bidding
•    Non-competitive  (sole-source) procurement
                                                    26

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                                                                       Chapter 3 • RDIRA Project Planning
For detailed information on these types of RA
procurement, see section 5.4.


3.11   Coordinating with the State

The state is an integral part of the Superfund program
and as such must be afforded the opportunity to
participate in a meaningful way in RD/RA
implementation.  As a first step in defining state
involvement for a site, the RPM should determine
whether a State Memorandum of Agreement
(SMOA) exists between EPA and the state (40 CFR
300.500). The SMOA usually establishes the general
roles and responsibilities of EPA and the state during
Federal-lead and state-lead response actions. Having
a SMOA will save tune hi negotiating site-specific
agreements (i.e., Superfund  state contracts and
cooperative agreements) and other Superfund-
related issues with the state. For states that have not
signed a SMOA with EPA, the RPM has a greater
role  in establishing the terms of the EPA-state
relationship.

Secondly, the RPM and his or  her state counterpart
should meet before the RD starts to discuss fully the
roles and responsibilities of both parties. During
this initial meeting, the RPM should question the
state about potential state concerns related to its
CERCLA obligations.  State constraints on funding
or property transfer may have a significant effect on
the implementation of the project and must be
identified prior to issuing a design assignment. This
meeting serves as a kick-off to an ongoing exchange
that must continue to take place between EPA and
the state.

Once EPA and state roles are defined by a SMOA or
discussions, the RPM should develop a site-specific
agreement outlining state and EPA responsibilities
for that site.  Superfund state contracts (SSCs) or
cooperative agreements (CAs) specify EPA and state
roles for RDs and RAs. In a Federal-lead, Fund-
financed response, EPA is the lead agency and the
state is the support agency (40 CFR 300.500). When
EPA is the lead agency, an SSC is created between
EPA and the state (see section 3.11.2); when the state
is the lead agency, a state enters into a CA with EPA.
SSCs also allow the transfer of necessary resources
that the state may request as part of its support agency
function.
3.11.1 State Support Role in Federal-Lead RD/RAs
For  a Federal-lead response,  the RPM should
encourage the state to be an actively  involved
member of EPA's project team. Under Section 104
of CERCLA, the state is required to:

«   Provide a 10 percent cost share of the
    remedial response (could be 50 percent or
    more for state-operated facilities)
•   Conduct and fund all O&M activities
•   Accept transfer of all property acquired by
    EPA to conduct the RA

In addition to the statutory requirements, Sections
300.515(g) and (h) of the NCP require that the
following be done for RDs and RAs:

•   The extent and nature of state involvement
    during the RD and RA be specified in site
    specific SCCs or CAs
•   A joint inspection be conducted at the
    conclusion of RA construction
•   The lead agency allow the support agency the
    opportunity to review documents (i.e., for
    Federal-lead RDs, the state is allowed a
    minimum of ten working days and a
    maximum of 15 working days to review RDs)

Without the state's assurance of its willingness to
fulfill these requirements, the  RA cannot be
implemented. An experienced RPM understands that
gaining the state's support takes much more than
meeting minimum requirements. Therefore, early
and full participation by the state is crucial to project
success.

3.11.2 Developing the Superfund State Contract
The SSC is a joint, legally binding site-specific
agreement between EPA and a state to obtain the
necessary state assurances before an RA can begin
at a site.  The process of developing an SSC may
take a year or longer. Creating a draft SSC early in
the RD and meeting with the state on a regular basis
as discussed above to resolve common issues should
prevent  the   SSC  from  delaying   the   RA
implementation. Surprising the state with higher
projected  RA costs or  labor intensive O&M
requirements near the end of the RD is poor project
management. This may cause the state to object to
                                               27

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RD/RA Handbook
   meeting unanticipated obligations, which may result
   in project disruption.  Taking a proactive approach
   by regularly meeting with the state and creating an
   environment where the state is a valuable team
   participant should prevent incidents like this from
   occurring.

   In addition to addressing the state's required
   CERCLA obligations, the RPM should also work
   with the state to ensure the following issues are dealt
   with in the SSC:
   •   Providing a complete RA cost estimate with
       an appropriate contingency amount to
       minimize state reluctance to increase its cost-
       share during the RA. RA construction change
       orders may result in costs exceeding the SSC
       amount. To minimize state disagreement over
       financial terms as the project progresses,
       careful analysis of the RA cost estimate and
       the associated contingency must be performed
       and included with the SSC.
   •   Defining if and to what extent the state will be
       involved hi RA construction management
       (change order and claims review, value
       engineering proposals, and USAGE
       construction contractor selection technical
       evaluation panels).
   •   Determining at what point the remedy can be
       declared "operational and functional" (see
       section 5.7.1). Once the remedy is determined
       to be operational and functional, the state is
       required to assume O&M activities (40 CFR
       300.510).  The SSC should clearly list the
       tests, performance requirements, or other
       functional  requirements to be used to make
       this determination.
   •   Identifying O&M requirements and projected
       costs. In this section, the RPM and the state
       should address facility transfer, operator
       training, site access for O&M activities, and
       the O&M manual contents.

   OSWER Directive 9355.0-57FS, "Cost-Risk
   Analysis for Remedial Actions," (DRAFT) 1995,
   provides guidance on estimating contingency
   amounts for RAs,
3.12 Maximizing Community Relations

Community relations is a useful and vital aspect of
the RD/RA process. Community relations activities
serve to keep communities informed of the activities
at the site and help EPA anticipate and respond to
community concerns. EPA, as the lead agency in a
Federal-lead RD/RA, must do the following,
according to 40 CFR Section 300.435:

•   Review the community relations plan and
    update it as necessary
•   Issue a fact sheet and hold a public meeting at
    RD completion, as appropriate (public meet-
    ings can also be held throughout the RD/RA
    process, if appropriate)
A community relations plan is developed for a site
when the RI/FS commences. The community
relations  plan should be reviewed and updated to
reflect the anticipated community relations activities
that will occur during the RD/RA. Many RPMs may
recall difficulties in implementing the RA because
of the lack of initial coordination with the community
over construction concerns. The key to effective
community relations is taking a proactive role. The
RPM must  seriously discuss the effect of the
construction and ways to mitigate its effect on the
community. The RPM should not wait until the final
design to initiate a discussion of the  effects of the
proposed RA with the  community because it often
will be too late to accommodate community concerns
by making modifications.

The RPM may be assisted by USAGE (if it has the
RD and/or RA lead) or an EPA contractor in revising
the community relations plan.  The Regional
Community Relations Coordinator  may also be
consulted. However,  the RPM must retain the
primary responsibility  for plan implementation.

For ARCS/RAG  contracts,   all  anticipated
community relations support should be described in
detail in  the RD and RA SOWs. EPA contractors
may only serve in a supporting capacity; they may
not represent EPA during meetings with the
community.

During the RD,  the RPM  should meet with local
citizens groups early and often to discuss the effect
                                                 28

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                                                                      Chapter 3 • RDJRA Project Planning
of the RA on their community. These effects may
include:

•   Air emissions—The potential for fugitive
    emissions, types of monitoring, plan for
    suppression, warning systems for the
    community (Le., to address concerns about
    playgrounds, school areas, etc.), and
    evacuation procedures are very real
    community concerns. Some RPMs have
    arranged to have ah" monitoring data read out
    to a local point within the community,
    installed video cameras to record site activities
    for local cable access channels, and worked
    with the community to develop a warning
    system to notify the community of an
    emergency situation.
•   Traffic—The RA generally will involve a
    substantial increase in vehicular (particularly
    truck) traffic around the site. The designer will
    suggest truck hauling routes (based on road
    weight restrictions, ease of transport, etc.) but
    citizens who know the area may have then-
    own suggestions. The RPM should consider
    the alternatives, which may include rerouting
    or restricting the time of day that trucks may
    operate.
•   Noise levels—The RA may result in an
    increase in noise levels in the surrounding
    community. The designer is responsible for
    evaluating the local restrictions on noise levels
    and ensuring that the design incorporates these
    standards. Even if the design complies with
    the local noise standards, the RPM may need
    to consider additional sound suppression
    systems to accommodate the community.
•   Relocation—The RA may result in temporary
    or permanent relocation of community
    structures or residents, which the RPM should
    address.
•   Economic effects—Citizens will question the
    economic effect that the RA will have on the
    community. As a show of good faith, the RPM
    may request that the contract be structured in
    such a way as to allow more local business
    participation. The contract can be phased (e.g.,
    site preparation work, site security) and
    separated into nonhazardous and hazardous
    components that would allow smaller local
    firms to compete.

Overall, the RPM  must remember that the
community can also serve as an ally during the RD/
RA effort. For example, community members may
notice suspicious activities and report them to EPA,
thus reducing  Superfund site  vandalism. By
establishing a rapport with the community, the RPM
will find that the community  should be  more
responsive which in turn will make everyone's job
easier.

The RPM should also discuss all of the above issues
with local citizens groups before and during the RA.
Section 5.3.2  provides more information  on
community relations efforts during the remedial
construction project phase.

OSWER Directive 9230.0-04, "Community
Relations Guidance for Evaluating Citizen
Concerns at Superfund Sites," and EPAI540IG-
881002, "Community Relations in Superfund—A
Handbook (Interim Guidance)," contain
additional information on community relations.
                                              29

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                                                              Chapter 4 • Federal-Lead Remedial Design
 Chapter 4  Federal-Lead Remedial Design
4.1  Introduction

The remedial design (RD) is a series of engineering
reports, documents, specifications, and drawings that
detail the steps to be taken during the remedial action
(RA) to meet the goals established in the Record of
Decision (ROD) and remove the site from the
National Priorities List. This chapter describes the
responsibilities of the Remedial Project Manager
(RPM) in overseeing the development of Federal-
lead RDs.

The RPM ultimately is responsible for overseeing
the successful completion and implementation of the
RD. The RPM's role in the RD process, however,
differs depending on whether the RD is an EPA- or
United States Army Corps of Engineers (US ACE)-
managed RD. For EPA-managed RDs, the RPM
oversees the work of EPA contractors developing
the RD and has more direct control over the RD
effort. For USACE-managed RDs, the RPM
facilitates USAGE development of the RD and acts
in an advisory capacity while remaining responsible
for overseeing the project and ensuring that the RD
meets  EPA goals  and objectives.  The term
contracting party is used in this chapter to refer to
either EPA or USAGE, since both EPA and USAGE
may be contracting with a remedial designer. In some
instances, USAGE will perform the RD in-house and
will not use contractor services.

An overview of the RD process highlighting the
RPM's responsibilities for EPA- and USACE-
managed RDs is presented in Figure 4-1.

Office of Solid Waste and Emergency Response
(OSWER) Directive 9355.1-1, "Super/and
Federal-Lead Remedial Project Management
Handbook"; and EPA 5401R-94/022 and 103,
"Response Action Contract Users' Guide,
Volumes 1  and 2," provide additional
information on project management.
4.2  Deciding to Task the RD to an EPA
     Contractor or USAGE
The RPM must determine whether to task the RD to
an Alternative Remedial Contracting Strategy/
Response Action Contract (ARCS/RAC) contractor
or to USAGE.  The RPM should consult with the
Technical Review  Team (TRT) and  consider the
following factors when making this determination:

•  Need for on-site federal presence
•  The RPM's workload and availability to
   manage government contractors
•  Technical expertise needed for the design

•  USAGE and ARCS/RAC contractor
   experience and history
•  ARCS/RAC contractors' contract capacities
•  Conflict of interest (COI) screening
•  Continuity with future RA activities

Tasking the RD to an ARCS/RAC contractor or to
USAGE will affect  the RPM's workload and
responsibilities. The interagency agreement (TAG)
between EPA and USAGE creates a different type
of contractual relationship than the relationship
between EPA and its contractors. Regardless of
whether EPA or USAGE manages the RD, however,
the RPM remains  ultimately  responsible for the
success of the RD.

OSWER Directive 9242.3-08, "Revision of Policy
Regarding Superfund Project Assignment
Between Alternative Remedial Contracting
Strategy Contractors and USAGE," December
1991, provides information on using EPA
contractors and USAGE.


4.3  Developing the Statement of Work
The RPM must prepare a statement of work (SOW)
for the RD. Many RD requirements are developed
during the remedial investigation (RI) and feasibility
study (FS) and are detailed in the ROD and the
                                           31

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RD/RA Handbook
      Figure 4-1
                EPA-Managed
                viaARCS/HAC
             Prepares RD SOW,
           schedule, and IGCE with
              TRT assistance
           Tasks RD to ARCS/RAG
           contractor via WA; with
           TRT assistance, prepares
              WA package and
            coordinates work plan
             review and appoval
          RPM and TRT review and
             approve contractor
            submittals including:
           • Predesign submittals
           •Treatability studies
           • Preliminary designs
           • Intermediate designs
           • Prefinal/final designs
           RPM oversees VE study,
                if necessary
             RPM completes post-
             design activities and
               prepares for RA
                                   RPM Responsibilities During Remedial Design
                                            Assembles TRT and determines
                                              whether RD will be EPA- or
                                                  USACE-managed
                                                Informs community of RD
                                                 progress throughout
                                                    design project
 IJSACE-Managed
  :     vialAG
  Prepares IAG SOW,
schedule, and preliminary
 RD cost estimate with
    TRT assistance
Tasks RD to USAGE via
 IAG; coordinates with
   USAGE regarding
 designer procurement
    RPM, with TRT
assistance, participates
  in USAGE review of:
 • Predesign Subrnittals
 • Treatability Studies
 • Preliminary Designs
 • Intermediate Designs
 • Prefinal/Final Designs
 Participates in USAGE
 oversight and review of
 VE study, if necessary
RPM ensures post-design
 activities are complete
  and prepares for RA
                                                                                                           51-043-4D
                                                        32

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                                                                Chapter 4 • Federal-Lead Remedial Design
RPM's project management plan (see Chapter 3).
The RPM should consult the information collected
to complete  the RI/FS,  ROD,  and  project
management plan when preparing the RD SOW. The
RPM, with TRT assistance, prepares the SOW
detailing EPA's requirements for EPA-managed RDs.
For USACE-managed RDs, the RPM prepares an
IAG SOW for the RD, which outlines EPA RD
requirements. USAGE develops the RD SOW with
RPM assistance using the RD IAG SOW  as  a
framework.

4.3.1  Preparing the Remedial Design Statement of
      Work
The RPM is required to prepare RD SOWs for EPA-
managed designs that are contracted out through
ARCS contracts or RACs. The SOW for EPA-
managed designs must be very detailed because the
SOW becomes a legally binding component of the
ARCS/RAC contract. An RPM must prepare an
SOW for USACE-managed designs as part of the
IAG between EPA and USAGE. The LAG SOW for
USACE-managed designs, prepared with assistance
from USAGE, facilitates communication between
EPA and USAGE regarding design requirements.
The IAG is discussed in section 4.4.2.

SOW for EPA-managed RDs
The RD SOW is the most important document that
an RPM prepares during the RD/RA process because
it establishes the framework  to implement the
remedy. An inadequate, incomplete, or inaccurate
definition of the work to be completed by the
remedial designer will affect adversely the time, cost,
and effectiveness of the site remediation. The SOW
must describe clearly the RD requirements to prevent
the designer from incorporating unnecessary or
insufficient components into the design. The RPM
must understand EPA's  site remediation goals and
what is required to achieve them before preparing
the SOW.

Work is allocated to ARCS/RAC contractors by is-
suing a work assignment (WA). Each WA includes
a detailed SOW that describes the work to be com-
pleted as part of the WA. Each ARCS/RAC contract
contains  standard tasks outlining the work to be per-
formed under the contract and includes standard
tasks for RD  WAs. When developing an SOW for
an RD WA, the RPM should use the standard tasks
listed in the contract as a basic SOW framework and
expand the framework to incorporate site-specific
requirements.

Standard tasks, in addition to simplifying SOW
development, provide EPA with a consistent method
  Figure 4-2
    EPA Contractor RD Standard Tasks (RACs)

   Task 1    Project planning and support
   Task 2    Community relations
   Task3    Data acquisition
   Task 4    Sample analysis
   Task 5    Analytical support and data validation
   Task 6    Data evaluation
   Task 7    Treatability study/pilot testing
   Task 8    Preliminary design
   Task 9    Equipment/services/utilities
   Task 10   Intermediate design
   Task 11   Prefinal/final design
   Task 12   Post remedial design support
   Task 13   Work assignment closeout
                                      51-043-7C

of tracking  WA costs. In RACs,  WA tasks and
subtasks compose the work breakdown structure
(WBS).TheWBS simplifies the tracking of monthly
WA costs because the contractor must report costs
in the WBS format. The RD standard tasks for RACs
are listed in Figure 4-2.

The benefits of using a WBS include:

•   Establishing a common framework for
    activities within each EPA Region

•   Facilitating SOW template development
•   Simplifying the monthly tracking of WA costs

•   Enabling RPMs to use EPA historic cost
    databases to prepare independent government
    cost estimates (IGCEs)

An OSWER Directive, Guidance for Scoping the
Remedial Design, details the items  and concerns to
incorporate when developing the RD SOW.
Appendix E contains a model RD SOW that may
be used to develop a site-specific SOW. The directive
recommends  that RPMs use the following
guidelines:
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       List all possible SOW tasks in the order
       indicated in Figure 4-2, but only provide task
       information relevant to the design. Do not
       delete or change the order or numbering of the
       standard tasks. For example, if it appears that
       data acquisition will not be required as part of
       the RD, the SOW should state, "Task 3: Not
       required." The RD SOW can be amended
       later to include Task 3 requirements if
       necessary.
       Specify all deliverables and their due dates
       and include the methods for evaluating them.
       Instruct the contractor to use existing RI/FS
       site-specific plans whenever possible. For
       example, the health and safety plans (HASPs),
       sampling and analysis plans (SAPs), and
       emergency response plans (ERPs) prepared
       for the RI/FS can be reused during the RD
       with minor modifications or addenda.
       Require justification prior to any resampling
       effort. Additional sampling consumes time
       and resources and should be avoided if
       possible. The RPM also  must re-examine the
       RI/FS data quality objectives  (DQOs) to
       ensure that they are appropriate for the RD.
       Incorporate standard design specifications by
       reference for the designer to use wherever
       possible. Many portions of an RD are not site-
       specific and can be adapted from previously
       prepared specifications. USAGE has
       developed treatment-specific  design
       specifications that can benefit EPA-managed
       projects. A listing of these standard design
       specifications appears in Figure 4-3. The
       design specifications may be obtained from
       USAGE'S Huntsville Construction Division.
       Specify that design submittals conform to the
       Construction Specification Institute (CSI)
       format or a locally supported format. If
       USAGE is expected to manage the RA, the
       submittals must conform to USAGE'S
       specification format contained in ETL 1006,
       Technical Requirement for Pre-design and
       Design Submittals.
       In situations where ARCS/RAG contractors
       design the remedy and USAGE procures RA
       services, the ARCS/RAG contractor must be
     Figure 4-3
        USAGE Standard Design Specifications

   USAGE has developed the following treatment-specific
   design specifications:

  • Air Stripping
  • Asbestos Abatement
  • Blower, Off-Gas: Treatment Systems
  • Chemical Feed Systems
  • Clearing and Grubbing
  • Contractor Chemical Data Quality Control
  • Filtration Systems
  • Geomembrane Barriers for Landfill Covers
  • Geonet
  • Geosynthetic Clay Liner
  • Low Permeability Clay Liner
  • Monitoring Well Installation
  • Piping, Off-Gas: Treatment Systems
  • Plate and Frame Filter Press
  • Remediation of Contaminated Soils and Sludge by
    Incineration
  • Removal of Underground Storage Tanks
  • Safety, Health, and Emergency Response (reviewed
    by the EPA/Labor Task Force)
  • Separation/Filtration Geotextile
  • Soil/Bentonite Slurry Cutoff Walls
  • Solidification/Stabilization of Contaminated Materials
                                         51-043-8A
    available for consultation during the RA. The
    RA SOW should include the coordination
    between the RD contractor and USAGE as a
    separate task or subtask (see section 5.2.4 for
    more information on RA SOWs). Significant
    RPM coordination with USAGE personnel,
    Including the USAGE resident engineer, is
    required to ensure that the RA WA is in place
    when the RD WA is completed. This will help
    ease the transition from one remedial phase to
    the next.

Design Contractor's Responsibility for Quality Control
The RPM must require as part of the SOW that the
contractor perform internal design reviews. Internal
design reviews are a cornerstone of the contractor's
quality control (QC) program and are carried out by
members of the design team to ensure delivery of a
quality product to EPA. The RPM will review
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                                                               Chapter 4 • Federal-Lead Remedial Design
contractor QC methodologies as part of the work
plan review.

The most important QC activities generally
performed by a design contractor are: plan-in-hand
reviews and correlating drawings and specifications.
Plan-in-hand reviews are performed by the design
contractor at the end of the design by visiting the
site and comparing the current site conditions with
the design drawings and making any appropriate
corrections.

Correlating drawings and  specifications is a
structured process to coordinate the drawings and
specifications among  the various engineering
disciplines using the process flow diagrams (PFDs)
and the  piping and instrumentation diagrams
(P&IDs)  as the templates to cross-check the design
and ensure that errors or omissions are discovered
and corrected. For example, this review may find
that mechanical drawings indicate equipment with
different  horsepower ratings than those shown on
electrical drawings. This review will be performed
before submission of the prefinal design to the
contracting party (see section 4.7.6).

SOW for USACE-Managed RDs
The relationship between EPA and USAGE during
USACE-managed RDs is outlined  in the IAG.
Although the RPM prepares the IAG SOW, USAGE
prepare  the designer's RD SOW. It is strongly
recommended, however, that the RPM prepare an
effective IAG SOW and work with USAGE to
prepare a design SOW. Clear lines of communication
between the two agencies will increase project
quality and reduce unnecessary  delays.

The IAG SOW does not need to contain the same
level of detail as an RD SOW prepared for an EPA
contractor because USAGE functions as an extension
of EPA  and is free to develop its own RD
specifications. The IAG SOW prepared by the RPM
could define only the major project requirements,
schedule, all known constraints, funding issues, and
roles and responsibilities, but also should contain
any communications requirements between USAGE
and EPA, an oversight cost estimate, and any special
reports to be generated for the RPM.

All predesign information also  must be made
available as part of the SOW provided with the IAG.
When developing the IAG SOW, the RPM, in
conjunction with the TRT, is encouraged to meet
regularly with USAGE representatives to discuss the
project requirements and EPA's expectations.

Ideally, USAGE should be involved in the RI/FS as
part of the RPM's TRT as soon as it is expected to
be a USACE-managed RD. Early involvement is
invaluable  in establishing a  good working
relationship between the agencies and minimizes
schedule delays when changing from EPA's RI/FS
contractor to USACE. The RPM also must firmly
establish early in the relationship that he or she will
be involved in the USACE design contract SOW
preparation. Cooperation between the  agencies
during RD SOW preparation prevents the need to
modify the designer's contract or delivery order, a
process that takes additional time. Negotiating
changes after contract award historically has taken
several  months to complete and has resulted in
prolonged interruptions in design work.

Most difficulties incurred by an RPM when working
with another  agency are caused by  lack of
communication between both parties. Failure to use
the expertise of TRT members, particularly when
the RPM is not intimately familiar with engineering
and construction, can compound the communication
difficulties.  Early and frequent interaction may
prevent these types of problems from occurring and
will  help define each agency's  roles and
responsibilities.

OSWER Directive 9355.0-43, "Guidance for
Scoping the Remedial Design," March 1995;
ETL1006, "Technical Requirement for
Predesign and Design Submittals"; and EPA
540IR-94I022 and 103, "Response Action
Contract Users' Guide, Volumes 1 and 2,"
provide additional information to assist the RPM
in preparing the RD SOW.

4.3.2 Developing a Preliminary Remedial Design
      Schedule
The RPM prepares a baseline RD schedule as part
of the SOW development process. During the work
plan approval process, a highly detailed RD schedule
(developed by the contractor) will be negotiated
between  the parties. The RPM should ensure
adherence  to the detailed  RD schedule to
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RD/RA Handbook
   successfully manage an RD (see section 3.9).  For
   EPA-managed RDs, EPA has developed remedy-
   specific RD schedules for each of the nine categories
   that encompass the range of technologies being used
   to remediate NPL sites. These categories are listed
   in Figure 4-4. The generic schedules are based on
   historical data from previous EPA contracts. The
   OSWER Directive, Guidance for  Scoping the
   Remedial Design, contains remedy-specific RD
   schedules divided into EPA contractor standard tasks.
   An RPM can  adapt these schedules to formulate a
   preliminary or baseline RD schedule based on the
   standard tasks in the site-specific RD SOW.
      Figure 4-4
   Principal Remediation Categories for RD Schedules

      • Groundwater Treatment-Complex
      • Groundwater Treatment-Simple
      • Groundwater Treatment - Simple (Expedited)
      • Treatment of Soils/Sludge - Complex
      • Treatment of Soils/Sludge - Simple
      • Civil Engineering - Complex
      • Civil Engineering - Simple
      • Civil Engineering - Simple (Expedited)
                                          51-043-9A

   During USACE-managed RDs, USAGE personnel
   develop the RD schedule with RPM input and
   cooperation. The schedule cannot be modified by
   the designer without prior approval from the
   contracting party. The RPM must be available  as
   needed to resolve issues that affect the schedule.

   Once the schedule has been developed and approved,
   the RPM should enter the information into the Compre-
   hensive Environmental Response, Compensation, and
   Liability Information System (CERCLIS). The RPM
   continually must update the CERCLIS information as
   the RD and RA progress. CERCLIS, however, is not
   to be used to supplement the RPM's own scheduling
   efforts.  The RPM's master schedule should be the
   primary  document;  CERCLIS is merely  an
   administrative tracking device and is not suitable  or
   intended to be used as a project management tool.
4.3.3  Developing the Remedial Design Independent
      Government Cost Estimate
An IGCE is an estimate of the cost required to
complete a project. Federal Acquisition Regulation
(FAR) Part 36.605 requires that an IGCE be prepared
for each contract or contract modification (such as a
WA) expected to exceed $25,000. The accuracy of
the IGCE depends on the detail provided in the SOW.
After the RD SOW is completed, the RPM must
complete an IGCE for EPA-managed RDs and is
strongly encouraged to complete a similar cost
estimate for USACE-managed RDs. The RPM is
responsible  for updating CERCLIS with the cost
estimate information and confirming that RD funds
are available before the actual design work begins.

IGCEs for EPA-Managed RDs
If EPA is the contracting party, the RPM, as the Work
Assignment Manager (WAM) for the RD, is required
to prepare an IGCE before issuing the WA. OSWER
Directive  9355.0-43, Guidance for Scoping the
Remedial Design, provides basic information to
estimate the level of effort (LOE) for each of the
standard tasks  using the principal remediation
categories hi Figure 4-4. These LOE estimates are
derived from data collected from previous EPA
contracts. The RPM should consider the use of these
estimates only as a starting point in developing a
more site-specific cost estimate. Before preparing
an IGCE, the RPM should contact the Regional
IGCE coordinator who is available to assist the RPM
with the format, content, and review of the estimate.

IGCEs for USACE-Managed RDs
An RPM is not required to prepare an IGCE as part
of the IAG with USAGE. USAGE prepares the IGCE
when developing a site-specific contract for design
services or an indefinite delivery work order under
their  preplaced/indefinite  delivery contracts.
Although not required to prepare an IGCE, the RPM
should develop a rough estimate before entering into
RD scoping  discussions with USAGE. Comparing
independent RD cost estimates is an effective means
of determining  whether both  parties fully
comprehend the scope of the design activity. It also
helps  resolve potentially difficult issues such as
USAGE travel costs, the number of staff involved,
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                                                                Chapter 4 • Federal-Lead Remedial Design
and the duration of the design process.

4.4  Tasking the Remedial Design

The RD is tasked to ARCS/RAC contractors by
issuing an RD WA and to USAGE through an IAG.
The RPM's responsibilities for tasking the RD to an
EPA contractor or to USAGE and for managing the
progress of the RD are discussed below.

4.4.1  Tasking the Remedial Design to an EPA
     Contractor
EPA orders work from ARCS/RAC contractors by
issuing a written WA to the contractor. The WA is a
legally binding part of the EPA contract with the
contractor and generally contains the project
background, scope of work, project schedule, a list
of deliverables,  approved LOE, documentation
requirements, and restrictions on contractor travel,
printing, or other activities. This section does not
describe the entire WA management process but
provides a brief overview of basic WA procedures.
This section describes:

•  Preparing and issuing the RD WA package
•  Issuing RD WA amendments and
   modifications
•  Closing out the RD WA

The WA process is described in greater detail in other
references listed at the end of this section.

Preparing and Issuing the RD WA Package
The RPM prepares a WA package to initiate a new
WA. The WA package is reviewed by the Project
Officer (PO) and reviewed  and approved by the
Contracting Officer (CO) before being issued to the
contractor. The  WA package  must  include  the
following:

•  Work assignment form (WAF)—The WAF is a
   one-page form used to track the various
   actions required to initiate, approve, amend,
   and complete a WA. The WAF also includes
   the approved expenditure limit that provides
   the RPM with the means to control the funds
   available to the contractor and allows the
   RPM to manage the phasing and execution of
   the WA.
 •   SOW—The SOW is a clear description of the
    work required of the contractor. The SOW
    includes a detailed breakdown of work, all
    required deliverables, work quality
    requirements, and delivery schedule (see
    section 4.3).
 •   IGCE—An IGCE is the RPM's cost estimate
    for the cost of performing the work detailed in
    the SOW. The IGCE is used by the CO to
    negotiate WA costs with the contractor and
    must never be disclosed in any fashion to the
    contractor (see section 4.3.3).
 •   Nomination and appointment of Contracting
    Officer's representative (COR)  form, EPA
    Form 1900-65a—Form 1900-65a is used to
    designate the WAM for the new WA. The
    RPM usually will function as the WAM for
    RD WAs.

 •   Procurement request (PR), EPA Form
    1900-8—The PR is used to commit funds to
    individually funded WAs. If a WA is bulk
    funded, as most RAC WAs are, funds are
    committed by indicating the expenditure limit
    on the WAF.

 •   Work assignment allocation matrix—The
    work assignment allocation matrix is used to
    identify which ARCS/RAC contractor will
    receive the WA. (This form is added to the
    WA package by the PO.)

After the PO reviews the WA package for accuracy
and completeness, it is submitted to the CO for final
review and approval. The CO signs the WAF, issues
the WA to  the contractor, and returns copies of the
approved WA to the RPM and PO.

Once the ARCS/RAC contractor has received the
WA, the contractor attends a scoping meeting with
the RPM,  TRT, and PO and, possibly, the CO to
discuss the WA. The contractor prepares and submits
a work plan that describes the contractor's proposed
approach for completing the WA tasks. Any required
changes to the work plan will be negotiated with the
contractor  by the CO with assistance from the PO
and RPM. A revised work plan will be submitted by
the contractor if significant changes are required.
The  RPM and PO oversee the approval of the
contractor work plan or revised work plan.
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RD/RA Handbook
   issuing RD WA Amendments and Technical Direction
   The unforeseen complications inherent with RD
   work require a certain degree of EPA and contractor
   flexibility. Site conditions may exist that were not
   considered when the WA SOW and contractor work
   plan were prepared. The necessary response to the
   new site conditions may affect the approved scope,
   LOE, or dollar values and require revisions to the
   WA. There are two methods for clarifying the WA:
   issuing technical direction or amending the WA.

   Issuing Technical Direction
   The RPM may issue technical direction to assist the
   contractor in completing the WA. Technical direction
   should be issued in the form of a technical direction
   memorandum and may be issued in response  to a
   contractor question, to clarify provisions in the SOW
   or EPA-approved work plan, hi response to project
   or site  activities, or to comment on or document
   approval of contractor deliverables.  Technical
   direction, however, cannot be used to change the
   scope or budget of the WA.

   Amending the WA
   A WA amendment is required for changes to the WA
   scope when funds or LOE above the approved work
   plan budget are needed or when funds or LOE levels
   need adjustment. If the WA amendment will increase
   the WA cost by more than $25,000, the RPM must
   prepare an IGCE for the amendment. The CO issues
   final approval for all WA amendments.  The
   contractor is required to submit a revised work plan
   to incorporate WA amendment changes. The revised
   work plan is approved using the same procedures
   used to approve the original work plan.

   The RPM can increase or decrease WA funding for
   bulk-funded WAs by preparing aWAF and increasing
   or decreasing  the expenditure limit.  The RPM
   submits the WAF to the PO for review and the PO
   presents it to the CO for final review and approval.
   For individually-funded WAs, the RPM must prepare
   a PR and an amended WAF and forward them to the
   CO for processing. The RPM must consult with the
   Region's Information Management Coordinator to
   ensure, prior to increasing WA funding,  that
   additional RD funds are available.

   The RPM must also remain aware of theARCS/RAC
   WA period of performance and extend the period as
necessary. The RPM extends  the period of
performance by updating the WAF and submitting
it for PO review and CO review and approval. The
RPM must update CERCLIS with all WA changes
that affect the WA budget or schedule.

Closing Out the RDWA
The final  task in each WA is WA closeout. WA
closeout involves:

•  RPM, PO, CO, and contractor evaluations of
   contractor performance
•  Organizing and retiring WA files
•  Site demobilization, if necessary
•  Verifying  and processing final WA costs

The WA is considered complete upon approval of
the final deliverable and receipt of the final invoice.
After the WA is complete, the RPM evaluates the
contractor using the WA completion report (WACR)
form. The PO, CO,  and contractor also complete
WACRs.

The RPM  is responsible for organizing and retiring
WA files  and ensuring that contractor  files are
properly organized and retired. The RPM also must
coordinate the return of all government property in
the contractor's possession that will not be used by
the contractor during the RA.

OSWER Directive 9242.6-01, "ARCS Work
Assignment Management—Field Guide,"
January 1989; EPA/540IG-89I008, "ARCS
Contracts Users'Manual"; and EPA 540IR-94I
022 and 103, "Response Action Contract Users'
Guide, Volumes 1 and 2," provide additional
information on the WA process.

4.4.2 Tasking the Remedial Design to USAGE
The RD is tasked to USAGE with an LAG. An LAG
is a written agreement negotiated between agencies
that allows an agency to purchase goods and services
from another agency. All Superfund LAGs are similar
in that they contain special conditions for records
retention, reporting, and cost recovery. For RD/RA
projects, there are three types of lAGs between EPA
and USAGE:  RD LAGs, RA LAGs, and  technical
assistance lAGs. Appendix D contains model RD
and RAIAGs. This section refers to RD LAGs. Each
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                                                                Chapter 4 • Federal-Lead Remedial Design
type of IAG may be executed in one of three ways—
as a generic IAG, as an incrementally funded IAG,
or as a two-phase LAG.

A Region and USAGE may have a long-standing
generic IAG between them with sufficient funding
for EPA to task USAGE with the preliminary RD/
RA planning and cost estimate. Some Regions prefer
using one generic IAG with USAGE to initiate RD
projects. After the initial planning and preparation
is complete, the RPM prepares an RD IAG for the
actual design.

Incrementally funded lAGs are used for specific
projects with USAGE. EPA prepares an IAG with
limited funding. The limited funding allows USAGE
officials to procure a design firm and meet with the
RPM and define and shape the RD SOW (including
schedule and budget). EPA approves the start of the
actual design work by amending the LAG to increase
the available funding. Additional funds can be added
to the IAG when needed as the remedial work
progresses. This approach requires more paperwork
than using one generic LAG.

A two-phase LAG is an older form of LAG that is
similar to incrementally funded lAGs.  Like the
incrementally funded IAG, the two-phase  IAG
begins  with limited  funds to  allow  initial
consultations between EPA and USAGE. The second
phase, however, requires the preparation of an
additional IAG to increase the scope of work and
increase the  available funding and, therefore,
requires additional time and paperwork to complete.
Many Regions  have adopted the incrementally
funded IAG approach and no longer use the  two-
phase approach.

This section provides a brief overview of basic IAG
procedures. These procedures include:

•  Preparing and executing the LAG
•  Preparing IAG amendments and increasing
   funding
•  Closing out the LAG

Preparing and Executing the IAG
The RPM prepares the IAG package for PO and CO
approval. The LAG review and approval procedures
vary by Region. The RPM, therefore, should follow
Regional guidance concerning  specific  IAG
procedures. The LAG package contains the following
documents and may contain additional Region-
specific documents:

•   EPA Form 1610-1—the EPA standard LAG
    form that includes the RD SOW and schedule
•   Attachment A, "Special Conditions for Design
    LAGs"—a summary of special conditions
    developed for Superfund to deal specifically
    with cost documentation requirements
    (Attachment A contains requirement lists for
    design lAGs)
•   Decision Memorandum—memorandum from
    the Program Administrator requesting the
    Regional Administrator's signature approving
    the LAG
•   Commitment Notice—the format and content
    are Region-specific

While the LAG should be as detailed as possible, the
Office of General Counsel (OGC) has determined
that EPA may not unilaterally impose its QA/QC
requirements  in lAGs. The  specific QA/QC
requirements must be negotiated into the LAG on a
case-by-case basis.

Once the IAG is signed by the designated EPA
Regional official, it is forwarded to USAGE for
signature by the responsible authority. It is then
returned to the EPA Region  so funds can be
transferred by the Regional budget staff.

Separate lAGs are necessary for RDs and RAs due
to the different funding authorization and tracking
codes assigned to each activity.

Preparing IAG Amendments and Increasing Funding
Changing site conditions may require the IAG to be
amended. Amendments also may be necessary if the
scope of the activity changes or additional funds are
needed to complete the design.  The same process
for executing the original IAG must be followed to
amend an LAG. The RPM also must be aware of the
time required to complete the design and be prepared
to extend the period of performance as necessary.

Closing out the IAG
LAGs must be closed out upon completion and all
remaining funds deobligated for  recertification and
use at other Superfund sites. The RPM initiates
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RD/RA Handbook
   closeout activities when at least one of the following
   conditions exists:
   •   No further activities will take place
   •   All expenditure commitments have been met
   The RPM prepares a written closeout request that
   states there will be no further activity under the IAG,
   that EPA has received the services stated in the
   agreement, and that all invoices have been paid. The
   RPM prepares a letter  for the designated EPA
   Regional official's signature requesting USAGE to
   begin IAG closeout activities. The closeout activities
   are designed to certify completion of the design effort
   and resolve any outstanding costs. The RPM should
   consult Region-specific guidance for additional IAG
   closeout activity information.

   4.4.3  Managing the Progress of the Remedial
         Design
   The RPM is responsible for managing RD progress.
   There are several methods that an RPM can use to
   manage the design effort and ensure compliance with
   the requirements established in the RD SOW.  The
   level of oversight required to manage the  RD
   successfully depends on whether USAGE or an
   ARCS/RAC contractor is responsible for the design.
   When USAGE develops the RD in-house or oversees
   the RD contract, the design document will be in
   accordance with ih&FederalAcquisition Regulation
   (FAR); therefore, any design effort managed or
   performed by USAGE does not require as much
   scrutiny as an EPA contractor design effort.

   The methods available to the RPM for overseeing
   EPA- and US ACE-managed designs require effective
   use of TRT members' experience and expertise. The
   specific methods are discussed below.

   Managing ARCS/RAC RDs
   EPA-managed  RDs are tasked to ARCS/RAC
   contractors with an RD WA. EPA contracts are cost-
   reimbursement contracts and, therefore, require close
   governmental control. The RPM must proactively
   manage ARCS/RAC contractor performance to
   ensure that work is satisfactorily completed and the
   government  is receiving goods and services
   commensurate with costs billed.

   The RPM cannot assume that the design effort will
   be performed exactly as  required. He  or she, with
the assistance of the TRT, must actively oversee and
manage contractor performance with the objective
of assuring that  contractor activities meet the
requirements of the RD SOW. There are a number
of effective ways that an RPM can manage RD WA
progress, including:

•  Inspecting work—Unannounced inspections
   may reveal that design work is not being
   performed as expected. If a contractor
   concentrates all work effort into a short time
   period before an EPA submittal delivery date,
   the design quality may suffer. If Regional
   travel budgets do not allow the RPM to visit
   the contractor, the progress reports can
   function as the primary inspection tool. Work
   inspections and progress reports also allow a
   preview of the final RD submittal so that
   revisions may  be incorporated before the final
   design is prepared. Inspections also allow the
   RPM and TRT to determine if the contractor is
   staffing the project to the levels and with the
   individuals promised.
•  Telephone communications—Frequent RPM
   communication with the contractor is
   important to establish EPA's expectations for
   a quality contractor work effort. The
   contractor is more likely to report any
   difficulties or issues encountered if the RPM
   is readily available to offer quick solutions. A
   scheduled time and day for weekly contact
   should be maintained throughout the duration
   oftheWA.
•  Meetings with contractor personnel—The
   RPM should schedule regular meetings with
   contractor personnel. Meetings typically occur
   after major deliverables have been submitted
   and reviewed by EPA. Additional progress
   meetings may  be appropriate, particularly for
   complex sites, and should include the
   appropriate TRT members.
•  Comparing progress with work plan
   schedule—The RPM must determine if the
   contractor is performing according to the work
   plan schedule. A transmittal register such as
   the one provided in Appendix B is a useful
   tool for tracking deliverable due dates,
   submittal dates, and EPA responses.
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                                                                 Chapter 4 • Federal-Lead Remedial Design
•   Reviewing progress and financial
    management reports—The ARCS/RAC
    contracts require specific reporting
    requirements and additional reporting
    requirements may be specified in the WA. The
    progress reports allow the RPM, with TRT
    assistance, to evaluate contractor performance
    and progress. The financial reports provide
    information detailing how government funds
    are spent and give the RPM the opportunity to
    question contractor expenses and ensure that
    sufficient funds remain in the WA budget to
    complete the design effort. ARCS/RAC
    contractors are required to notify EPA when
    75 percent of the approved funds have been
    expended. The RPM should seek any
    clarification on the monthly progress or
    financial reports review procedures from the
    PO.
•   Reviewing deliverables—The RPM must
    review all contractor deliverables to ensure
    that they meet the RD SOW requirements. It is
    strongly recommended that the RPM use the
    TRT to review design deliverables. The RPM
    is responsible for ensuring that the reviews are
    completed within the allotted time frames to
    prevent delaying the contractor.

The RPM, as part of the RD WA management
process, also must  examine the contractor staffing
mix and provide constant feedback to the contractor
regarding overall WA performance.  These RPM
activities are described below.

Monitoring Contractor Personnel
The quality  of contractor  output depends on
contractor personnel competence. The RPM must
ensure, with TRT assistance, that the design project
personnel are  qualified to  perform the work
according to the SOW standards. The RPM should
clearly  define  personnel  experience  and
qualifications needed in the RD SOW and ensure
that the contractor work plan complies with SOW's
personnel requirements. The RPM should continue
to oversee the contractor personnel mix throughout
the life of the RD.

The RPM should be familiar with and discourage
several problematic contractor practices. Frequently
the contractor staff that prepare the work plan are
not the same individuals assigned to work on the
design. Some contractors also are plagued by rapid
personnel turnover that negatively affects design
quality. Finally, the RPM should verify that the
professional levels and contractor personnel are
being used as described in the approved work plan.

To determine if such difficulties are occurring, the
RPM should thoroughly review the monthly progress
reports. If inadequacies with the labor mix or
personnel involved with the design are suspected,
the RPM may request all contractor personnel
information,  including resumes and  position
descriptions, to evaluate personnel qualifications.
The RPM, with assistance from the PO, should
immediately inform the contractor of any problems
related to  contractor personnel and take necessary
steps to resolve the difficulties.

Providing EPA Feedback to the Contractor
The RPM should be in regular contact  with the
ARCS/RAC contractor throughout the RD WA. The
RPM establishes the tone for the project and by his
or her actions conveys this tone to others  involved
with the project. The RPM must provide the
contractor with regular feedback regarding
contractor performance so the contractor understands
EPA expectations and delivers a product consistent
with or exceeding those expectations. The RPM must
inform the  contractor immediately   of  any
inadequacies because the longer a difficulty remains
undiscussed, the more difficult it is to resolve.

There are several guidelines for the RPM to consider
when providing EPA feedback to the contractor:

•   Avoid delay—Give feedback immediately
    when reviewing a contractor submittal or
    when a problem is discovered.
•   Be specific—Indicate specific problems and
    provide examples.
•   Keep records—Record when and what
    feedback was given. A memorandum should
    be prepared and sent to the contractor
    documenting the problem, discussion, and
    resolution. A copy of the memorandum should
    be placed in the WA file. (The RPM should
    seek PO input and assistance when resolving
    contractor problems.)
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   •  Reinforce positive performance—Give
      positive, as well as negative, feedback where
      appropriate.
   •  Remain consistent with the WA scope of
      work—Changes to the scope of work require
      concurrence by the CO.
   Under term-form WAs, available under ARCS and
   RACs, the contractor is only required to give its "best
   effort" in performing the work. For this reason,
   diligent monitoring and frequent discussions with
   the contractor are necessary to  prevent the
   government from paying for poor performance that
   will be claimed later as best effort. Information  on
   the use of term- and completion-form WAs is
   available in the RAC Users' Guide.

   Managing USAGE RDs
   Roles and responsibilities governing  EPA and
   USAGE actions have been established in a national
   memorandum of understanding (MOU). The MOU,
   however,  does not  relieve  the RPM of the
   responsibility for managing RD progress, ensuring
   that ROD requirements are met, and  ensuring that
   the RD is  completed  on  schedule and within the
   budget agreed to by both parties.

   After executing the TAG,  USAGE personnel, with
   the RPM's assistance, establish the RD completion
   schedule. The RPM must work with USAGE to
   identify the deliverables that EPA will review and
   EPA's  review schedules.  The RPM  may use
   USAGE'S computerized schedule management
   system that feeds into the Regional WasteLAN
   database to monitor RD progress.

   The RPM receives monthly progress  reports and a
   copy of Standard Form-1080 (for requesting
   payment) from USAGE. Although EPA has adopted
   the direct cite payment process for US ACE-managed
   projects, the RPM should still receive and review
   monthly vouchers. The direct cite payment process
   allows  USAGE rather than the RPM  to certify the
   invoice for payment. All monthly reports contain a
   description of both USAGE in-house and contractor
   activities. The national MOU does not preclude the
   RPM from questioning USAGE expenditures and
   requesting additional documentation, including
   project time sheets, to review vouchers submitted
by USAGE. If the RPM believes that there are
inaccurate charges, he or she should notify the PO
for further direction. EPA can request reimbursement
from USAGE for disputed fund transfers.

A communication strategy should be included in the
IAG. As part of this strategy, the RPM should
schedule routine meetings and conference calls with
USAGE to oversee the RD effort. It is imperative
that the RPM maintains contact with USAGE during
the design phase because the RPM is ultimately
responsible for the design effort.

OSWER Directive: 9355,5-14 FS, "EPA/USACE
PAYMENT PROCESS Direct Cite/Revised
Reimbursement Methods," May 1990, provides
additional information on the EPA/USACE IAG
payment procedures. EPA540IR-94I022 and 103,
"Response Action Contract (RAC) Users' Guide,
Volumes 1 and 2," provide additional
information on term- and completion-form WAs.


4.5  Procuring a USAGE Designer

After an IAG is executed between EPA and USAGE,
the USAGE design districts have several design
procurement options available. These options
include:

•   In-house (USAGE) design
•   Use of indefinite delivery (IDT) architecture/
    engineer (A/E) contracts
•   Total environmental restoration contracts
    (TERCs)
•   Site-specific A/E contracts

In general, procurement of a site-specific contract
takes six months and initiation  of work by an IDT
contractor typically takes 60 days. Initiation of work
by a TERC contractor varies depending on the
requirements.

USAGE may need to procure a contractor to prepare
the design if in-house services are not available and
preplaced contracts are not being used. USAGE
begins  the  designer procurement  process by
preparing a USAGE version of the EPA project
management plan (see Chapter 3). The USAGE
project management plan details the procedures for
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                                                                  Chapter 4 • Federal-Lead Remedial Design
contracting and managing the project. The RPM
should request a copy of the plan from the USAGE
project manager and review it to ensure EPA
requirements are met.

USAGE  must undertake certain contractor
procurement  activities after completing its project
management  plan, including:

•   Summarizing the project requirements in the
    Commerce Business Daily (CBD), a
    government solicitation publication used to
    announce available federal contracts
•   Developing the design contractor preselection
    list

•   Contacting  designers on the preselection list to
    determine interest in the project
«   Developing a designer selection list containing
    at least three interested firms
•   Making a tentative designer selection

The USAGE project manager will work with the
RPM to meet EPA requirements for contract action
at a site.

OSWER Directive 9355.5-05, "Procedure for Use
of USAGE Preplaced Contracts to Expedite
Superfund Cleanup Tasks," April 1994, provides
additional information on USAGE preplaced
contracts.
4.6   Reviewing and Approving the Work Plan
      (ARCS/RACs)
The ARCS/RAG contractor describes its proposed
technical approach for completing the requirements
of the RD SOW in the work plan. Figure 4-5 outlines
the general contents of a contractor work plan.
Additional predesign  phase submittals may be
included as part of the work plan or may be submitted
shortly thereafter. These submittals are discussed in
section 4.7.2.

After receiving the work plan, EPA must complete
the following tasks:
•   Review the work plan to ensure that the
    contractor understands and incorporates all
    EPA requirements
    F gure 4-5
             Components of a Work Plan
   • Statement of project goals
   • Description of each task/deliverable
   • Project schedule identifying task and deliverable
     completion dates
   • Proposed RA contracting strategy
   • Proposed personnel
   • Areas requiring clarification or anticipated problems
   • Proposed use of subcontractors with discussion of how
     the effort will be managed by the prime contractor
   • Detailed cost proposal broken down by task and subtask,
     including subcontractor cost breakdown (using WBS)
   • COI statement
   • Drawing register listing all drawings and specifications
     that will be prepared
                                        51-043-10C

•   Negotiate with the contractor to modify or
    clarify the work plan
•   Approve the work plan

4.6.1  Reviewing the Work Plan
The RPM performs a comprehensive technical
review and cost analysis immediately upon receipt
of the work plan. The purpose of the review is to
ensure that the ARCS/RAG contractor fully
understands the scope of the project and that  the
proposed technical approach, schedule, and staffing
are complete, reasonable, and comply with the RD
WA requirements.

The technical review includes a work plan evaluation
by professionals familiar with the RD process who
have the knowledge, skills, and experience necessary
to evaluate the technical aspects of the work plan.
The RPM's TRT should receive a copy of the work
plan as soon as it is available and should be consulted
as part of the RPM's technical evaluation of the work
plan.  The RPM also must conduct a cost analysis
that includes reviewing the individual cost elements
of the work plan and comparing them with the IGCE.
The RPM should provide explanations for variances
between EPA and contractor cost estimates to  the
CO and suggest methods for resolving the differences
through negotiations.

When reviewing the work plan, the RPM must ensure
that  the  following questions  are  answered
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   adequately:
   *   Is the proposed work reasonable, appropriate,
       and complete?
   •   Does the work plan respond to the RD SOW
       and do the proposed tasks fit the RD SOW or
       does the work plan unnecessarily exceed SOW
       work requirements?
   •   Are the skill mix and number.of LOE hours
       appropriate for the tasks? Is the level of
       subcontracting necessary and appropriate for
       the design effort?
   •   Are the schedules and milestones reasonable
       and acceptable?
   •   Are travel and other direct costs necessary,
       reasonable, and appropriate?
   •   Are the contractor personnel qualifications
       appropriate for the work?
   •   Has the contractor defined problems that
       require EPA resolution?
   •   Are there any issues that require CO or PO
       attention?
   The ARCS/RAC  contractor must provide its
   recommended RA contracting strategy as part of the
   work plan (see section 5.4). This strategy must
   include the proposed procurement methods, the type
   of  design specification (performance versus
   detailed), and phasing/fast-tracking alternatives. The
   RA contracting strategy influences the overall design
   effort in terms of schedule and budget and must be
   agreed upon before the contractor expends design
   resources.
   The RPM  summarizes his or her review of the work
   plan in a memorandum to the PO and CO. The PO
   and  CO  review  the  RPM's  report  and
   recommendations  and  may request additional
   information from the RPM before CO approval.

   4.6.2  Negotiating with the Contractor
   The RPM, PO, and CO work plan reviews may reveal
   that the proposed contractor work plan does not meet
   EPA technical requirements, cost estimates, or both.
   The RPM, PO, and CO should meet and discuss the
   need for work plan negotiations with the contractor.
   The CO, with assistance from the PO and RPM,
develops the negotiating position. The CO represents
EPA hi all negotiations with the contractor and must
ensure that negotiation records adequately document
negotiation results.

The RPM and PO assist the CO in preparing the EPA
negotiating strategy by reviewing the earlier RPM
work plan recommendation memorandum to ensure
that it adequately:

•   Details variances between the RD SOW and
    contractor work plan.
•   Examines the work plan from the contractor
    point of view and indicates contractor strategy
    or possible motivation.
•   Determines instances where contractor
    variance with the SOW is due to contractor
    knowledge of the site or previous RD
    experience and where contractor variance
    appears to indicate a misunderstanding
    regarding EPA objectives. These
    determinations are especially important when
    the contractor has made substantive or
    material changes from the SOW.
•   Lists all recommended changes to the work
    plan.
•   Provides a list of issues and proposed changes
    for the PO and CO to consider.

The CO shall maintain written documentation of the
significant differences between the government and
contractor negotiation  positions.  Additionally,
documentation for the government's negotiating
position, why changes were made, and the results of
the actual negotiations must be created and retained.
After successful negotiations and after the contractor
submits the revised work plan, the RPM reviews it
to ensure that all negotiated changes are incorporated
and that the work plan does not contain additional
modifications not agreed upon during negotiations.
The RPM  may require  the contractor to note or
highlight all deletions, additions, and revisions to
the work plan. The work  plan areas that are not
marked do not need to be  as thoroughly reviewed
by the RPM. After completing his or her review, the
RPM  prepares another work  plan  review
memorandum recommending work plan approval or
outlining items for further negotiation and submits
it to the PO and CO for their review.
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                                                                 Chapter 4 • Federal-Lead Remedial Design
4.6.3  Approving the Work Plan
If the CO determines that the work plan adequately
addresses all EPA requirements, the CO approves it
and informs the contractor. The RPM may need to
adjust the WA expenditure limit following work plan
approval to make  available funding sufficient to
begin the RD. Adjustments to the expenditure limit
are indicated on the WAF and approved by the CO.

OSWER Directive  9202.1-12, "Guidance on
Roles and Responsibilites for Preparing
Independent Government Cost Estimates
(IGCEs) for Remedial and Enforcement Work
Assignments," July 27,1993, and EPA 540IR-94I
022 and 103, "Response Action Contract (RAC)
Users' Guide, volumes 1 and2,"provide
additional information on approving the work
plan, including information on conducting and
documenting work plan negotiations.


4.7   Overseeing  the Design Development
The design development phase includes all activities
relating to  the review and approval of all design
efforts, including preliminary, intermediate, prefinal,
and final design phase submittals. The government
must review all deliverables to  ensure  that it is
receiving goods and services commensurate with the
costs billed. The contracting party (EPA or US ACE),
therefore, must  review all design submittals.

This section provides descriptions of many of the
design deliverables and  details  EPA review
procedures associated with each of the submittals.
The RPM  is responsible for ensuring that all
submittals are delivered and reviewed in a timely
manner to prevent  delays in the project schedule.
The  RPM also  is expected to manage his or her
design oversight activities and balance federal, state,
and community relationships.

This section describes:
•   Design review  procedures
•   Predesign phase submittals
•   Treatability screening submittals
•  Preliminary design phase submittals
•   Intermediate design phase submittals
•  Prefinal/final design phase submittals
4.7.1  Design Review Procedures
The RPM review procedures may be conducted in
parallel or in series with other ongoing design
activities. Parallel reviews are conducted while other
design work continues and eliminate inefficiencies
and delays caused by work interruptions. Parallel
reviews,  however,  are not appropriate in all
circumstances because the work performed may
have to be repeated if the review results indicate that
the design effort is not proceeding in the desired
direction. In a serial review, subsequent design
activities do not begin until the review is completed,
all comments are resolved, and approval to proceed
is granted.

The RPM is responsible for coordinating the review
of all  contractor deliverables when  EPA is the
contracting party. The RPM must review submittals
that are within his or her breadth of knowledge and
experience and distribute all other submittals to the
TRT. A copy of the submittals must be submitted to
the designated state officials for their review. The
RPM also may provide copies of the submittals to
the potentially responsible parties or technical
assistance grant contractors hired by the community.
The RPM collects TRT comments and any additional
relevant suggestions, resolves conflicting comments,
consolidates the comments into a single report, and
provides the results of the review to the contractor.

The RPM, during EPA-lead designs, is involved with
scheduling a post-submittal meeting that includes
all involved parties, including  the TRT and state
officials, after every major design submittal. The
purpose of the meeting is to reach consensus on
remaining design submittal issues. The RPM must
designate someone to take meeting notes and
document  resolution of the issues.

The contractor must respond to all EPA comments
and indicate whether the comment was incorporated
or provide an explanation for excluding it.  The
contractor has a professional responsibility to inform
the RPM of any unintended or adverse effects that
result from incorporation of EPA comments into the
design. The RPM should ensure that the contractor
response to EPA comments is provided according
to the schedule in the work plan.

The RPM also  may coordinate the review of
contractor deliverables as part of  the IAG with
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   USAGE. If USAGE is the contracting party and the
   RPM is facilitating the EPA review, the RPM must
   follow USAGE review procedures. If the RPM is
   not  coordinating  the review  of contractor
   deliverables, the RPM should participate in the
   review as a member of USAGE'S review team. These
   procedures should have been resolved as part of the
   IAG SOW.

   The duration of review activities for any particular
   project is a function of the site characteristics, the
   complexity  of the design, and EPA or USAGE
   administrative requirements. The specific review and
   approval milestones  should be identified clearly in
   the project schedule. All involved parties should be
   aware of the consequences  resulting from
   unnecessary delays.

   There are a number  of concerns that must be
   incorporated into a thorough RD review. Information
   on biddability, operability,  constructability, claims
   prevention, and environmental reviews and a design
   review checklist are included in Appendix C. These
   reviews provide a more systematic approach to the
   design review process and, although experienced
   reviewers  include many of  these  features as part of
   their review, the RPM should consult the specific
   review information to ensure a thorough review.

   4.7.2  Predesign Phase Submittals
   Several plans must be submitted by the  design
   contractor before any on-site field activities are
   initiated. The design contractor must submit an RD
   work plan to describe its proposed approach to
   completing each project task (see section 4.6). The
   following  additional plans may be submitted either
   with the contractor's work plan or shortly thereafter:

   •   Site management plan
   •   Health and Safety Plan (HASP)
   •   Sampling and Analysis Plan  (SAP)
   •   Contingency plan

   Site Management Plan
   The site management plan details the security
   provisions to be taken during  the RD. Security
   provisions include:

   •   Methods for limiting access to the site
   •   Secure waste disposal practices
•   Management responsibilities
Site security is a concern particularly when
equipment is left on-site during RD field activities.
The RPM should ensure that the contractor is tasked
with periodic site security inspections and that there
exists a means of maintaining (or enhancing, if
necessary) existing security features. Site security
becomes more important during the RA for two
reasons: additional equipment could increase the
likelihood of site vandalism; and there is a potential
for danger to trespassers  as a result of the
construction activities.

Health and Safety Plan
The Occupational Safety and HealthAdministration
(OSHA) regulations require that a single written
occupational, safety, and health  program  that
includes a HASP be in place for remedial activities
at all Superfund sites. There should be one HASP
per site, not one HASP per contractor, and every
site employee should be provided with a copy. The
objective of the plan is to protect workers through
the identification, evaluation, and control of health
and safety hazards and to provide for emergency
response contingency planning. While EPA uses the
acronym HASP, OSHA uses the term safety and
health program or plan, and USAGE uses site safety
and health plan. The required contents of the plans
are similar.

The contents of a HASP must include (but are not
limited to) the requirements of 29 Code of Federal
Regulations (CFR) 1910.120 for hazardous waste
operations. The standards outlined  in 29  CFR
1910.120, referred to as Hazardous Waste Operations
and Emergency Response (HAZWOPER) standards,
contain specific requirements to minimize the health
and safety hazards associated with actions at
uncontrolled hazardous waste sites. In addition, the
HASP  also may include other OSHA safety
standards for traditional construction  activities.
Figure 4-6 outlines the general contents of the HASP,
incorporating only the HAZWOPER standards. To
create the HASP, the HASP developed for the RI/FS
may be  reused or updated.

Only the hazardous portions of site cleanups fall
under HAZWOPER standards. Designating areas as
nonhazardous, and  therefore not subject to
HAZWOPER, results in a more  cost-effective
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                                                                 Chapter 4 • Federal-Lead Remedy Design
  Figure 4-6
            Components of the HASP
     Key personnel and hazard communications plan
     Health and safety risk analyses
     Site control measures
     Employee training assignments
     Medical surveillance
     Personal protective equipment
     Air and personnel monitoring
     Spill containment program
     Confined space entry procedures
     Decontamination procedures
     Emergency response plan
                                        51-043-11
cleanup and enables more firms to compete for those
portions of the construction work. OSHA standards,
not cleanup levels, determine hazardous exposure
levels. The designation of nonhazardous areas must
be made by professionals competent in worker health
and safety.

Emergency Response Plan
The emergency response plan (ERP) is a required
element of the HASP and includes a description of
how to handle potential site emergencies  and how
to minimize the risks associated  with a response.
The ERP must be developed and implementedbefore
commencing operations at a site.  The required
elements  of the ERP are  codified in 29 CFR
The ERP  must  include information on  site
topography, layout, prevailing weather conditions,
and procedures for reporting incidents to local, state,
and federal agencies. The ERP must be included in
overall site operation training programs and must
be reviewed and rehearsed regularly. The plan also
must remain available on-site for employee, OSHA,
and other government agency review.

The ERP should incorporate the capabilities and
limitations of the local emergency  response
community and the local community's contingency
plan,  which should be developed by the Local
Emergency Planning Committee  (LEPC).  The
Superfund Amendments and Reauthorization Act
Title in, or the Emergency Planning and Community
Right-to-Know Act, requires local governments to
create LEPCs. LEPCs should have in place local
contingency plans for coordinating  police,  fire,
utility, and medical services.

The local emergency responders should be involved
early on in efforts to develop the ERP so they are
familiar with their roles in a site emergency. Once it
is completed, copies must be provided to the local
emergency response facilities.

RPM's HASP Responsibilities
The RPM must review  the HASP when an  EPA
contractor is tasked with the RD or RA. To conduct
this review, the RPM should consult  a health and
safety contractor or USAGE to have the HASP
reviewed by a  certified industrial hygienist. For
USACE-managed RDs and RAs,  USAGE is
responsible for reviewing and approving the HASP.

It is the contractor's responsibility to comply  with
all OSHArequirements, including the HASP. OSHA
personnel ensure  contractor compliance by
performing periodic safety inspections. It is the
RPM's responsibility to  ensure that the contractor
implements the  HASP. To effectively carry out this
responsibility,  an RPM may use the following
techniques:

•   Inquire about health  and safety activities at
    every progress meeting. Let it be known that
    health and safety is an important criterion
    when rating contractor performance.
•   Review the  site files  for HASP revisions.
    HASPs are evolving documents that must be
    revisited continually and modified as
    necessary. If the cover is dusty, chances are
    that the HASP is not being followed.
•   The RPM can contact the TRT or EPA's
    Emergency Response Team (ERT) in Edison,
    New Jersey, for advice if there is a question on
    whether the HASP is being implemented
    properly. The ERT is the national Superfund
    lead on all health and safety issues related to
    site cleanup. The RPM also has the option of
    contacting OSHA for a compliance inspection.

The RPM, as EPA's representative, must maintain
effective community relations,  according to the
National Contingency Plan. During the predesign
phase, the RPM should contact the LEPC to
coordinate the community's local contingency plan
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   with the ERR The RPM should obtain a preliminary
   agreement  with  the community  to  provide
   emergency response services as part of the ERR

   The RPM also should facilitate the incorporation of
   the community's concerns during the development
   of the ERR  The RPM must ensure that  the local
   response community is equipped to handle their
   respective roles. All emergency  responders must
   have a level  of training comparable to the job they
   will be performing.  This  requirement generally
   translates into a minimum of 24 hours of training.
   Failure to initiate discussions with the community
   early in the RD process may affect the overall project
   schedule and lead  to a breakdown in community
   relations. Although the RPM should establish initial
   contact regarding the use of local emergency
   response units, the final agreement is the contractor's
   responsibility and is the constructor's responsibility
   during the RA because the ERP is part of the HASP
   and the HASP is the contractor's responsibility.

   Publication  9285.1-03, "Standard Operating
   Safety Guides," June 1992; EPAI540IG-89I010,
   "Health and Safety Audit Guidelines";
   Publication  9285.1-02, "Health and Safety Roles
   and Responsibilities at Remedial Sites," July
   1991; and Publication 9285.6-08FS, "Emergency
   Responder Agreements for Fund Lead RAs,"
   March 1994, provide additional information on
   health and safety requirements at Superfund
   sites.

   Sampling and  Analysis Plan
   The SAP is  a report that details  the methods and
   procedures concerning analytical methods employed
   during site-related sampling and data evaluation. The
   SAP incorporates the information from two separate
   but related reports:  the field sampling plan (FSP)
   and the quality assurance project plan (QAPP). These
   two reports may  be submitted separately,  but
   generally are submitted together as the SAP.

   The purpose of data collection during the RD is not
   to recharacterize the site but to obtain physical data
   to support the design effort. The RPM must ensure
   that the SAP is adequately reviewed by personnel
   with the appropriate experience and qualifications
   who  are familiar with  the RD  information
   requirements and  who can identify unnecessary
   procedures.
Field Sampling Plan
The FSP details the sampling and analytical
procedures and methodologies the contractor or
designated subcontractor will use and should be
written so that a field sampling team unfamiliar with
the site is able to collect the required  samples and
field information. The FSP  specifies how many
samples will be taken, how and where they will be
collected, what technical means will be employed
to collect them, what technical methodologies and
procedures will be used to analyze the samples, and
how the investigation-derived waste will be
disposed. The FSP also should contain an analysis
of the specific data gaps that the plan is designed to
eliminate. Figure 4-7 lists the contents of the FSP.
    Figure 4-7
            Field Sampling Plan Contents
   • Site background
   • Sampling objectives
   • Sample location and frequency
   • Sample designation
   • Sampling equipment and procedures
   • Sample handling and analysis
   • Investigation-derived waste disposal procedures
                                       51-043-12A

There is a tendency for contractors to mistrust data
collected by others, regardless of its quality.
Resampling often is not necessary and only increases
the time and cost of the RD. It should be avoided
unless serious inadequacies in the existing data can
be demonstrated. SAP reviewers should be instructed
to note any unnecessary sampling or analyses.

Quality Assurance Project Plan
The quality assurance project plan (QAPP) provides
a blueprint for the QA/QC activities during the
sampling and analysis phases of the project that are
needed to produce environmental data of the type
and quality required for  the project. The QAPP
augments the FSP by incorporating the design  of
the sampling and analysis events  based on a
systematic plan developed  using the data quality
objectives (DQOs) process. The DQO process
enables the designers and the  users to create a
sampling design that,  when implemented, will yield
a dataset of values within acceptable limits of error
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                                                                    Chapter 4 • Federal-Lead Remedial Design
specified by the user. DQOs are qualitative and
quantitative statements derived from the DQO
process that clarify study technical and quality
objectives, define the appropriate type of data, and
specify tolerable levels  of the potential  decision
errors that will be used as the basis for establishing
the quality and quantity of data needed to support
decisions. The DQO process is a systematic strategic
planning tool based on the  scientific method that
identifies and defines the type, quality, and quantity
of data needed to satisfy a specified use.  The key
elements of the process include:
•   Concisely defining the problem
•   Identifying the decision to be made
•   Identifying the key inputs to that decision
•   Defining the boundaries of the study
•   Developing the decision rule
•   Specifying tolerable limits on potential
    decision errors
•   Selecting the most resource efficient data
    collection design

The QAPP should  address, as  a minimum, the
elements listed in Figure 4-8. If a particular element
is not required, the QAPP should record why. Since
some of the information required for the RD QAPP
may be contained in previous site-specific QAPPs,
it will  be necessary only to reference those earlier
approved QAPPs. Duplicate information does not
need to be repeated.

EPA QAIR-5, "EPA Requirements for Quality
Assurance Project Plans for Environmental Data
Operations," and OSWER Directive 9355.3-01,
"Guidance for Conducting Remedial Investi-
gations and Feasibility Studies under CERCLA,"
provide additional information on preparing
QAPPs andFSPs. CERCLA-specific guidance
on applying the DQO process to remedial acti-
vities may be found in EPA540-R-93-071, "The
Data Quality Objectives Process for Superfund:
Interim Final Guidance," September 1993.

Contingency Plan
The contingency plan is written to protect the local
affected community in the event of an accident or
    Figure 4-8
            Suggested Format for the QAPP
  Title and Approval Sheet
  Table of Contents
  Distribution List
  Project/Task Organization
  Problem Definition/Background
  Project/Task Description
  Quality Objectives and Criteria for Measurement of Data
  Special Training Requirements or Certifications
  Required Documentation and Records
  Sampling Process Design (Experimental Design)
  Sampling Methods Requirements
  Sample Handling and Custody Requirements
  Analytical Methods Requirements
  Quality Control Requirements
  Instrument/Equipment Testing, Inspection, and Maintenance
   Requirements
  Instrumentation Calibration and Frequency Requirements
  Inspection/Acceptance Requirements for Supplies and
   Consumables
  Data Acquisition Requirements (Non-Direct Measurements)
  Data Management Requirements
  Required Assessments and Response Actions
  Required Reports to Management
  Data Review, Validation, and Verification Requirements
  Validation and Verification Methods
  Reconciliation with User Requirements
                                         51-043-130

emergency.  It may incorporate an air monitoring
plan and a spill control and countermeasures 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; map
    with the locations of medical facilities clearly
    marked; all necessary emergency phone
    numbers; fire, rescue, local hazardous material
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RD/RA Handbook
       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 onsite 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 atmospheric pollutants. Air
       monitoring may  include personnel monitoring,
       on-site or off-site area monitoring, and
       perimeter monitoring. Trigger concentrations
       to implement the contingency plan should be
       specified.
   •   Spill control and countermeasures plan—This
       plan will provide contingency measures for
       potential spills and discharges from materials
       handling 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
       waste due to spills; provides for equipment
       and personnel to perform emergency  measures
       required to contain a spill 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.

   4.7.3  Treatability Studies
   A treatability study is a  laboratory or  field test
   designed to provide critical data needed to evaluate
   and support the design of one or more  treatment
   technologies. Treatability studies usually should be
   conducted during the remedy evaluation phase of
   the RI/FS and include a three-tiered approach: (1)
   laboratory screening; (2) bench-scale testing; and
   (3) pilot-scale testing.

   The only function of a treatability study during the
   RD is to provide the quantitative design and cost
   data required to optimize critical design parameters.
The earlier laboratory screening and bench-scale
testing procedures performed during the RI/FS are
used to determine if a remedy will work and most
likely will be adequate to allow an RD  treatability
study to begin with the pilot-scale test.  Pilot-scale
testing provides an evaluation of the following types
of information:

•   Full-scale performance
•   Treatment train performance
•   Materials handling characteristics
•   Process upsets and recovery
•   Sidestream and residuals generation
•   Energy and reagent usage
•   Site-specific considerations such as heavy
    equipment access, waste-feed staging space,
    and local availability of equipment and
    qualified personnel

Figure  4-9 provides  a suggested pilot-scale
treatability study work plan format
   Figure 4-9
  Suggested Contents for a Pilot-Scale Treatabilty
                Study Work Plan
   • Project description
   • Cost estimates/schedule
   • Test objectives
   • Treatability study work plan
   • Pilot plant installation and setup
   • Pilot plant operation and maintenance procedures
   • Parameters to be measured
   • Sampling plan
    - Analytical methods
    - Data management
    - Data analysis and interpretation
   • Subcontractor's HASP
   • Residuals management plan
   • Subcontractor's contract management
                                         51-043-140
Pilot-scale testing is expensive (averaging $225,000
to $1 million per site) and often can be avoided by
relying  on  alternative  means for  collecting
performance data. Contractors bidding on the RA
contracts and technology vendors marketing waste
treatment systems frequently  include detailed
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                                                                  Chapter 4 • Federal-Lead Remedial Design
performance-based specifications in their bids.
Potential  RA  contractors  include  detailed
information about their processes. Vendors may be
allowed to remove small amounts of site waste to
test the application of their technologies. The data
available from these sources may satisfy the
designer's data needs and avoid the additional time
and expense of conducting a pilot study.

Overseeing Treatability Study Progress
For EPA-managed RDs, the RPM must monitor
contractor oversight of  the  treatability study
subcontractor. The RPM, however, must not contact
the subcontractor directly to discuss EPA concerns.
All contact with the subcontractor  must  be
coordinated through the contractor.

For USACE-managed RDs, USAGE ensures the
treatability study is completed, if necessary, and will
report the study progress to the RPM. USAGE must
notify the RPM if the results of the treatability study
affect the ROD, RD cost, or RD schedule.

The RPM will oversee the ARCS/RAG contractor
or USAGE performance of the following  activities:

•   Procuring the treatability study subcontractor,
    test facility, equipment, and materials
•   Procuring outside laboratory services, if
    necessary for performance  analysis
•   Establishing an on-site field laboratory to
    facilitate analysis of test samples
•   Obtaining samples as specified in the work
    plan
•   Testing equipment to ensure proper operation
•   Analyzing test samples
•   Evaluating test results and preparing  results
    report

Reviewing the Treatability Study Evaluation Report
The RD contractor submits a treatability study
evaluation report at the conclusion of the treatability
study.  The report provides detailed information
regarding the effectiveness of the treatment
technology when compared with the performance
standards established for the site by the ROD. The
report evaluates the effectiveness, implementability,
cost, and actual results and compares them with the
predicted results. The report also evaluates full-scale
application of the technology, including a sensitivity
analysis identifying the key parameters affecting
full-scale operation (i.e., how the unit will be scaled
from pilot-scale to full-scale and how unknown
factors may affect the design). The report describes
the usefulness of the treatability  study results as
optimum design parameters.

The RPM reviews the evaluation  report using the
same methods used to  review  any contractor
deliverable, including using theTRT. The RPM also
should consider the benefits of a project review
meeting with the contractor to allow the contractor
to present the results of the treatability study and to
summarize the current status of the RD.

Maintaining Effective Community Relations During the
Treatability Study
The RPM must maintain effective community
relations during an on-site treatability study. The
RPM should augment the community relations plan
(see section 3.12) to address any unique issues related
to the proposed testing. These issues may include
the potential for off-site air emissions, transportation
of hazardous materials,  noise levels, increased
traffic, and other issues that affect  the community.

The RPM, after consultation with the Community
Relations Coordinator, may consider including
additional public availability sessions, visitor's days,
or other outreach methods to explain the proposed
testing. A fact sheet describing the activity with a
section that specifically  addresses any potential
community concerns or a briefing with the local
public officials also may be useful.

OSWER Directive 9380.3-10, "Guide for
Conducting Treatability Studies Under
CERCLA," December 1989, provides additional
information on performing treatability studies.

4.7.4 Preliminary Design Phase
The preliminary design phase is considered complete
when approximately 30 percent of the design work
has been completed. The preliminary design phase
is an active phase and requires close RPM
supervision. For EPA-managed  RDs, the RPM
should schedule a meeting with the RD contractor
to begin the preliminary design phase. Due to the
logical progression of the engineering design
process, certain preliminary design  phase submittals
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RD/RA Handbook
   are conceptual documents that must be completed
   and approved before successive preliminary design
   phase documents are begun.

   The contracting party (EPA or USAGE) is required
   to review and approve numerous preliminary
   drawings and specifications that build upon the
   design foundation established by the predesign phase
   submittals (see section 4.7.2).  The preliminary
   design phase submittals include:

   •   Design criteria report
   •   Basis of design report
   •   Preliminary drawings and specifications
   •   Results of value engineering (VE) screen
   •   Preliminary RA schedule
   •   Preliminary RA and operation and
       maintenance (O&M) cost estimates

   This section describes the preliminary design phase
   submittals  and procedures for reviewing and
   approving them. Figure 4-10 outlines preliminary
   design phase submittal components.
     Figure 4-10
     Preliminary Design Phase Submittal Components

       • Design criteria report
       - Project description
       - Design requirements and provisions
       - Preliminary PFDs
       - O&M provisions
       • Basis of design report
       - Design assumptions
       - RA contracting strategy
       - Permits plan
       - Preliminary easement/access requirements
       - Preliminary P&IDs
       • Preliminary drawings and specifications
       - Outline of general specifications
       - Drawings and schematics, including final
         P&IDs
       - O&M requirements
       - Chemical and geotechnical data
       • Results of VE screen
       • Preliminary RA schedule
       • Preliminary RA and O&M cost estimates
EPA and USAGE use different procedures and
identify designer submittals by different names. The
submittal names also may vary among Regions. The
RPM, therefore, should know the functions of the
submittals rather than the submittal titles. At times,
the design criteria report and the basis of design
report may be submitted as a single report.

Design Criteria Report
The design criteria report describes the technical
parameters upon which the design will be based. The
design contractor must submit and await contracting
party approval of the design criteria report before
expending additional design effort. This allows the
contracting party to determine if the contractor is
correctly  interpreting  and translating ROD
performance  standards, applicable or relevant and
appropriate requirements (ARARs), and engineering
standards and codes into site-specific engineering
parameters.

The design criteria report may contain the following
elements:

•   Project description
•   Design requirements and provisions
     -  Waste characterizations
     -  Technical design standards that the
        completed project is expected to meet
     -  Complete description of how ARARs,
        pertinent codes, and standards will be
        translated into engineering parameters
     -  Technical factors of importance to the
        design and construction, including
        currently accepted environmental control
        measures, constructability,  and the use of
        currently acceptable construction
        practices and techniques
•   Preliminary process flow diagrams (PFDs) for
    the treatment processes under design that
    identify all process significant components
    within the treatment train(s), the stream
    properties, and additional information as
    needed, including an integral chart showing
    stream properties and heat and material
    balances. The PFDs should include:
     -  Pretreatment requirements
     -  Volume and types of media requiring
        treatment
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                                                                  Chapter 4»Federal-Lead Remedial Design
      -  Treatment schemes (includes all media
        and by-products)
      -  Input/output rates of flow streams
      -  Influent/effluent qualities of flow streams
        (temperatures, pH, concentrations, etc.)
•   O&M provisions that will have a significant
    influence on design approach (e.g., unattended
    operation, remote output of instrumentation
    signals, process data logging requirements,
    etc.)

Basis of Design Report/Design Analysis Report (USAGE)
The basis of design report is a detailed description
of the analyses conducted to select the design
approach. The basis of design report, referred to as
the design analysis report by USAGE, may include
the following elements:

•   Summary and detailed justification of design
    assumptions
•   RA contracting strategy
•   Permits plan
•   Identification of easement and access
    requirements
•   Preliminary piping and instrumentation
    diagrams (P&IDs)

Summary and Detailed Justification of Design
Assumptions
The basis  for  making the necessary design
assumptions must be clarified for future reference.
The necessary clarification requires that the designer
provide:

•   Calculations supporting the assumptions (e.g.
    unit sizing, feed rates, etc.) and references to
    any software programs used to model data
•   Material and energy (or heat) balance
•   Evaluation of how ARARs will be met
•   Plan for minimizing negative effects on the
    environment and community during the
    construction and  O&M phases

RA Contracting Strategy
The designer submits an RA contracting strategy
detailing the qualifications that will be expected of
the RA  contractor. The strategy plan provides the
information necessary to procure an RA contractor
with any unusual experience, skills, or equipment
that may be incorporated into the design.

Permits Plan
The permits plan details how requirements for all
permits needed to implement the RA will be obtained
and satisfied. The plan identifies required off-site
disposal and discharge permits, the time required to
process the permit applications, and a schedule for
submitting permit applications. Where permits are
not required for on-site activities due to federal
exemptions,  the substantive requirements of the
permit(s) that would otherwise be required must be
detailed (see section 3.7.1).

Identification of Easement and Access Requirements
The property surrounding  a site that is needed for
site access, RA staging areas, or other remediation
purposes must be identified early in  the design
process. Failure to  secure the necessary property
through acquisition or access agreements may
prevent the lead agency from procuring the RA
constructor and will delay the commencement of RA
activities (see section 3.7.1).

Preliminary P&IDs
The preliminary P&IDs expand upon the PFDs that
were submitted with the design criteria report and
later revised. The P&IDs become the foundation for
the remainder of the design.

Preliminary Drawings and Specifications
The contracting party also  must  review  all
preliminary drawings and specifications.  These
include:

•   An outline of general specifications
•   Drawings and schematics, including final
    P&IDs
•   A description of the planned O&M
    requirements
•   All chemical and geotechnical data

Outline of General Specifications
The outline details  the specifications that will be
prepared  and submitted as part of future RD
submittals. The specifications must conform to the
CSI format when designs are conducted under EPA
contracts.  USAGE has developed its own format,
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RD/RA Handbook
   outlined in ETL 1006, Technical Requirement for
   Pre-design and Design Submittals, as well as the
   standardized design specifications listed in Figure
   4-3, which are available from USACE's Huntsville
   Construction Division.

   Drawings and Schematics
   The type and number of drawings depend on the
   remedy selected. At this stage in the design,  only
   the PFDs and P&IDs will be submitted in final form.
   These submittals shall include but are not limited
   to:
   •  A complete list (drawing register) of all
      drawings and specifications that will be
      produced through the end of the design
   •  Facility representations, including final PFDs
      and P&IDs and preliminary site and utilities
      layouts
   •  The site layout, existing site plan, utilities
      layouts, and demolition plans

   Planned O&M Requirements
   The anticipated O&M requirements following the
   completion of the RA must be described so that the
   RPM and state have access to the information and
   understand their expected future role in  site
   remediation.

   Chemical and Geotechnlcal Data
   All data used to develop the design or be included
   in the RA contract documents shall be presented in
   a tabulated format. The sources of the data also must
   be identified.

   Results of Value Engineering Screen
   The VE screening includes an evaluation of the
   relationship between cost and function in the RD,
   with an emphasis on high cost areas. VE screening
   results are presented as a recommendation
   supporting or rejecting the need for a full-scale VE
   study. The VE screen should be performed as soon
   as possible during the preliminary design to avoid
   the time and expense of significant redesign resulting
   from the VE study. The VE study is discussed further
   in section 4.8.

   Preliminary  RA Schedule
   The preliminary RA schedule must be appropriate
   to the size and scope of the anticipated activities and
must include an evaluation of a phased approach to
expedite the RA. The preliminary RA schedule
should be one of the final preliminary design phase
submittals, with the exception of the preliminary RA
cost estimate, to allow the appropriate design
personnel sufficient time to evaluate the design and
prepare a reasonably accurate RA schedule.

Preliminary RA and O&M Cost Estimates
The preliminary RA cost estimate must include all
costs necessary to  arrive at a current working
estimate (CWE). The CWE is a detailed bottom-up
cost estimate developed from design documents and
serves as the  basis for all future (intermediate  or
prefinal/final) stage estimates and the RA IGCE.
The CWE must include the estimated contract cost
(including contractor direct labor, equipment, and
material costs, overhead,  profit, and  bond),
allowance for applicable contingencies (during both
design and construction), escalation to midpoint  of
construction,  appropriate escalation of operating
costs, allowances for  construction management,
engineering during construction, as-builts, and other
pertinent allowances.

The estimate should be prepared with as much detail
as design documents  allow. At the preliminary
project stage, however, the design is only about 30
percent complete. Thus, design contingencies (i.e.,
construction contingencies during design) normally
will be higher at this stage than for intermediate  or
prefinal/final design project stages. Cost allowances
also must be made for construction features yet  to
be included in the design. New WAs issued under
RACs will require the contractor to develop RA cost
estimates using the USACE's work breakdown
structure and MCASES-Gold software.  This
requirement is written into the  RA Model SOW
provided in Appendix E.

The preliminary RA cost estimate should be  as
accurate as the available information allows. The
final cost for simple projects may be as much as 40
percent higher or  20 percent lower than the
preliminary cost estimate and as much as 50 percent
higher or 30 percent lower for complex projects. This
estimate should be  more refined than the ROD
estimate. USAGE has developed specific hazardous,
toxic, and radioactive waste (HTRW) cost
engineering guidance, which outlines in detail
procedures for preparing HTRW cost estimates. This
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                                                                 Chapter 4 • Federal-Lead Remedial Design
information is provided in the reference materials
listed below.

The O&M cost estimate will generally  include
operating labor (wages, salaries, training, overhead,
and fringe benefits associated with post-construction
operations); maintenance material and labor (labor,
parts, and materials required to perform routine
maintenance of facilities and equipment); auxiliary
materials and energy (chemicals, fuel, electricity,
water, sewer,  etc. needed for plant operations);
purchased services (sampling costs, laboratory fees,
and other professional services); administrative
costs; insurance; taxes; and licenses (property taxes,
permit renewals, reporting).

The preliminary RA and O&M cost  estimates
generally will be the final preliminary design phase
submittals, which allows the designer's cost
estimator time to evaluate the RD, schedule, and
O&M requirements and prepare reasonably accurate
cost estimates.

Reviewing the Preliminary Design Phase Submittals
The lead agency  is responsible for reviewing
preliminary design phase submittals. In-depth
reviews should be conducted by professionals
experienced in the disciplines covered by the design.
The submittals are the basis for all remaining design
activities  and,  therefore, must be reviewed
thoroughly by the contracting party to avoid costly
and time-consuming redesigns later in the RD. The
technical review must focus on the design criteria
analysis and basis of design reports  first. These
reports provide  an overview of the design and
establish the tone for the remaining design effort.

At a minimum,  the review should focus on the
following:

•   Assuring that the engineering design
    parameters correctly incorporate the ARARs
    and other ROD requirements
•   Verifying that unit processes are being
    employed by the treatment train
•   Confirming that the standards for efficient
   removal or treatment are reasonable for both
   the process and for waste volumes and
    concentrations
•   Checking that process waste streams are
    adequately identified and addressed and that
    flow rates are appropriate
•   Verifying that proposed siting of the process is
    appropriate and that any site abnormalities
    have been addressed
•   Checking design calculations thoroughly
    enough to assess professional quality of
    design activity
•   Completing a preliminary design biddability,
    constructability, and operability and an
    environmental and claims prevention
    screening (see Appendix C).

For EPA-managed RDs, the RPM must collect all
TRT comments and forward them to the contractor.
As specified in the SOW, the contractor shall review
and formally respond to each comment. USACE-
managed site-specific  contracts also require the
contractor to respond to all review  comments.

The RPM must update CERCLIS  as  the RA cost
estimate and schedule is  refined. Updating and
maintaining the information hi CERCLIS facilitates
effective communication between the RPM, PO, and
CO and helps ensure that RA funds will be available
as needed.

USAGE Engineering Regulation 1110-3-1301,
"Cost Engineering Policy and General
Requirements for Hazardous, Toxic, and
Radioactive Waste (HTRW) Remedial Action
Cost Estimates," and Technical Manual 5-800-2,
"Construction Cost Estimates," provide
information on preparing RA cost estimates.

4.7.5  Intermediate Design Phase
The  RD enters the intermediate design phase
following the completion of the preliminary design.
Approximately  60 percent of the  design effort is
completed before the intermediate design phase
ends.  All data collection and analysis should be
completed and approved by the contracting party
before the intermediate phase of the RD process
begins. During the intermediate design period, the
drawings and specifications submitted  at the
preliminary stage are completed  and new, more
detailed or later-phase documents are begun. Many
of the deliverables, therefore, are refined preliminary
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RD/RA Handbook
     Figure 4-11
     Intermediate Design Phase Submittal Components

      • Revised design criteria report, if necessary
      • Revised basis of design report, if necessary
      • Intermediate drawings and specifications
       - Preliminary specifications
       - Drawings and schematics
       - O&M requirements
       - Unit price lists for the RA
       - Chemical and geotechnical data
      • VE study results
      • RA schedule
      • Intermediate RAand O&M cost estimates
                                            51-043-16
   design deliverables, while some are submitted for
   the first time. Figure 4-11 outlines the major
   components of the intermediate design phase.

   Less complex projects may not require a formal
   intermediate design phase  or  the associated
   submittals. In these cases, the  RPM may consider
   substituting  an in-progress review  for the
   intermediate design phase submittals. This should
   be done only when it is apparent intermediate design
   phase submittals are unnecessary.

   Revised Design Criteria Report
   The design criteria report is updated  and modified
   only if necessary and should not  be modified
   extensively  during the intermediate design phase.
   Major modifications should be addressed during the
   preliminary design  phase and, for all practical
   purposes, should be complete at the preliminary
   submittal stage. VE study results, however, may
   affect the design if proposed VE  changes  are
   incorporated. Design changes will affect the contents
   of the design criteria report.

   Revised Basis of Design Report
   The basis  of design report also is updated and
   modified where appropriate. Like the design criteria
   report, the basis of design report should not be
   modified extensively during the intermediate design
   phase with thepossible exception of the permits plan
   and the easement/access requirement components
   of the  report. These components  must be updated
   throughout the design process because they  are
subject to change as the design progresses. As with
the design criteria report, proposed  VE changes
would affect the basis of design report.

Intermediate Drawings and Specifications
During the intermediate design phase the preliminary
drawings and specifications are further refined and
additional information and reports are completed.
The intermediate drawings and specifications
include:

•   Draft specifications
•   Drawings and schematics
•   Revised O&M description and cost estimate

•   Unit price lists for the RA
•   Chemical and geotechnical data

Draft Specifications
The contractor is required  to submit draft
specifications for construction, installation, site
preparation, and field work standards, including an
equipment startup  and operator training plan. All
specifications shall conform to CSI format (US ACE-
managed RDs will follow  the USAGE ETL 1006,
Technical Requirement for Pre-design and Design
Submittals specifications). The contractor should
prepare new specifications only where guidance does
not exist in EPA/USACE  guide specifications or
from previous RDs.

The technical specifications  governing major
process-significant or complex components of the
proposed  treatment systems should include
requirements for the technology vendor to provide
visits by experienced factory representatives to
supervise the installation,  adjustment, startup, and
operation of the treatment  systems.

Drawings and Schematics
The intermediate design package will build on the
work presented during the  preliminary design. The
type and number of drawings  and specifications
depend  on the remedy. The drawings may include
but are not limited to:

•   A current drawing register that lists every
    drawing and specification that will be
    produced during the project and the current
    status (revision number and date) of each
    document
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                                                                  Chapter 4 • Federal-Lead Remedial Design
•   A revised PFD, if necessary (the PFD should
    be finalized during the preliminary design
    phase)
•   Revised P&ID(s), if necessary (the P&IDs
    should be finalized during the preliminary
 . -  design phase)
•   Facility drawings (grading and paving,
    foundation plan and sections, piping plan and
    sections, structural plan and elevations,
    electrical schematics and plans, conduit
    routings, instrumentation and cable plan
    details, piping isometrics, etc.)
•   A process-control logic table describing how
    all of the individual components of the process
    system are interrelated
•   All utilities drawings depicting electrical,
    sewage,  waste, gas, telephone, water lines, etc.
•   Site layouts, existing site plan, contour maps,
    and physical features of the site
•   Site work zones (for establishing worker
    protection zones) and date for verifying the
    location of clean  zones
•   Plans for flood protection, excavation,
    demolition, site clearing and grubbing, and
    work limits

Revised O&M Description
As  the  design  is  refined, the  actual O&M
requirements become more established. The RPM
should present O&M requirements to the state as
the  information is made available.

Unit Price Lists for the RA
The contractor must provide the unit price or lump
sum pricing lists for each bid item.

Chemical and Geotechnical Data
All data used to develop  the  design should be
included in the RA contract documents, presented
in a tabular form.  The sources for all data and any
uncertainties also  must be identified.

Results of VE Study
The RPM should be aware of VE study results. After
the  VE study report is  produced, any proposed
changes that are incorporated will affect intermediate
design phase submittals. The EPA CO must approve
any proposed VE design changes for ARCS/RAC
contractor RDs. USAGE should inform the RPM of
any incorporated VE design changes that affect the
cost, schedule, or ROD requirements. Section 4.8.1
contains additional information on the VE study
process.

Updated RA Schedule
The revised RA schedule should identify the
timetable for initiating and completing all critical
path tasks and major milestones. The schedule also
should provide an accurate estimate of the RA
completion date.

Intermediate RA and O&M Cost Estimates
As with the preliminary RA cost  estimate, the
intermediate RA cost estimate must include all costs
necessary to arrive at a CWE. The estimate should
be prepared with as much detail as the design
documents allow. At the intermediate project stage,
designs should be about 60 percent complete and
design contingencies should be higher at this stage
than for prefinal/final design project stages, but lower
than for the preliminary design stage.

The intermediate RA cost estimate should be refined
using flow sheets, layouts, and equipment details,
and is expected to be accurate within plus 30 percent
and minus 15 percent for simple projects  and plus
40 percent  and minus  20 percent for complex
projects. The basis for unit prices should be provided
with the estimate and should reflect current costs
for labor, equipment, and  materials.  Vendor
quotations should be included in the estimate when
used.

As the design is refined, the actual  O&M cost
estimate also becomes more established. Anticipated
O&M costs  must be presented to the  state  as the
information is made available.

Technical Review of the Intermediate Design
The intermediate design phase submittals must be
reviewed for technical content and consistency with
the ROD. The contracting party (EPA or USAGE) is
responsible for assuring that the intermediate design
is reviewed for:

•   Biddability, constructability, operability,
    claims prevention, and environmental
    screening (see Appendix C)
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RD/RA Handbook
   •   Use of the most currently accepted pollution
       control measures and technology
   •   Use of currently accepted construction
       practices
   •   Spot-checking revised or newly submitted
       calculations to assess design quality

   For EPA-managed RDs, the RPM collects all TRT
   comments and forwards them to the contractor. As
   specified in the SOW, the contractor reviews and
   formally responds to each comment. USAGE site-
   specific contracts also require the contractor to
   respond to all review comments.

   The RPM also must update CERCLIS as the RA
   cost estimate and schedule are refined. Updating and
   maintaining the information in CERCLIS facilitates
   effective communication between the RPM, PO, and
   CO and helps ensure that RA funds will be available
   as needed.

   4.7.6  Prefinal/Final Design
   The prefinal design is a draft version of the complete
   RD, including all drawings, specifications, reports,
   and attachments.  All  contracting party comments
   generated during the intermediate design review
   should be incorporated, all design work completed,
   and the RA contract documents finalized.

   The contracting party must review and approve all
   prefinal design documents before requesting the final
   design from the contractor. After the contracting
   party has reviewed the prefinal design and  the
   contractor has  incorporated any additional
   comments, the contractor will submit the final Final
   design. The final design  should be stamped and
   signed by licensed professional engineers involved
   in preparing and certifying the final engineering
   package. The certifications may include civil,
   mechanical, structural, electrical, and chemical
   engineering and registered geologist certifications.

   Figure 4-12 outlines the major components of the
   prefinal/final design deliverable.

   Final Design Criteria Analysis Report
   The final design  criteria analysis report generally
   should duplicate  the  contents  of the intermediate
   design criteria analysis report incorporating revisions
   based on review comments. The USAGE version of
   this report will be written in the past tense to indicate
  Figure 4-12
 Prefinal/Final Design Phase Submittal Components

   • Design criteria report
   • Basis of design report
   • Prefinal/final drawings and specifications
    - Complete specifications
    - Complete drawings and schematics
    - Construction QAPP
    - Draft O&M manual
    - Appendices
   • RA solicitation package
   • RA schedule
   • Prefinal/final RA cost estimate
                                       51-043-17B
that the criteria were considered before design
completion.

Final Basis of Design Report
The final basis of design report generally should
duplicate the contents of the intermediate basis of
design report incorporating revisions based on
review comments. Copies of all permit applications
also must be included as part of the permits plan
section of the report and access requirements
finalized  to incorporate  changes since  the
intermediate report. The USAGE version of the basis
of design report, like the design criteria analysis
report, will be written in the past tense.

Prefinal/Final Drawings and Specifications
The major generic components of the prefinal/fmal
drawings and specifications listed in Figure 4-12 are
described below.

Complete Specifications
The prefinal/final specifications should finalize the
intermediate specifications and include final
construction, installation, site preparation,  and
fieldwork standards, including an equipment startup
and operator  training plan.  The  complete
specifications also must include a submittal register
to identify all plans, documents, and construction
submittal  items that will be submitted by the
constructor during the RA. All specifications shall
conform to CSI format (USACE-managed RDs will
follow the USAGE  ETL 1006,  Technical
Requirement for Pre-design and Design Submittals
specifications).
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                                                                   Chapter 4 • Federal-Lead Remedial Design
Complete Drawings and Schematics
All drawings and schematics must be presented in
final form. The types and number of drawings vary
depending on the nature of the remedy. The drawings
may include, but are not limited to:

•   A drawing register listing each drawing and
    specification produced during the course of
    the project with current status indicated
•   Facility representations, PFDs, and floor plans
•   P&IDs
•   A process control table
•   Utilities drawings

•   Grading and drainage controls
•   A landscape plan
•   A seeding and sodding plan and wetlands and
    revegetation plan
•   A vicinity map
•   Site characterizations, contour maps, and
    physical features
•   Site work zones, designated safety zones, and
    site clearing activities
•   Excavation plans
•   Site layouts and demolition plans
•   A flood control plan

Construction Quality Assurance Plan
A construction quality assurance plan (CQAP) must
be prepared by the designer in accordance with the
Construction Quality Assurance Plan for Hazardous
Waste Land Disposal Facilities and submitted as part
of the prefinal/fmal report. The CQAP is the plan
that describes the QA tests necessary to ensure that
the final product meets the design specifications. The
tests are  used to provide quantitative criteria with
which to accept the final product. Construction QA
is the responsibility of the contracting party and takes
place throughout the construction process.

The  CQAP, at a minimum, should contain the
following elements:

•  Lines of authority and responsibilities of all
   key personnel involved in the RA
•   Construction QA personnel qualification
    requirements
•   List of inspection activities, including the
    summary, scope, and frequency of the tests
    and observations used to monitor the RA and
    verify compliance with environmental
    requirements and customary construction
    practices, OSHA, building and safety codes,
    etc.
•   List of sampling requirements
•   All documentation requirements for reporting
    construction QA activities, including daily
    summary reports and inspection data sheets

Draft O&M1 Manual
The responsibilities for completing the O&M manual
are shared between the designer and the constructor.
The designer must prepare and submit a draft of the
O&M manual during design. The designer completes
its portion of the manual and provides a copy with
the specifications. The RA constructor completes the
manual during the RA phase of the project. The draft
manual may  contain the following (with the party
responsible for completing each section indicated
in parenthesis):

•   Description of how the designer intends the
    facility to operate (designer)
•   Description of normal O&M, including startup
    procedures, prescribed treatment or operation
    conditions, and schedule (constructor)
*   Description of potential operating problems,
    including common or anticipated  remedies
    and a useful life analysis of significant
    components that includes replacement costs
    (designer and constructor)
•   QA plan for O&M, including a description of
    routine monitoring tasks, a description of
    required laboratory tests, required data
    collection reporting requirements  (to EPA,
    USAGE,  the state, etc.), and the location and
    rationale  of monitoring points (designer)
•   Description of alternative procedures to
    prevent releases or threatened releases which
    may endanger health or prevent cleanup
    standards from being attained (designer)
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RD/RA Handbook
   •   Description of the corrective action to be
       taken in the event of a release (designer)

   •   Safety plan, including a description of
       precautions, personal protective equipment
       (PPE) requirements, and the tasks required in
       the event of a safety systems failure (designer
       and constructor)

   *   Description of all installed equipment,
       including identification numbers, vendor data
       and submittals, monitoring components, site
       equipment, spare parts, and component
       maintenance and replacement schedules
       (constructor)
   •   Description of all record and reporting
       mechanisms required, including daily
       operating logs, laboratory records, for
       operating costs, mechanisms for reporting
       emergencies, maintenance records, and
       reporting requirements to the appropriate
       parties (designer)
   •   Final O&M cost estimate projected annually
       along with supporting documentation
       (designer and constructor)

   Appendices
   All pertinent data used in developing the design will
   be included  as appendices. The list includes, but is
   not limited to:

   •   Calculations
   •   Chemical data
   •   Geotechnical data
   •   Applicable references

   Complete RA  Solicitation Package
   The prefinal/final report must include the following
   RA contract documents:
   •   Solicitation/contract form
   •   Supplies or services and prices
   •   RA SOW
   •   Terms and conditions of the contract,
       including payments, delivery schedule, point
       of delivery, and acceptance criteria

   •   Method of procurement, including evaluation,
       basis, and method of awarding the RA
       contract
•   Prevailing wage rates determination, in
    accordance with the Davis-Bacon Act or the
    Service Contract Act, and the wage rate
    expiration date
•   Deadline and location for submitting bids/
    offers
•   All appropriate contract clauses

RA Schedule
The final RA schedule should detail the specific RA
milestones and outline the estimated completion
dates. The schedule also must include the estimated
labor, equipment, and oversight resources required
to complete each milestone as well as additional site-
specific or contracting party schedule requirements.

Prefinal/Final RA and O&M Cost Estimates
As with earlier stage RA cost estimates, the prefinal/
final  RA cost estimate must include all costs
necessary to arrive at a current working estimate.
The estimate should be prepared with as much detail
as the design documents allow. Since the design is
more  complete at this stage, design contingencies
normally will be lower at this stage than for
preliminary and intermediate design project stages.
Cost allowances also should be significantly reduced
at this stage. The prefinal/final RA cost estimate is
expected to be accurate within plus 15 percent and
minus 5 percent. The basis for all unit prices should
be provided with the estimate, and should reflect
current costs for labor, materials, and equipment.
Vendor quotations should be included in the estimate
when used. Cost risk analysis  should be used for
assignment of contingencies to accommodate any
potential cost growth.

The RA cost estimate cannot be substituted for the
IGCE when preparing the RA solicitation package
because  the IGCE is  used for  comparing and
negotiating costs  with the  RA contractor. A
contractor-prepared cost estimate cannot be used for
this purpose (see section 5.2.5).

The final O&M cost estimate information is included
as part of the materials submitted with the prefinal/
final draft O&M manual.

Reviewing the Prefinal Design
The contracting party's TRT reviews the prefinal
design phase submittal to ensure:
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                                                                 Chapter 4 • Federal-Lead Remedial Design
•   Contractor completion of the plan-in-hand
    reviews and correlating drawings and
    specifications as detailed in the SOW (see
    section 4.3.1)
•   Final biddability, constructability, operability,
    claims prevention, and environmental reviews
    (see Appendix C)
•   Accuracy of the RA cost estimate, quantities
    of materials, etc.
•   Use of currently accepted construction
    practices
•   Use of the most currently accepted pollution
    control measures and technology
•   Adequacy of the O&M plan and the CQAP
•   Adequacy of site security and the RA health
    and safety specifications
•   Compliance with local/national building and
    safety codes

4.8   Value Engineering During Remedial
      Design
VE is required for RDs because MR Part 48 requires
that federal contracts, with few exceptions, must
include a clause providing for  VE services. In
addition to the FAR requirement, the  Office of
Management and Budget  Circular No. A-131
requires the use of VE, when appropriate, in all
federal departments and agencies to reduce
nonessential procurement and program costs.

VE is an organized effort directed at analyzing the
functions of systems, equipment, facilities, services,
and supplies for the purpose of achieving the
essential functions  at the lowest life-cycle cost
consistent with required performance, reliability,
quality, and safety. VE during an RD is similar to
classical design reviews but focuses on functionality
and reducing  the investment necessary to achieve
the design function. VE can be applied during any
phase of the project, but application during early
phases of the RD produces the maximum benefit.

The VE process involves a VE screen, the use of a
VE study team,  and, possibly, a  VE study. These
procedures are discussed below.
4.8.1  VE Screen
The first step in VE for an RD is the VE screen. The
contracting party must ensure that the schedule and
budget for the RD allow for VE and should include
VE redesign in the cost and budget contingencies.
For USACE-managed RDs, USAGE is responsible
for VE activities, including the VE screen. For
designs developed by an ARCS/RAC contractor, the
RPM includes the VE screen in the  WA SOW to
ensure that it is conducted.

In the VE screen, the designer reviews the proposed
process and identifies the potential high cost design
elements or subsystems that may become candidates
for a formal VE study. Figure 4-13 highlights typical
questions the designer should ask when conducting
a VE screen. This task should be completed as early
as possible, with the results of the VE  screen
presented in a formal report to the contracting party
with or before submittal of preliminary design phase
drawings and specifications.

The contracting party reviews the VE screen rec-
ommendations and determines if a VE study is nec-
essary. When USAGE is the  contracting party, it
should notify the RPM if a VE study will be per-
formed and the effects that a study will have on the
ROD, budget, and schedule. When EPA is the con-
tracting party, the RPM should consult with theTRT
to ensure that potential high costs or problem areas
have been explored in the VE screen before autho-
rizing a VE study.

4.8.2  VE Study Team
The VE team selected to conduct the VE study must
be independent from the actual design team so that
no VE study team member has a financial interest
in the outcome. Studies may be conducted by a VE
team from another federal agency, a VE consultant,
EPA in-house personnel or, in certain situations, by
the EPA contractor (ARCS/RAC).  If the EPA
contractor that is developing the design conducts the
VE study, the CO must ensure that the  contractor
has an independent VE group within its organization
and demonstrate that the contractor has made the
decision to develop a quality product regardless of
the effects on profit.

If the Regional EPA office has  a VE program in
place, this team may perform the study. Lacking an
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RD/RA Handbook
     Figure 4-13
                                            Value Engineering Screening
        The Society of American Value Engineers (SAVE) developed the following questions to Identify design elements
        as candidates for a VE study.
        •  Is the item expensive?
        •  Is the Kern complex?
        •  Is it a high-volume item? Can a simple change in one item produce large savings in the total project?
        •  Does the item use critical materials?
        •  Is it difficult to construct?
        •  Does it have high O&M costs?
        •  Does it require specialized skills to construct or operate?
        •  Does it use obsolete materials and methods?
        •  Was the design rushed?
        •  Does it use traditional design?
        •  Is the competition producing the item at a lower cost?

        In addition, several other questions should be asked:
                                                                                  i
        •  Does the design advocate using proprietary technology? (Royalties, which must be paid for proprietary technology,
           could be avoided by considering other options.)
        •  Will it require highly trained personnel to operate?
        •  Is the design treating everything using a single piece of equipment, when several pieces of equipment would be more
           cost-effective and efficient?
        •  Is the design using technology already proven in industry in similar (not necessarily in the hazardous waste field)
           commercial applications? (Look to chemical processing, oil refining, field production, etc.)
        •  Has the design used predesigned skids or equipment packages effectively?
   in-house team, the RPM should consult with the
   USAGE VE study team chief engineer located in
   the Savannah, Georgia division office. If the RPM
   requests the USAGE  specialized  VE team in
   advance, it may be able to conduct a timely review
   without adversely affecting the schedule.

   All technical disciplines involved hi the design must
   be represented on the team. Team members should
   have received the 40-hour VE training sponsored
   by the Society of American Value Engineers (SAVE)
   and the team leader should be certified by that
   organization. Adjunct members also may participate.
   EPA should not,  however, pay for  contractor
   personnel  VE training.  A representative from the
   designer should also be available.

   4.8.3 VE Study
   A VE  study during an RD uses  a prescribed
   methodology  to  address technical problems
                                           51-043-18D
creatively and attempt to lower project capital or
O&M costs. The typical VE study consists of six
phases:

•   Information—The VE team identifies and
    analyzes the function of each design element
    to be studied.
•   Speculation—The creative phase of the
    process in which efforts are made to find a
    better way of performing a specified function.
•   Analysis—Each idea is analyzed for function
    and potential cost benefit.
•   Development—The ideas are developed in
    detail and the VE proposal is written.
    Development is limited to concept and
    potential cost savings. Potential cost savings
    account for the cost of redesign. No detailed
    design work is performed by the VE team
    during this phase.
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                                                                 Chapter 4 • Federal-Lead Remedial Design
•   Presentation—An oral presentation based
    upon the written proposal is made. Team
    recommendations are presented to the
    decision-making body.
•   Implementation—Incorporation of VE
    proposals in the design.

The first three phases of the VE study often occur
during a week-long team meeting. The development
phase may take an additional two to three weeks.
The VE study team  leader will  provide the
contracting party with redesign options and study
recommendations.

The decision  to incorporate the results of the VE
study is made  by the  contracting party. Where
USAGE is the contracting party for the RD, USAGE
should consult with the RPM before making a
decision to incorporate VE study results, especially
when proposed design changes may affect the
schedule or  design costs.  Where EPA  is the
contracting party, the EPA CO consults with the RPM
and TRT and makes the decision to incorporate VE
study results.

Office of Management and Budget (OMB)
Circular A-131, May 21,1993, requires federal
departments and agencies to use VE where
appropriate.
4.9   Post-Design Activities

Post-design activities include the preparation of the
RA solicitation package  (final drawings and
specifications), advertising the solicitation in the
CBD, holding a preproposal conference for all
potential constructors, and issuing amendments to
the solicitation package as  necessary.  The
procurement process is addressed in more detail in
section 5.4.

Prior to the initiation of the solicitation process by
the contracting party,  the RPM is responsible for
completing the following activities:

•  Obtaining the Superfund state contract (this
   must be signed by the state before EPA
   Headquarters releases RA funds for the site)
•  Obtaining all site access/property for the RA
•  Ensuring that the designer will be available
   during the RA to provide technical support
•  Preparing the RA SOW and the IGCE
•  Preparing the IAG or WA
•  Revising the RA communications matrix
•  Ensuring TRT availability
•  Issuing an RD fact sheet (40 CFR 300.435)
•  Making information available to the public, as
   appropriate, in a public availability session
   before RA initiation (40 CFR 300.435)
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                                                                    Chapter 5 • Federal-Lead Remedial Action
 Chapter 5   Federal-Lead Remedial Action
5.1   Introduction

The primary purpose of this chapter is to provide a
Remedial Project Manager (RPM) with an overview
of the remedial action (RA) process and his or her
responsibilities regarding the RA. The RA is the
process by which the remedy, as selected in the
Record of Decision (ROD) and defined by the
remedial design (RD), is implemented. The chapter
highlights the RPM's planning activities for the RA
(generally initiated before design completion) and
provides the RPM with an overview of the traditional
construction process, focusing primarily on the role
of the contracting party. The RPM's role in the site
closeout process is also defined and explained.

5.1.1  Preparation for the Remedial Action
There are a number of steps to be taken before the
actual RA commences (most of these should have
occurred during the RD). Figure 5-1 is a checklist
of pre-RA issues that need resolving.
  Figure 5-1
            Preremedial Action Checklist
  • Is the Superfund state contract (SSC) complete?
  • Has the RD fact sheet been completed and community
    issues resolved?
  • Has the Emergency Responder Preliminary Agreement
    for local emergency response been obtained?
  • Has property access been obtained for the RA?
  • Are all permit applications submitted?
  • Is the designer available during the RA?
  • Is the Technical Review Team (TRT) available?
  • Are the RA funds available?
  • Is the independent government cost estimate (IGCE)
    complete?
  • Is the interagency agreement (IAG)/work assignment
    (WA) completed, including the IGCE (for the WA)?
  • Has the project management plan been revised?
                                         51-043-21B
 5.1.2 Responsibilities of Key Participants Involved
      In the Remedial Action
 The RA process, as illustrated in Figure 5-2, includes
 the following phases:

 •    RA planning activities

 •    Procurement of the RA constructor

 •    Preconstruction activities/RA submittals

 •    Construction of the designed remedy

 •    Site-completion activities

 Descriptions of the roles and responsibilities of the
 various parties represented in an RA follow. Figure
 5-3 illustrates the parties involved in the RA process.

 Contracting Party
 The use of the term contracting party in this chapter
 differs  slightly from  its  use in Chapter 4. The
 contracting party advertises, awards, and manages
 the RA contract. In the case of a Federal-lead RA,
 this role is usually filled by an EPA contractor or the
 United States Army Corps of Engineers (USAGE).
 The EPA contractor is an Alternative Remedial
 Contracting Strategy (ARCS)  or Response Action
 Contract (RAC) contractor. In rare situations, EPA
 may serve as the  contracting party (i.e., when
 utilizing EPA prequalified contracts).

 Technical Review Team
 The TRT is a team of people whose primary
 responsibility is to assist the RPM in reviewing
 deliverables.  The complex nature of a typical RD/
RA  requires in-depth  knowledge of a variety of
 engineering and other scientific disciplines, so it is
 important that the RPM assemble a team of
 individuals with the appropriate backgrounds. The
TRT is assembled as early as possible in the RD/RA
process by the RPM to assist in reviewing submittals,
attending project meetings, and conducting site visits
 (see section 3.4).
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RD/RA Handbook
        Figure 5-2
                                            Remedial Action Process
                                                   ROD/RD
                     IAG/WA development
RA Planning Phase
          • Project management plan revisions
                                                RA Procurement
                    •  Solicitation of offers
                    •  Evaluation of offers
          • Selection
          • Award
                                                 Construction
                     Notice to proceed
                     Submittals
                     - Schedule (RA)
                     - Health and safety plan (HASP)
                     - Quality assurance project plan
                     - Other technical submittals
                     Preconstruction conference
            Mobilization
            Performance of construction
            Inspection and testing
            Progress payments
            Record drawings
            Final inspection and acceptance
                                                      1
                                                  RA Report
                     Operations and Maintenance (O&M)
                 Site Closeout Activities
          • Preliminary closeout report
          • Final closeout report
          • Notice of intent to delete
   Construction Manager (CM)
   The construction manager (CM) represents the RA
   contracting party  and is assigned to the site to
   administer and oversee the construction contract. For
   a US ACE-managed RA, this terminology is not used.
   In such cases, the  Resident Engineer (RE) fulfills
   those obligations.

   Resident Engineer
   During traditional construction projects, an RE
   serves  as the designer's  representative during the
   construction, installation, and start-up phases of the
   RA. The RE is responsible for ensuring that the
                                  j                  51-043-1E
        constructor implements the RD in accordance with
        design documents. Common RE services are shown
        in Figure 5-4.

        For projects where USAGE managed the design and
        is managing the construction, USAGE performs the
        resident engineering functions during the RA. To
        assist USAGE in this effort, USAGE retains the
        services of the designer (Title II services under the
        designer's contract with  USAGE). In situations
        where a RAG or ARCS contractor developed the RD
        and USAGE  manages the construction, the RPM
        retains the services of the ARCS/RAG design team
        to respond to questions that may  arise concerning
        the design.

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                                                                       Chapter 5 • Federal-Lead Remedial Action
     Figure 5-3
                              Contractual Relationships in the Remedial Action Process
                                                              through an
                                                              interagency
                                                              agreement
                                                   USAGE
                                                Resident Engineer
                                                (USAGE on-site
                                                representative)
               through a
               prequalified contract
through a
work assignment
    Construction
     Contractor
     (constructor)
• Construction
  Superintendent
  (constructor's on-site
  representative)
                                          ARCS/RAC
                                          Contractor
                                        Construction
                                        Manager
                                        (ARCS/RAC
                                        representative)
                                        Resident Engineer
                                        (on-site
                                        representative)
                                            RA Contractor or
                                             Subcontractor
                                               (constructor)
                                          Construction Superintendent
                                          (constructor's on-site
                                          representative)
                                   RA Subcontractor
                                     (constructor)
                                 Construction Superintendent
                                 (constructor's on-site
                                 representative)
                                                                                                   51-043-aC
For ARCS/RAC-managed RDs and RAs, a member
of the actual design team  fulfills  the resident
engineering responsibilities. This individual may be
assigned to the site full-time,  depending on the
complexity of the project.

Constructor
The  constructor holds the contract for the RA and
does the remediation work. The constructor reports
directly  to the contracting party. The RPM must
honor the privity of contract between the constructor
and  the contracting party. The RPM cannot direct
or give the appearance of directing the constructor.
By interfering with the constructor, the RPM may
create a situation that could lead to a dispute claim
by the contracting party.
               Construction Superintendent
               The construction superintendent is the constructor's
               official representative. The superintendent manages
               the equipment and materials,  oversees the labor,
               coordinates the subcontracting work, controls health
               and safety at the site, and communicates with the
               contracting party.


               5.2   Remedial  Action  Planning  Activities
               The RA planning activities are similar in scope  to
               those activities undertaken by the  RPM when
               initiating the RD assignment and include:

               •   Revising the project management plan
               •   Assembling the TRT
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RD/RA Handbook
     Figure 5-4
           Roles and Responsibilities of the
                 Resident Engineer
      • Witnesses acceptance/confirms documentation of
        goods, materials, and equipment
      • Monitors the work performed by the constructor
      • Interprets drawings and specifications
      • Attends job meetings with the constructor
      • Maintains project file, reviews submittal schedules,
        and confirms progress reports
      • Conducts inspection  of completed work
      • Reviews value engineering proposals
      • Reviews change order requests
      • Maintains an independent set of drawing markups
        for comparison with those maintained by the
        constructor
      • Reviews constructor quality control files and identifies
        issues of concern
                                           51-043-24
   •   Finalizing the Superfund state contract (SSC)
      (funds cannot be obligated without a signed
      SSC)
   •   Drafting the RA statement of work (SOW) for
      the ARCS/RAC contractor or (suggested for)
      USAGE
   •   Developing the IGCE for ARCS/RAC-
      managed RAs or assisting USAGE in
      developing IGCE for USACE-managed RAs
   •   Conflict of interest screen
   •   Developing the RA schedule for the ARCS/
      RAC contractor or assisting USAGE in
      developing a schedule for USACE-managed
      RAs
   •   Issuing the WA or executing the interagency
      agreement (IAG)

   5.2,1  Revising the Project Management Plan
   As discussed in section 3.2, the RPM is encouraged
   to develop a project management plan to serve as
   the overall strategy for delivering the project on
   schedule and within budget. The plan should be
   updated to reflect decisions made during the RD.

   As part of the initial RA planning activities, the RPM
   should review the project management plan and
   make necessary changes. This exercise ensures that
   a complete record of  major decisions charting the
 course of the RA is adequately documented and that
 the RPM is prepared to undertake RA project
 management responsibilities.

 5.2.2  Assembling the Technical Review Team
 The RPM enlists the services of career professionals
 to provide appropriate technical assistance in
 reviewing submittals, serve as consultants during the
 RA, and participate in site  visits. As the project
 develops, the RPM may change team members or
 find that team members are no longer available. For
 an RA where an ARCS/RAc contractor serves as
 the contracting party, the RPM should obtain the
 services of a USAGE construction advisor to help
 the RPM review ARCS/RAC contractor claims and
 change orders. USAGE brings its  own TRT to the
 project when it is the contracting party. In those cases,
 the RPM should identify any other appropriate EPA
 or state representatives to add to USACE's TRT. (See
 section 3.4 for additional information on the
 formation and composition of the TRT.)

 5.2.3  Finalizing the Superfund State Contract and
      Defining State Involvement During the
      Remedial Action
 Section 104 of the Comprehensive Environmental
 Response,  Compensation, and  Liability Act
 (CERCLA) requires the state to provide 10 percent
 of the RA cost (the state's share of the RA cost is 50
 percent or more if the state operated the facility at
 the time of disposal of hazardous substances) and
 conduct all O&M activities through an SSC. Thus,
 the state plays a strong supporting role during the .
 RA. The RPM must understand the state's role and
 adequately plan for it to prevent schedule delays.

 Before obtaining RA funds for the project, EPA and
 the state must sign the SSC. The SSC is critical to
 the RA schedule, since RA procurement cannot
 proceed without it. The RPM must ensure that the
 SSC is drafted early during the RD and completed
 as soon as the final RA cost estimates (including the
 cost of construction management services) are
 available. The final RA cost estimate should include
 a cost-risk  analysis that should be performed by
USAGE to estimate potential cost escalation during
 the RA project. USAGE should perform this analysis
because USAGE is experienced  in developing
 accurate contingency percentages for construction
projects. This potential cost escalation must be
factored into the state's cost-share estimates to
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                                                                   Chapter 5 • Federal-Lead Remedial Action
 minimize the likelihood of SSC cost overruns during
 the RA (see section 3.11 for additional information
 on SSCs).

. The  SSC is important because cost sharing in the
 RA may bring about increased state involvement in
 routine site management decisions. By defining the
 roles and responsibilities of the state and other parties
 in a Federal-lead RA before the RA commences and
 providing detailed cost estimates with an appropriate
 contingency built into the estimate, an RPM may
 avoid situations that result in project delays.

 The RPM and the state should meet regularly during
 the RA to discuss site progress and any issues that
 may affect the SSC. If the state does not participate
 in the RA, it may raise issues at the end of the project
 that  cannot easily be addressed and may delay RA
 completion. Ideally, the RPM should encourage the
 state to be a member of theTRT and attend regularly
 scheduled site progress meetings between the RPM
 and USAGE personnel or theARCS/RAC contractor,
 participate in site visits, and attend public meetings
 with the RPM. This degree of state involvement is
 also needed to prevent the state  from being
 "surprised" by an EPA request to amend the SSC
 cost-share terms and ease the transition to the O&M
 phase. Finally, the state and EPA, in accordance with
 40 Code of Federal Regulations  (CFR) Part
 300.515(g), must conduct a joint inspection upon
 RA completion.

 5.2.4 Developing the Remedial Action Statement of
       Work
 The  RA SOW is prepared during  the  RD and lists
 all RA activities and requirements. The SOW must
 contain clear, concise project requirements and
, provide key project milestones  and target dates
 establishing the project's schedule. The  technical
 requirements for both ARCS/RAC- and  USACE-
 managed RAs are discussed in greater detail below.

 RA SOW for ARCS/RAC WAs
 The  RA SOW for ARCS/RAC WAs  is developed
 using the standard tasks  for RA services identified
 in Figure 5-5. TheARCS/RAC contractor manages
 the actual construction activities performed  by
 subcontractors and the RA SOW reflects this
 management role. In the SOW, field construction is
 performed by a subcontractor under a single task. It
 is important to differentiate between  ARCS/RAC
  Figilire 5-5
    RAC and ARCS Contract RA Standard Tasks
                      RACs
  Task 1    Project planning
  Task 2    Develop and update site-specific plans
  Task 3    Subcontract procurement
  Task 4   Management support
  Task 5    Detailed resident inspection
  Task 6    Cleanup validation
  Task 7    Community relations
  Task 8    RA implementation (subpooi activity)
  Task 9    Project performance
  Task 10   Project completion/closeout
                 ARCS Contract
  Task 1    Procurement support
  Task 2    Construction management
  Task 3    Technical engineering services
                                        51-043-25B

contractor submittals and subcontractor submittals.
A register such as the one presented in Appendix B
is an essential tool the RPM uses to track the ARCS/
RAC  contractor's work at the site and record the
contractor's transmittal of submittals. The RPM
(assisted by the TRT) performs these tasks when
developing the RA SOW:

•   Identifies ARCS/RAC contractor submittal
    due dates, the methods to evaluate whether the
    contractor has delivered the quality of work
    required, and EPA's procedures (i.e., time
    frames, number of copies needed, location of
    meetings, etc.)  for reviewing the submittals, as
    they affect the contractor.

•   Identifies all subcontractor submittals that
    EPA elects to review. ARCS/RAC contractor
    personnel receive numerous submittals in
    accordance with the RA subcontract and EPA
    must identify those it wishes to review.

•   Outlines minimum communication
    requirements, including the frequency of
    routine meetings. Meetings must be held at
    least once per week to manage the RA. There
    are cases, however, when daily contact is
    necessary to ensure project success.

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RD/RA Handbook
   •  Specifies when and under what circumstances
      the federal government will accept transfer of
      all constructed facilities. A definite date for
      government acceptance of transfer is
      necessary because the government pays for
      liability insurance through the ARCS contract
      and RAC invoices as long as the subcontractor
      is responsible for the facility.  Consults the
      Project Officer (PO) and Contracting Officer
      (CO) for further instruction related to
      subcontractor insurance requirements for
      ARCS/RAC-managed RAs.
   •  Details expected requirements for O&M
      transition.

   A model RA SOW, incorporating the RAC standard
   tasks, is included as Appendix E.

   RA SOW for USAGE lAGs
   An IAG SOW is required as part of an RA IAG and
   serves to communicate EPA's needs to USAGE. A
   lack  of clearly defined roles  and responsibilities
   ultimately may lead to  a  breakdown in
   communication and a reduction in project quality.
   Successful US ACE-managed RAs are facilitated by
   open and regular communication between EPA and
   USAGE.

   The IAG SOW for an  RA is not the same  as a
   contractor SOW because USAGE is functioning as
   an extension  of EPA. Ideally, the RPM should
   coordinate with USAGE to develop an IAG SOW.
   The RPM should also work with USAGE to develop
   accurate construction cost estimates. The IAG SOW
   should define EPA's requirements, the expected
   schedule and known constraints, and discuss
   participants' roles and responsibilities. The  IAG
   SOW should include the following:

   •  Roles and responsibilities
   •  Communication requirements between
      USAGE and EPA
   •  Special reports that may be generated for the
      RPM
   •  Special community relations requirements
      (i.e., site tours, media events,  responding to
      the press)
   •  Estimate of dollar amount of oversight costs
•   Description of the relationship between the
    parties for ARCS/RAC designs and US ACE-
    managed construction

5.2.5 Developing the IGCE
An IGCE is a detailed estimate of the cost to the
government for services and supplies to be acquired
by the contracting party. An RA IGCE is a detailed,
formally approved estimate  of  cost to the
government to support contract award. The RA IGCE
for contract award purposes includes only those costs
associated with the contract itself. Other government
costs such as construction management, engineering
during construction, construction contingencies, etc.
should not  be included in the  IGCE used for RA
procurement. The IGCE should include only contract
direct costs of labor, equipment, and material;
contractor markups, including overhead, profit, and
bond; and escalation to the midpoint of construction.
Design contingencies can also be included for special
items in those projects for which the design has not
been  completed, such as  for performance
specification technologies.

IGCE for ARCS/RAC-Managed RAs
An IGCE must be completed before issuing an
ARCS/RAC WA. Initially, the  designer prepares a
detailed cost estimate for the RA construction.  This
is not the IGCE and should not be substituted for it.
The designer's construction cost estimate must be
independently confirmed with the signature(s)  of
government personnel with relevant experience, such
as the Regional IGCE coordinator or USAGE  staff
tasked to do the IGCE through a technical assistance
IAG. Both the ARCS/RAC contractor construction
management costs and the actual construction costs
must be estimated and included in the IGCE.

Construction  contingencies,   construction
management costs, and other government costs are
added to  the IGCE after contract award to form a
current working estimate for programming purposes.
The contingency is essentially  an emergency  fund
obligated by EPA for use when processing change
orders and claims. The contingency is generally 10
to 25 percent of the construction cost estimate and
can be used only by the ARCS/RAC contractor when
authorized  by the CO. Contingencies should be
developed from a cost-risk analysis.
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                                                                Chapter 5 • Federal-Lead Remedial Action
IGCE for USACE-Managed RAs
When USAGE manages the RA, it undertakes an
exercise similar to performing an IGCE before RA
solicitation activities. USAGE has a team of
experienced construction cost estimators who are
brought into a project before the final design is
completed to do the cost estimation. The RPM should
have USAGE perform a cost-risk analysis to
determine the actual level of cost uncertainty in the
project. This provides a more realistic cost estimate
which benefits the RPM when negotiating with the
state.

5.2.6 Developing the Remedial Action Schedule
A proposed RA construction schedule is developed
by the  designer during the RD effort. For ARCS/
RAC WAs, the RPM must add the ARCS/RAG
contractor construction management responsibilities
to the construction schedule. The RA WA schedule
must include key delivery dates and EPA's required
time frames for  deliverable review. Once the
schedule is in place, it cannot be changed (other than
with a  contract modification) and all parties must
adhere to it. If the RPM does not abide by the
schedule, it may affect the constructor's schedule.
The constructor might then make a construction
delay claim, which EPA may be required to pay.
The same information is pertinent to USACE-
managed construction  contracts. The RPM must
clearly identify which submittals he or she will
review and their associated review time frames. This
information can  then be incorporated into the
schedule. USAGE should develop the full RA
schedule in consultation with the RPM.

5.2.7 Issuing the RA Work Assignment or Executing
     the interagency Agreement
The type of WA used to initiate the RA depends on
the party that manages  the construction and serves
as the construction contracting party. Information
on issuing ARCS/RAG WAs and executing USAGE
lAGs is provided in section 4.4. Although the
information presented in that section is specific to
RD WAs and lAGs, the processes are essentially the
same for RA WAs and lAGs.

5.3  Managing the Remedial  Action
The RPM is responsible for managing the RA to
ensure that the project is delivered on time and within
the projected budget. At the same time, the RPM is
responsible for communicating with the EPA
contractor or USAGE, the TRT,  state,  and
community.

5.3.1 Managing the RA Work Assignment or Terms
     of the Interagency Agreement
The RPM is responsible for managing the scope,
budget, and schedule of the RA.  The level of
oversight required to successfully manage the  RA
depends on whether USAGE or an ARCS/RAG
contractor serves as the contracting party. USAGE
serves as the agent of the federal government  and
oversees the RA construction contract in accordance
with the Federal Acquisition Regulation (FAR).
Therefore, US AGE-managed RAs do not require the
same amount of RPM scrutiny  as  ARCS/RAC-
managed RAs.

EPA is held ultimately  responsible for  RA
development and execution,  regardless of which
contracting party  performs the  RA.  As  EPA's
representative, the RPM must keep  the project
on track by effectively managing the WA or IAG
in a manner that protects EPA's interests. Although
ultimately responsible for the RA, the RPM is
removed from the actual implementation of physical
work at the site because the constructor reports
directly to the ARCS/RAG contractor or USAGE
personnel. To successfully manage  the RA WA or
terms of the RA IAG, the RPM does the following:

•   Reviews all invoices, requesting backup
    documentation as necessary. Under the IAG,
    USAGE accepts responsibility for certification
    of contractor invoices, thereby alleviating the
    RPM of this major responsibility.
•   Establishes and maintains thorough and
    regular communications with the contracting
    party.
•   Processes IAG/WA amendments immediately
    to increase funding or modify the scope of
    work. Any delays in processing paperwork  can
    result in project delays leading to increased
    RA costs.

•   Enforces the schedule; requests a notice of
    planned corrective actions to prevent schedule
    delays; and demands immediate reporting of
    any potential schedule delays by the
    constructor.
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   •   Schedules routine site visits and attends daily
       job meetings between the contracting party
       and the constructor as part of any routine site
       visit. These meetings can reveal RA issues
       that may not be reported to the RPM. Weekly
       visits and progress meetings are strongly
       recommended. Additional visits should be
       included to coincide with significant
       construction events at the site.
   •   Provides timely responses to issues raised by
       the contracting party. During construction,
       quick decisions are necessary to prevent
       paying constructor delay claims.
   •   Ensures that the RPM is involved in any
       change orders that affect the scope,
       performance, or cost of the remedy and that
       would result in ROD modification.
   •   Emphasizes health and safety compliance. The
       RPM must take the initiative to place health
       and safety on the agenda during progress
       meetings and site visits.
   •   Ensures compliance with all applicable QA/
       QC requirements and policies.

   Additional information on managing WAs and the
   terms of lAGs can be found in sections 4.4.1 and
   4.4.2, respectively.

   5.3.2  Community Relations During the Remedial
         Action
   As discussed in section 3.12, the RPM implements
   a community relations  plan. He or she identifies,
   based on personal contact with the community, how
   often and by what means the community is informed
   of the remediation activities. The RPM and Regional
   Community Relations Coordinator should update the
   community relations plan throughout the RA.

   The amount  of effort expended on community
   relations activities depends greatly on the nature of
   the RA and  location  of the  site in relation to
   residential areas. Failure to prepare the community
   adequately for the upcoming RA may lead to serious
   difficulties during implementation. Before and
   during RA implementation, an RPM should:

   •   Inform the community about the RA
       procurement process and constructor
       selection.
•   Notify the community immediately before the
    constructor mobilizes and before other major
    RA milestones that might affect the
    community.
•   Provide routine updates about site progress
    through fact sheets and public meetings.

•   Offer tours of the site (when safe to do so),
    particularly at the end of the remediation.

•   Discuss remediation activities, including
    contingency plans, with those who live closest
    to the site and those along the travel route for
    off-site waste disposal.
                        'i
•   Prohibit construction workers from discussing
    remediation activities directly with the
    community and the media (this requirement
    can be written into the RA contract).
                        I
5.3.3 Reviewing the EPA Contractor's Remedial
     Action Work Plan
Reviewing and approving the EPA contractor's RA
work plan is similar to the process described in
section 4.6. The work plan is a detailed response to
the RA SOW, containing a task-by-task description
of the contractor's approach to meeting EPA's project
requirements. The  RPM, assisted by the TRT,
reviews  the work plan to ensure that  the EPA
contractor understands the RArequirements. The RA
work plan must contain the following  essential
elements:
                        I
•   Description of the roles  and responsibilities of
    the construction management team, RE, and
    other key personnel; lines of authority; and
    lines of communication in the management of
    construction activities.

•   Resumes of key contractor personnel assigned
    to the project.

•   Description of the proposed procurement
    process.

•   RA schedule and those procedures requiring
    EPA approval to update  it.

•   Preconstruction conference schedule,
    including a list of critical items to be covered.

•   Method for implementing the construction
    quality assurance plan (CQAP) (see section
    4.7.6).
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                                                               Chapter 5 • Federal-Lead Remedial Action
HASP for field construction activities (see
section 4.7.2) which must be incorporated into
the overall site HASP.
Formal procedures for transmitting submittals
and shop drawings from the constructor to the
EPA contractor for review and approval.
Formal procedures should be in place to
identify which parties are responsible for
reviewing each document. Large projects with
a broad range of technical submittals should
include a flow chart of the procedures as well
as a narrative description.
Description of the organization and
maintenance of the RA contract files at all
stages of the project, including disposition of
files at the end of construction or at the end of
O&M.
Description of the required  inspection and
testing procedures for determining constructor
compliance.
Process by which the constructor is required to
submit record drawings (these are design
drawings, also called as-builts, showing the
original design as modified by actual changes
during construction). The marked-up record
drawings will be kept on-site and should be
available for review. A final set of record
drawings is submitted after  construction is
completed.
Description of the process by which the
constructor submits invoices for completed
work and verifies that the work is satisfactory;
retention provisions; turn-around time for
payment; required reports; and provision for
final payment and release of retained funds.
Description of internal procedures that the
EPA contractor uses to manage change orders,
identifying key personnel, lines of authority,
procedures for developing estimates, and the
schedule and budget adjustment negotiations.
Description of the procedures by which the
EPA contractor will resolve and process
constructor claims.

Procedures describing the process wherein the
construction work is accepted and final
payment is made to the constructor; the
    conditions that must be met by the constructor
    to obtain acceptance during the prefinal and
    final inspections; the shift in responsibility for
    the site between the constructor and the
    government; and the warranty of the work in
    accordance with the contract.
•   For projects that produce facilities requiring
    postclosure operation, the EPA contractor
    provides the procedures for startup, operation,
    trouble-shooting, training, and evaluations
    until transfer to the state under the SSC (see
    40 CFR 300.435) takes place.
•   Identification major equipment needs for WA
    performance and how the contractor will
    obtain the equipment.
•   Identification the system-testing criteria and
    acceptable limits, ranges, and timeframes that
    will be used to establish that the system is
    operational and functional (see section 5.7.1).

5.4   The Remedial Action Procurement
      Process

Procurement is a complex process in which the
contracting party solicits bids  (or offers) and
evaluates them, selects a constructor, and awards the
contract. There are four basic forms of procurement
within federal construction contracting:
•   Sealed bidding
•   Negotiated procurement
•   Two-step sealed bidding
•   Non-competitive (sole-source) procurement

5.4.1  Sealed Bidding
Sealed bidding provides an opportunity  for all
qualified contractors to compete for the work on a
price basis. The work must be described in detail so
that bidders fully understand what is required and
bid on an equal basis. The selected bid becomes the
basis for a fixed-price contract. Therefore, sealed
bidding  is used for  sites where  detailed  design
specifications have been developed.  Four steps are
involved in sealed bidding.

•   Presolicitation (i.e., the RD)—Drawings and
    specifications are developed in this step.
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   •   Solicitation and receipt of bids—An invitation
       for bids (IFB) is advertised in the Commerce
       Business Daily (CBD). Bids are submitted in
       sealed envelopes according to IFB
       instructions. It is suggested that the IFB be
       placed in local newspapers as well.
   •   Bid evaluation—The bids are evaluated to
       determine if they are "responsive and
       responsible." Responsive bids are completely
       filled in, have all necessary attachments and
       signatures, and are not qualified or
       conditioned by the bidders in any way.
       Responsible bids are made by organizations
       that possess sufficient capital and resources
       and past work histories to indicate a high
       probability for successfully accomplishing the
       work. Sufficient work history is determined
       through consultation with the TRT.
   •   Award of contract—The lowest bid that is
       deemed responsive and responsible is
       announced and the contract awarded. This
       type of procurement typically results in lower
       costs to the government and a shorter bid time
       period since no  technical evaluations are
       necessary.

   When a majority of the sealed bids submitted in
   response to an IFB  are significantly higher in cost
   than anticipated or are non-responsive, the RPM
   should be involved in any RA procurement decisions
   made. For example, depending on the reason for non-
   responsive bids, the IFB may need to be altered and
   re-issued or the procurement cancelled.

   5.4.2  Negotiated Procurement
   Negotiated procurement proposals are evaluated on
   the basis of technical merit and cost rather than cost
   alone. Six steps  are involved in the negotiated
   procurement process.

   •   Presolicitation—Performance-based
       specifications are developed during the
       design, stating project requirements (i.e.,
       standards of quality and  services to be
       provided). Offerers develop their own
       approaches to meeting the performance
       standards established for the site.
   •   Solicitation and receipt of proposals—A
       request for proposals (RFP) is advertised in
       the  CBD. The RFP contains project
    performance specifications and a description
    of the evaluation criteria. The scoring criteria
    and the basis for award also are provided. It is
    suggested that the RFP also be placed in local
    newspapers.
•   Discussions—Offerers are made aware of any
    deficiencies hi their proposals in order to
    bring as many as possible into the acceptable
    range.
•   Evaluation of proposals—The cost and
    technical acceptability of the proposal and the
    offerer's firm's ability to accomplish the work
    are evaluated. The cost and technical
    evaluations are done separately and combined
    at the end for a total score. Proposals are
    usually categorized as technically acceptable,
    potentially acceptable, or unacceptable. If the
    RPM is required to make any technical
    judgments, input from the TRT is
    recommended. The government then issues
    interrogatories and all offerers have the
    opportunity to clarify or improve then-
    proposals (e.g., make potentially acceptable
    proposals technically acceptable).
                         i
•   Best and final offers (BAFOs)—The
    contracting party is required to solicit BAFOs
    from all technically acceptable proposals.
    BAFOs are evaluated and scored in terms of
    cost and technical merit to determine a final
    score.
•   Source selection and award—The BAFO with
    the highest final score is selected and a
    contract awarded.

5.4.3  Two-Step Sealed Bidding
In this procurement method,  offerers first submit
proposals without cost information in response to
an RFP and submit sealed bjds if their proposals are
found acceptable. The proposals are judged on their
compliance with established criteria.  They are
categorized as being either acceptable, potentially
acceptable, or unacceptable. Although this method
is conducted as a sealed bidding procurement, there
are two differences: (1) bidding is limited to those
who have successfully completed the first stage and
(2) bidders must comply with the RFP and meet any
additional IFB requirements. The government then
selects the lowest bid.
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                                                                  Chapter 5 • Federal-Lead Remedial Action
5.4.4  Non-Competitive (Sole-Source) Procurement
Non-competitive, or sole-source, procurement is the
least-favored method of procuring an item or service
and can be used only in the rarest of circumstances.
FAR  Part 6.3 states  that one of the following
circumstances must apply in order to employ this
type of procurement:

•   Only one responsible source is available and
    no other supplies or services satisfy EPA's
    requirements
•   Unusual or compelling urgency exists (poor
    planning does not  satisfy this criterion)
•   An emergency situation exists involving
    industrial mobilization or engineering,
    development, or research capability
•   International agreement (where a foreign
    government reimburses EPA)
•   Authorized by a statute
•   National security is an issue
•   In the public interest not to proceed with full
    and open competition  *

Additional planning must be undertaken at the outset
because of potential controversy surrounding the use
of non-competitive procurement. If USAGE is the
contracting party, it ensures that the procurement is
performed in accordance with all federal regulations.
In those cases, the RPM should defer to USAGE
personnel  judgement.  When an EPA contractor is
the contracting party, the CO must consent to a
subcontract procured by this method.

5.4.5  The  Remedial Project Manager's Role in the
      Procurement Process
The RPM's role is limited in the constructor
procurement process, because EPA does not have a
direct line of communication with the constructor
(unless EPA is managing  the contract directly
through a prequalified contract). The RPM, however,
is responsible for monitoring the process to ensure
the procurement proceeds without delay. Even the
best solicitation packages may need to be amended
at some point during the solicitation process. This
need usually arises in a bidders' conference where
the potential bidders request clarification of the
solicitation package.
The RPM should attend the bidders' conference
which may include a "job walk" through the site. A
job walk is a tour of the site to obtain a site overview
and help the bidders/offerers decide how to approach
the RA project. When USAGE is the contracting
party, the RPM is encouraged to participate in the
technical review process as either a voting or
nonvoting member.  (Being a voting member,
however, requires a substantial time commitment
because the panel's voting members are sequestered
several times during the selection process.) Although
the RPM may participate in the technical review
process for proposals in USACE-managed RAs, he
or she may not participate  in the evaluation of
subcontractor  proposals with an ARCS/RAG
contractor-managed RA.

5.4.6  Approving the  EPA Contractor's Selected
      Constructor
Before the contract is awarded, the EPA contractor
sends a notice of intent to award to the RPM. The
RPM then prepares an evaluation memorandum and
submits it to the EPA CO for concurrence.  The CO
reviews the memorandum and consults with the
RPM, PO, and TRT  to determine if the constructor
can perform satisfactorily. The CO acknowledges
constructor acceptance by issuing a letter authorizing
the subcontract or issuing a contract modification.

Once the EPA contractor  selects the constructor, a
notice of award is sent to the constructor and a copy
to the RPM. This notice requires the constructor to
submit  all required bonds  (payment, bid, and
performance) and sign a contract within the period
of time specified in the notice. If the selected
constructor does not qualify (e.g., due to the inability
to obtain  bonds  or meet other contractual
requirements) or refuses to enter into a contract, the
bid bond is forfeited. Due  to the potential for award
delay, the solicitation usually states that the bids and
bid bonds may be held as long as 60 days after
opening.

5.4.7  Construction Contract Award Controversies
An award controversy in a Federal-lead RA has the
potential to create delay in the construction process.
The method of  managing   contract award
controversies, or bid protests, differs depending on
the contracting party. Protests can be filed at any
time in the procurement process but generally occur
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   immediately following the notice of award. For more
   specific information than is provided below, refer to
   the Office of Regional Counsel or the Office of
   General Counsel.

   Construction Contracts with the ARCS/RAC Contractor
   Construction contracts with an EPA contractor are
   subcontracts. Subcontractors to EPA contractors do
   not have a direct contractual relationship with EPA;
   therefore, subcontractors do not have access to
   federal administrative procedures for hearing
   protests.  All  award controversies  regarding the
   contract between the EPA contractor  and its
   subcontractor must be resolved between those two
   parties without government involvement. The parties
   may resort to state courts, which could lead to
   injunctions or other delays. In contrast,  an EPA
   contractor that directly contracts with EPA would
   be able  to access the federal administrative
   procedures described in FAR Part 33 to protest
   contract award.

   Construction Contracts with USACE
   FAR Part 33 details the requirements for filing and
   processing bid protests. An unsuccessful offeror
   (assuming the offeror would be a prime contractor
   with USACE) can file a protest with USACE or
   directly with the GeneralAccounting Office (GAO).
   Protests submitted to USACE for resolution are
   governed by USAGE regulations (USACE uses the
   Department of Defense Board of Contract Appeals).
   Normally, protests filed with a USACE CO before
   award of the contract prevent award until the protest
   is resolved.

   Protests filed with GAO prevent award, if filed
   before award, or prohibit performance on the
   contract, if filed within ten days of award  of the
   contract or five days after a requested debriefing to
   an unsuccessful  offeror. The CO may award a
   contract in the interim if it  is deemed to be in the
   best interest of the government or urgent and
   compelling circumstances that significantly affect
   the interests of the United  States will not permit
   awaiting GAO's decision. Only in rare circumstances
   is this avenue taken. The normal course of action is
   to await decision by GAO.

   Protests filed with GAO have greater potential for
   delaying projects because  of GAO's review and
   decision-rendering timeframes. Once  a protest is
filed with GAO, it has 125 calendar days (mandated
by tin&FederalAcquisition Streamlining Act of 1994,
P.L. 103-355) to render a decision. For protests filed
with GAO more than ten calendar days after contract
award, the CO does not have to suspend contract
performance or terminate the awarded contract
unless it appears likely that the award may be
invalidated.

5.5   Preconstruction Activities
During actual construction, the ARCS/RAC
contractor assigns a CM to the site to supervise all
construction activities, whereas USACE personnel
assign an RE or a team of REs to RA projects. The
following six activities occur immediately after
contract award:
•   Issuing the notice to proceed
•   Conducting the preconstruction conference
•   Delivering the preconstruction submittals

•   Providing site security
•   Mobilizing the constructor
•   Posting EPA signs at the site

5.5.1  Issuing the Notice to Proceed
A notice to proceed initiates construction activity.
The ARCS/RAC contractor or USACE issues the
notice sufficiently hi advance of the required date to
provide the constructor adequate lead time. The RPM
should request and receive a copy of the notice. The
date on the notice marks the  formal beginning of
the construction project. Progress within the
construction schedule will be measured by that date.
Before the notice is issued, the constructor should
have  submitted a detailed construction schedule
against which progress can be measured.

5.5.2  Conducting the Preconstruction Conference
There must be a preconstruction conference before
work begins attended by all parties involved in the
RA project, including the RPM, state, and local
authorities (i.e., municipal public works department,
municipal or county  highway department, local
emergency response personnel, etc.). This is the first
meeting attended by everyone involved in the
project. The purpose is to establish relationships,
define roles and responsibilities, and answer any
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                                                                    Chapter 5 • Federal-Lead Remedial Action
questions concerning contract implementation.
Figure 5-6 lists activities covered in a typical
preconstruction conference.
  Figure 5-6
       Preconstruction Conference Activities
   • Introducing team members
   • Discussing EPA's expectations
   • Reviewing general project scope
   • Reviewing the final CQAP and quality control plan
   • Reviewing the project schedule
   • Establishing scheduled meetings and briefings
   • Reviewing roles and responsibilities
   • Reviewing document control procedures
   • Discussing key issues, concerns, and project goals
   • Discussing procedures to resolve disputes and
    misunderstandings
   • Reviewing the HASP and emergency response plan
   • Reviewing procedures for project completion
                                         51-043-26
5.5.3  Delivering the Preconstruction Submittals
Refer to the RA SOW in Appendix E for a sample
listing of preconstruction submittals.  These
submittals require approval before the constructor
can be mobilized.

5.5.4  Providing Site Security
The constructor must provide a site security plan
before mobilizing at the site to prevent the public
from having access to potential site safety hazards
and to prevent the theft of or damage to facilities.
The contracting party and the RPM should review
site security on a regular basis to ensure compliance
with the accepted plan.

Many  sites  have security cameras with 24-hour
surveillance. Routine checks must be conducted to
ensure that the cameras are operational. At a
minimum, all sites under construction should have
a guard posted during working  hours. It may  be
necessary to post guards 24 hours per day, depending
on the specific problems  encountered. The RPM
must be forceful in reviewing the security measures
and require all security lapses to be investigated
immediately. Any corresponding corrective actions
should be taken  to prevent the lapse(s) from
reoccurring.
5.5.5  Mobilizing the Constructor
Mobilization begins after the constructor completes
preconstruction  submittals. Mobilization is the
transfer of operations to the project site. At this point,
any delays  caused by the government or the
contracting party can result in constructor claims for
delay. Conversely, if the constructor fails to progress
in accordance with the schedule, the constructor may
be subject to liquidated damages at the end of the
project (but  only if such provisions exist in the
constructor's contract).

5.5.6  Posting EPA Signs at the Site
All Superfund sites should have signs posted at their
front gates to inform the public about the  current
remedial activities. They should be posted when the
constructor mobilizes at the site and must  contain
the following information:

•   EPA logo (available from EPA Headquarters
    printing office:  Room MG 100D,
    Environmental Protection Agency,
    Washington, DC 20460  (202)260-2125)
•   State logo
•   USAGE logo (if it is the contracting party)
•   Site name (with "Superfund" in the title)
•   Contract  award amount
•   A point of contact and telephone number for
    those who wish to obtain further information
    or report  suspicious activities

Office of Solid Waste and Emergency Response
(OSWER) Directive 9375.5-10IFS, "Public
Awareness Signs at Superfund Sites," October
1990, provides  additional information on
Superfund signs.


5.6   Construction Implementation

Construction  performance is the sole responsibility
of the constructor. The constructor determines the
methods and  sequence for the work not previously
specified in contract documents. Before mobilizing,
the constructor  must submit for approval a detailed
work schedule  that  is  used  to  measure  the
constructor's  progress.    The  construction
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   superintendent supervises the construction activities
   and administers and coordinates the arrival of
   materials, equipment, and labor in a manner that
   proceeds without interruption. He or she supervises
   the individuals responsible for different categories
   of work and administers all subcontracts.

   5.6.1  Inspection and Testing
   In accordance with the quality assurance project plan
   (QAPP), the constructor is required to maintain an
   inspection system to substantiate that the work
   conforms with contract requirements before the work
   can be accepted by the contracting party. The terms
   of the contract describe  the required tests and
   procedures. The constructor must provide the
   resources necessary for the accomplishment of these
   tests at the appropriate times.

   In ARCS contracts and RACs, the CM, on behalf of
   EPA and the RD designer's RE, will observe all of
   the constructor's inspection activities and conduct
   additional inspections as necessary in accordance
   with the work plan to ensure the quality and quantity
   of the work. Under USAGE contracts, the USAGE
   RE conducts these inspections at his or her discretion
   (although if an ARCS/RAC contractor performs the
   RD there is also an RE representing the ARCS/RAC
   contracting firm). Inspection should be carried out
   hi such a manner that the work is not delayed. The
   CM (or RE) shall maintain suitable records of the
   inspection activities reflecting the number of
   observations made, the number and types of defects
   found, the corrective actions taken, and the resolution
   of any written instructions. The following project
   aspects should be inspected:

   •   Progress
   •   Materials (quality and quantity)
   •   Quality of work
   »   Adherence to design
   •   Health and safety
   The quality assurance (QA) inspectors, hired by the
   constructor, shall  review all daily reports and
   construction activities to verify that the work
   conforms with the contract. This includes sampling
   data collected by the constructor. All data confirming
   the achievement of final cleanup levels must also
   be verified. Additionally, the inspector should verify
   compliance with all environmental requirements of
the contract. These inspections shall include, but not
be limited to, air quality and emissions monitoring
records, waste disposal records, and compliance with
the HASP. There also should be a plan for regular
materials testing specifying what tests will be
performed,  on which materials, and testing
schedules. All inspection reports and certificates
must be filed on-site with the contracting party. The
CM or RE reviews and initials each report prepared
by the constructor. Any comments should be noted
in the CM or RE's daily log.

The RPM's Role in Inspections
Construction inspection records must be available
for the RPM to review on-site with assistance from
the TRT during  RAs  in which an ARCS/RAC
contractor is the contracting party. In addition, the
RPM should conduct  spot checks of inspection
activities. The RPM should schedule site visits to
ensure that the contracting party and constructor are
fulfilling their respective responsibilities.  The
frequency of these inspections is determined by the
size and complexity of the  project, the rate of
progress being achieved, and the nature of problems
or issues arising during construction. At certain
critical phases, daily inspections may be necessary.
These inspections typically focus on recordkeeping,
contract  administration, claims and change order
management, labor standards, construction progress,
and construction quality.

The RPM also conducts a joint inspection with the
state at the end of a Fund-financed RA to fulfill EPA's
requirements under the National Contingency Plan
(NCP), 40 CFR Section 300.515(g). The purpose of
the joint inspection is to determine that the remedy
has been constructed in accordance with the ROD
and the RD. This joint inspection  should not be
confused with the prefinal or  final inspections that
take place between  the contracting party and the
constructor (see section 5.7.3).
                         !
5.6.2  Monitoring Construction  Progress
The constructor should keep the project on schedule
while maintaining the specified quality and cost of
the work. As a practical matter, performance
according to the construction schedule  should be
reinforced through frequent communication between
the parties. If the  constructor  is in danger of
defaulting on its  contractual  obligations, the
contracting party must meet with the RPM to discuss
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all potential options. The RPM monitors construction
progress through management of lAGs for USACE-
managed RAs and through WAs for ARCS/RAC-
managed RAs. When working with USAGE or an
ARCS/RAC contractor,  the RPM can monitor
construction progress with the following:
«   On-site construction activities
•   Progress reports
•   Progress payments

On-Site Construction Activities
The RPM should review the daily logs and the CM's
(or RE's,  in USAGE projects) field diaries.
Photographs, including those of deficient work,
should be used to supplement the RE's or CM's daily
reports and establish job progress. At some sites, the
RPM or CM (or RE, in USAGE projects) may watch
footage taken of constructor activities by video
cameras at the site. He or she can thus observe project
progress without wearing protective gear.  The
cameras also serve  to document field  activities
should claims arise later.

The RPM should attend weekly meetings between
the contracting party and the constructor at the site
whenever possible. While the RPM is on his or her
site visits, he or she  should take advantage of the
opportunity to attend daily meetings between the
contracting party and the constructor. The RPM also
should conduct periodic spot checks of the site to
observe and document RA progress.

Progress Reports
Detailed progress reports from the ARCS/RAC
contractor and USAGE are required by the contract
on a monthly basis throughout the duration of the
project and are usually submitted with the monthly
invoices. The RPM uses the reports as a supplement
to site visits to monitor construction activities. These
reports must develop a chronological  record of
remediation activities and  should contain the
information outlined  in Figure 5-7.

Progress Payments
In most fixed-price construction projects, progress
payments are made based on the percentage of work
completed.  The payment formula is decided before
work begins  and a system is developed that the
constructor uses to  demonstrate, through field
measurements and inspections, that the  work has
  Figbre 5-7
           EPA Contractor Progress Reports
   • Documentation of the percentage of work completed
    and total project cost to date
   • Summaries of the following items for the reporting
    period:
    - Work performed on site
    - Community relations activities
    - Change orders to and claims made on the contract
    - Problems or potential problems encountered,
     inspection failures, reworked items, etc.
    - Reports of accidents, injuries, etc.
   • Status of contingency fund to date
   • Estimate of work for the next reporting period
   • Copies of daily reports, change orders, manifests for
    off-site disposal, and all laboratory/monitoring data
                                         51-043-27A

been completed. Verifying the quantity and quality
of work completed is part of the contracting party's
overall construction inspection duties.

Progress payments do not constitute final acceptance
by the government of the work performed to date. It
is customary to retain some portion of the initial
progress payments—usually five to ten percent—
until the constructor demonstrates that satisfactory
progress is being made. Full progress payments are
usually made  when 50 percent of the work is
complete and continue until project closeout.

At the end of the project, sufficient funds must be
retained as a means of ensuring that punch list (a
written list of items needing correction or completion
in order to complete the contract terms) items are
performed and the final inspection is completed.
Final acceptance usually occurs after performance
of punch  list items  and completion of the final
inspection and sometime during or after the process
of achieving operational and functional status (see
section 5.7.1).

The RPM must review and certify for payment the
ARCS/RAG contractor's invoice by verifying that
the work has been completed as stated on the invoice
and accompanying progress report. The invoice must
include the constructor's costs as well. The ARCS/
RAC contractor retains the funds payable to  the
constructor as noted above. The RPM should request
backup documentation as necessary.
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   For a USACE-managed site, the RPM receives and
   reviews Standard Form 1080 for final payment.
   Although the RE certifies the invoice for payment,
   the RPM must still review the invoice and may
   request backup documentation as necessary. If there
   are errors, corrections will be reflected on future
   invoices.

   5.6.3  Reviewing Record Drawings
   As the construction progresses, the constructor and
   CM or RE document each segment of completed
   work. As part of this documentation,  markups will
   be made on a set of drawings. On simple projects,
   such as a water main installation, the record drawings
   can be markups of the original RD drawings.  The
   markups illustrate how the installed facilities differ
   from the original design. For the installation  of a
   treatment facility, markups may be  made on the
   drawings indicating the actual components installed.
   At the completion of the project, these markups will
   be used to produce a clean set of record drawings
   that accurately describe the installed facilities.

   The RPM should review the development and ensure
   the accuracy of the  markup drawings as the work
   progresses and that  they are provided to EPA and
   the state for O&M. The requirements for modifying
   original drawings (i.e., production of record
   drawings) in accordance with the markups should
   be included in the RA SOW with the requirement
   for RE services from the designer.

   5.6.4  Changes to the Construction Contract
   Construction contracts for both  ARCS/RAC
   contractors and USAGE contain a changes clause
   and other related clauses. The changes clause
   provides the needed flexibility to change the work
   described in the contract to adjust to actual field
   conditions and new interpretations of the drawings
   and specifications as the  work progresses.  The
   changes clause also can be used to order additional
   work within the scope  of the contract to meet the
   government's need to implement the remedy.
   The constructor is obligated to accomplish the work
   ordered by the CM or RE who exercises the changes
   clause, and in return is guaranteed an equitable
   adjustment to both the price and the project schedule.
   Additionally, the constructor may process claims
   under the changes clause for equitable adjustments
   for construction change costs. Construction changes
occur when the constructor performs work without
a formal change order due to the direction of the
CM, RE, or other authorized contracting party
employee.

Whenever the work is changed, both parties must
negotiate acceptable terms. When negotiations are
successful, the work changes are accomplished under
a supplemental agreement to the contract. If the
parties are not able to reach agreement, the
constructor will be ordered to proceed with work
under a change order for a price that the CM or RE
considers to be reasonable.  If the constructor is
unsatisfied with the price, the constructor may file a
claim against the contracting party to resolve the
issue.

The RPM will be closely involved with ARCS/RAC-
managed RA change orders as part of his or her WA
management duties. For ARCS/RAC contractor-
managed RAs,  there are two distinct  spheres of
authority regarding changes in EPA contracts. The
constructor is a subcontractor under the EPA prime
contractor, so the government is not a party to the
actual construction contract.  The EPA  contractor,
therefore, is the only party with authority to negotiate
or order changes to the construction contract. The
second sphere of authority is  in the contractual
relationship between the EPA contractor and EPA.
The contractor must obtain EPA review and approval
of the changed work within the context  of the WA.
The EPA CO is the only individual who can commit
the government to pay these costs. Changes are paid
through the contingency fund (see section 5.2.5). The
CO requests that the CO's Technical Representative
review and make recommendations to support the
payment.

For USACE-managed RAs,  USACE has its own
change order and construction change  procedures
but the RPM and USACE personnel  need to
communicate regarding significant change orders,
especially if a change order will result in a need for
more funds than authorized under the IAG or if the
change order affects the ROD.

Office  of Solid Waste and Emergency Response
(OSWER) Directive 93S5.5-01/FS, "ARCS
Construction Contract Modification
Procedures," September 1989, provides
additional information on processing change
orders.
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5.6.5  Managing Claims
Constructor claims are generally made for the
purpose of requesting more financial remuneration
or to  deviate from the schedule. In the claim, the
constructor alleges that the contracting party's action,
inaction,  or misrepresentation in the  contract
documents has caused an involuntary change in the
cost or time of performing the contract. The
contracting party can use the following techniques
to minimize the occurrence and effects of claims:

•   Before advertising for bids or offers, ensure
    that the drawings and specifications are
    biddable, all conflicting language has  been
    removed, and ambiguities have been clarified.
•   Make a complete investigation of the
    subsurface conditions before soliciting bids
    for and starting the RA and include the results
    in the bidding documents.
•   Closely monitor the construction to anticipate
    problems and be prepared to resolve them as
    soon as possible.

Because EPA does not have privity of contract with
the constructor for either USAGE- or ARCS/RAC-
managed  RAs,  EPA will become involved in
constructor claims only under certain circumstances
such as when the ARCS/RAC contractor pursues the
claim in the name of the constructor (see FAR Part
33 and the Contract Disputes Act of 1978). If the
ARCS/RAC contractor pursues a claim, it must be
submitted to an EPA CO. Usually, however, the CM
attempts to address any claim issues before the claim
goes to the CO. If the CO denies the claim, it may
be appealed in the Department of the Interior Board
of Contract Appeals or in U.S. District Court.

For USACE-managed RAs, the  constructor that
directly contracts with USAGE will submit a claim
to USAGE for consideration. USAGE and the RPM
should communicate so that the RPM is aware of
any constructor claim that might affect the  schedule
or achievement of the remedy.  If the USAGE CO
rejects  the  claim, it may be appealed in the
Department of Defense Board of Contract Appeals
or in U.S. District Court.

If a claim is filed, the CM or RE should address the
issues raised and control future claim costs by having
the technical and  legal staff analyze each issue.
5.6.6  Value Engineering During Construction
Value engineering (VE) is to be included in federal
construction contracts worth $100,000 or more with
few exceptions (see FAR 52.248-1). The VE clause
for construction is an incentive clause that provides
the opportunity to the constructor to use the latter's
unique knowledge and construction experience as a
basis for submitting a value engineering change
proposal (VECP) (see FAR 52.248-3). Developed
with its own resources (i.e., non-reimbursable), the
VECP is the constructor's proposal to make changes
to the RA project that, if incorporated, will save
money without  compromising  quality  or
performance. The savings resulting from the
incorporation of a VECP are normally shared (45-
55 percent split for fixed-price contracts and a 75-
25 percent split for cost-reimbursement contracts)
between the federal government and the contractor
that submits the VECP. However, this arrangement
may vary according to contract type with the sharing
arrangement being determined by  the type of VE
and the source of savings (see FAR  52.248-1 [f]).
Payment of any share due the constructor for use of
a VECP shall be authorized by a modification to the
construction contract.

After EPA receives a VECP from the contracting
party, it must notify the contracting party as to the
status of the VECP within 45 days or, if additional
time is needed, explain the delay  and  provide an
expected date for its decision. The RPM/Work
Assignment Manager prepares a letter on the status
of the VECP review for the CO's signature. VECPs
should be processed expeditiously; however, EPA
is not liable for any delay in acting upon a VECP.

If a VECP is not accepted,  the CO notifies the
contracting party in writing, which in turn notifies
the constructor, explaining the reasons for rejection.
Any VECP may be accepted, in whole or in part, by
the CO's approval of a modification to the
construction contract. The CO may accept the VECP,
even though an agreement on price reduction has
not been reached, by issuing a notice to proceed with
the change. Until such a notice is issued or the CO
approves a contract modification,  the constructor
must perform according to the existing contract.

For USACE-managed RAs, USAGE follows its own
VE procedures,  but should notify the RPM of any
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   accepted VECPs that wouldaffect ROD requirements
   or the RA schedule or budget.

   OSWER Directive 9355.5-03/FS, "Value
   Engineering," May 1990, provides additional
   information on VE during construction.


   5.7   Contractor Completion Activities
   As  a project nears completion,  all parties must
   understand their roles and responsibilities to ensure
   proper project completion and closeout. Final
   inspection and closeout activities are discussed
   below.

   5.7.1  Achieving an Operational and Functional
         Remedy
   Immediately following construction of the remedy,
   the remedy enters a "shakedown" phase referred to
   as the operational and functional period. This
   shakedown enables the constructor to make minor
   modifications as necessary to ensure the remedy is
   operating as designed.

   Under 40 CFR Section 300.435, a remedy becomes
   operational  and  functional either one year after
   construction is complete or when the remedy is
   determined concurrently by EPA and the state to be
   functioning properly and is performing as designed,
   whichever occurs first.

   The operational and functional determination by both
   EPA and the state is a critical milestone because it
   marks the start of the O&M phase of a project.
   Subsequently, disagreements may arise as to whether
   the remedy is operational and functional.  To
   minimize disruption to the project, the RPM should
   do the following:
   •   Ensure the designer incorporates into the
       design documents (CQAP) the tests that are
       necessary to demonstrate that the remedy is
       operational and functional. This requirement
       should be included in the RD  SOW.
   •   Obtain agreement with the state through the
       SSC on which tests will be used by both
       parties to demonstrate that the remedy is
       operational and functional.
5.7.2 Prefinal Construction Conference
A prefinal construction conference is required just
before completing the construction work.  The
conference will be scheduled by the contracting party
and attended by the RPM, state, and constructor. The
objective of the conference is to discuss procedures
and requirements for project completion and
closeout. Suggested conference topics include:

•   Final O&M plan submission

•   Construction cleanup responsibilities

•   Demobilization activities
•   Security requirements for project transfer
•   Prefinal inspection schedule
•   EPA/state joint inspection schedule (NCP
    requirement)
•   Facility startup and training
•   Operator training

5.7.3 Prefinal and Final Inspections
The prefinal and final inspections are standard
construction practices for closing out a contract. The
purpose of these inspections is to determine whether
the construction was completed in accordance with
the contract. They are generally held between the
contracting party and the constructor. These
inspections are often confused with the mandatory
EPA/state joint inspection requirement under the
NCP, 40 CFR Section 300.515(g).  The EPA/state
joint inspection is a separate inspection held at the
completion of physical construction to obtain
agreement between  EPA and the state that the
operational and functional period is ready to
commence.  The contracting party and the
constructor, however, may agree to invite both the
RPM and the  state to  the  prefinal or  final
inspection(s) to avoid having to schedule separate
inspections.

Prefinal Inspection
The ARCS/RAC contractor's CM or USACE's RE
and the constructor's construction  superintendent
will inspect the site and look at each element of work
to see if it is complete and ready to be accepted. In
some instances, the prefinal inspections can be
performed as  each major element of the job is
completed instead of at the  end  of the project.
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Generally, there will be a few elements of work still
in progress at this time and some minor defects that
will come  to light as the inspection proceeds. A
prefinal inspection report must be prepared that
includes the punch list developed by the CM,
completion dates for outstanding items, and a date
for a final inspection (if one is to be held). A copy of
this report should be sent to the RPM.

Final Inspection
Work is considered complete when the remedy is
operational and functional, all punch list tasks have
been performed, and terms of the contract have been
met. Thus, completion of construction activities does
not mean that theWAis complete. All parties should
attend the final inspection. The CM or RE determines
the level of work completeness. There may be a few
minor work elements not yet complete, but they may
not affect acceptance of the work. A portion of the
constructor's final payment is retained until these
outstanding elements are completed.

The RPM must focus EPA's portion of the inspection
on  determining whether the remedy has been
implemented hi full compliance with the ROD. In
addition, where anARCS/RAC contractor serves as
the contracting party, the RPM needs to determine
if the work has been completed as described in the
ARCS/RACs work plan. The RPM should perform
a thorough work plan review so he or she will be
fully prepared to participate in the inspection. The
RPM should have his or her TRT assist in this
inspection.

Demobilization
Site demobilization  occurs after  the majority of
construction work is  completed. This phase of the
remediation is generally comprised of the following
tasks:

•   Removing all equipment, machinery, or
    materials that are no longer necessary to
    complete site activities
•   Removing temporary buildings and structures
•   Completing all necessary restoration or
    replacement of public or private property
    affected by the remediation activities
•   Removing site debris, disconnecting
    temporary utilities, and cleaning roadways or
    other public access or service areas
•   Transferring all finalized documentation
    associated with the construction (e.g., log
    books, records, etc.)

Items removed from the site during demobilization
may require decontamination before removal. Final
inventories of remaining materials  and utilities
should also be completed. Any additional  or site-
specific requirements  contained  in contract
requirements and specifications prepared during the
RD should be addressed.

5.7.4  Contractual Acceptance of the Project and
      Warranty
Accepting the  work is an important juncture in the
project because it alters the rights and responsibilities
of the parties involved in the construction project.
The government takes over full possession of the
facilities from the  constructor upon acceptance of
the work. Final acceptance  occurs after final
inspection and correction of the punch list items.The
risk of loss due to  damage or theft shifts from the
constructor to the  government. By accepting the
work, the government limits its rights to require the
constructor to make adjustments to or correct defects
in the work.

The government's  acceptance does not relieve the
constructor from assuming responsibility  for the
quality of work performed. If any  of the three
exceptions to  the  finality of acceptance—latent
defects, fraud, or gross mistakes—are found to exist,
the constructor generally must correct the work.

In conditions not described above, awarranty clause
must be in the original contract to ensure that the
constructor corrects any defects. The warranty period
is usually one year against defects in equipment and
materials or quality of work and design.

Final Payment
Final payment to the constructor cannot occur until
the following items are completed:

•   All final drawings, log books, records, and
    other documentation are received by the
    contracting party.

•   The contracting party receives a letter from
    the constructor stating that all work has been
    performed in accordance with the contract and
    is complete in every respect.
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RD/RA Handbook
   •   The contracting party receives a letter from
       the constructor stating that all wages, debts,
       and payments incurred by the constructor
       during work performance have been settled or
       paid in full.
   •   The contracting party receives a letter from
       the bonding company stating that it has
       reviewed the constructor's final request for
       payment and agrees that payment will release
       the constructor from any and all claims that
       the constructor may have against the
       regulatory agency(ies) in performance  of this
       contract.
   •   The contracting party receives satisfactory
       evidence of the release of any outstanding
       liens.

   5,7.5  Remedial Action Report
   Within 60 days after the  final inspection, the
   contracting party prepares and submits an RA report
   to the RPM for each construction project. The report,
   the official record of RA activities, is a required
   submittal. This is not to be confused with the EPA
   contractor or USAGE contractual obligations with
   the constructor. This is an EPA administrative
   requirement only and does not have to be done to
   fulfill contractual agreements.  The  RA report
   contains the following information:

   •   Introduction
   •   Chronology of events
   •   Performance standards and cleanup goals met
   •   Description of the QA/quality control (QC)
       procedures followed
   •   Description of construction activities
   •   Final inspection documentation
   •   Certification that the remedy is operational
       and functional
   •   Discussion of O&M requirements
   •   Summary of project costs

   Review of the RA Report
   The RPM reviews the RA report to ensure that the
   remedy has been completed and meets EPA's goals
   as established in the ROD.  After reviewing and
   accepting the report, the RPM prepares a letter to be
signed by an EPA branch chief, notifying  the
contracting party of the acceptance.

OSWER Directive 9355.0-39FS, "Remedial
Action Report—Documentation for Operable
Unit Completion," June 1992, provides more
information on RA reports.


5.8   State Operation and Maintenance

This section provides a brief overview of O&M
activities.  State-performed O&M activities  are
necessary to protect the integrity of the remedy.
(Additional guidance that EPA Headquarters is
developing on O&M should be inserted into  the
handbook when available.)

O&M commences on the date that EPA and the state
agree that the remedy is operational and functional.
The exception is active ground water restoration,
where EPA will operate a pump and treat system for
up  to ten years, after which time the system is
declared operational and functional.

The SSC establishes the rules for transferring  the
site and its facilities from EPA to state control. Once
the facility is transferred, it becomes state property.
The RPM  must ensure that  the  O&M package
(drafted by the designer) has been completed by the
constructor and includes all record drawings and
manufacturer equipment manuals. The state and its
contractors should conduct a  tour of the site and
obtain any special training necessary to carry  out
O&M before the transfer.

The RPM should be aware that site access is often
overlooked as part of the transfer process. The RPM
and state should determine what, if any, state site
access is needed to implement O&M. These issues
must be worked out before the state assumes control.
O&M commences on the date in the RA report that
certifies the project is complete and the remedy is
operational and functional (with the exception of
ground water restoration).

The SSC is also the mechanism through which EPA
establishes the state's reporting requirements  for
O&M,  including  the frequency  for report
submission. The RPM must continue to review these
reports and ensure  that they are submitted on
schedule after the state assumes responsibility for
the site.
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                                                                 Chapter 5 • Federal-Lead Remedial Action
5.9   Site Closeout Process
The site closeout process consists of documenting
that all Superfund response action is complete and
the site can be deleted from the National Priorities
List (NPL). Site completion requirements provide a
definitive endpoint to Superfund cleanup activities
and satisfy the NCP requirements for site deletion.
Figure 5-8 illustrates the site closeout process,
highlighting the following three phases:

•   Construction completion activities
•   Site completion activities

•   Site deletion activities

OERRIHSCD "Closeout Procedures for National
Priorities List Sites," (Draft), April 1995,
provides information on the site closeout process.

5.9.1  Construction Completion Activities
In 1991, the EPA Administrator established national
targets for the number of sites to be deleted from the
NPL  through the year 2000.  The concept of
construction completion, EPA's primary measure of
accomplishment toward  that  goal, was created to
simplify  the system of site categorization and to
better communicate the successful completion of site
cleanup activities. Construction completion means
that physical construction of the remedy is complete
or that no substantial physical construction is
necessary to implement  the remedy. It marks
completion of a phase in the Superfund remedial
process but does not affect the separate milestones
of site completion or deletion. Characteristics of sites
satisfying construction completion criteria include:
•   Sites where all necessary physical
    construction is complete, whether or not final
    cleanup levels or other requirements have
    been achieved
•   Sites where EPA has  determined that the
    response action should be limited to measures
    not involving construction (e.g., institutional
    controls)
•   Sites that qualify for  deletion from the NPL

Preliminary Closeout Report (PCOR)
The PCOR forms the basis for the final closeout
report (FCOR) and focuses on site construction and
completion. The PCOR includes information on the
release of contaminants at the site, site conditions,
response action, steps remaining for site completion,
and a schedule for their  completion. The PCOR
should contain the information shown in Figure 5-9.

The RPM often prepares the PCOR before the RA
report for the final operable unit (OU) because the
RA report can  be submitted up to 60 days after
determining that the remedy is operational and
functional. The PCOR generally should be three to
five pages long. A draft of the PCOR must be sent to
EPA Headquarters for review. The purpose of the
review is to ensure national consistency in reporting
completions. Construction completion is considered
final when the Regional Division Director approves
and signs the PCOR.

WPL Sites Involving Construction
Completion of physical construction means that the
final remedy, as determined by the ROD, has been
constructed at the site and a prefinal inspection has
identified only minor unfinished activities on  the
punch list.  When determining eligibility  for
construction completion, the RPM must anticipate
likely site progress as well as consider current site
status.  A site  with  a  significant  number of
outstanding work elements to be completed should
not be  categorized as  achieving construction
completion. Achieving construction completion does
not imply final acceptance by EPA.

After a site achieves construction completion status,
some minor tasks will remain before a site can move
towards site completion status (i.e., completing
remaining punch list items, conducting the final
inspection, achieving  operational and functional
status, and signing the final RA report). In  most
cases, the RPM should prepare a PCOR to document
construction completion. However,  sometimes  the
need for a PCOR is eliminated because remedial
activities at the site have progressed to the point
where  construction   and  site-completion
determinations occur simultaneously. In these cases,
the RPM  can rely on the FCOR  to satisfy the
documentation  requirements for both events.
Additional information on preparing an FCOR is
presented later in this section.
                                             85

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RD/RA Handbook
                                        Site Completion and Deletion Process
                                                          Does RA
                                                       at final operable
                                                         unit require
                                                         construction?
                                                                                             Complete construction
                                                                                              at final operable unit
       ,	i	!	             /
                                 Previous EPA-lead
                                    RA at site?
                                                                                                Conduct prefmal
                                                                                                  inspection
                                                                                                     Site
                                                                                                 construction
                                                                                                 criteria met?
                                                Draft no (further)
                                             action ROD, including
                                               FCOR certification
Draft no-action ROD
  including FCOR
    certification
                               Obtain state concurrence
             Prepare notice of intend to delete (NOID); obtain EPA HQ comments
            and Regional Administrator approval; compile deletion docket material
             Place deletion docket in Regional public docket and local repository
           Publish NOID in Federal Register (FR); publish local NOID in paper(s) of
                                 general distribution
                                        1.
               Provide 30-day public comment period; prepare responsiveness
               man/, if necessary, and place in Regional docket and local reposi
 summary.
repository
                                                                                 Determination of remedy as
                                                                                 operational and functional
                                                                                  Obtain EPA HQ and state
                                                                                  comments: obtain Region
                                                                                  and state peer comments
                                                                                   Incorporate comments
                                                                                        into FCOR
                        Prepare notice of deletion; publish in FR
                                                                                                Obtain Regional
                                                                                            Administrator's signature
                                                                                                   and send
                                                                                               FCOR to EPA HQ
                                                                                        ., M VMtt >*» V,
      NOTE: Shaded portion identifies the steps associated with achieving construction
             and site completion.

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                                                                  Chapter 5 • Federal-Lead Remedial Action
  Figure 5-9
      Contents of the Preliminary Closeout Report
   • Background of site conditions
   • Remedial construction activities
   • Discussion of QA/QC from cleanup activities
   • Final inspection
   • RA report and EPA approval
   • EPA/state joint inspection (may coincide with the
     final inspection)
   • Operational and functional periods
   • O&M period
   • Discussion of five-year reviews
                                        51-043-29

NPL Sites Not Involving Construction
At some NPL sites, EPA determines through the
remedial investigation/feasibility study (RI/FS) that
no remedial construction is necessary to protect
human health and the environment. If certain criteria
are met, construction and site completion can be
documented by completing one of the following:

•   no-action ROD
•   no-further-action ROD
•   limited-action ROD requiring no physical
    construction (i.e., a ROD with only
    institutional controls)

A site with a ROD that does not require construction
is considered to be a construction and site completion
site when the Regional Administrator approves and
signs the ROD. If the site is a no-action site where
EPA has never implemented an RA, the RPM does
not prepare a PCOR (or FCOR) and should instead
place the following certification in  the declaration
section of the no-action ROD:

"EPA has determined that its response at this site is
completed and no action/no  further action is
necessary at this site. Therefore, the site  now
qualifies for inclusion  on the  construction
completion list."

For sites with no-further-action RODs where EPA
has previously conducted RAs (triggering statutory
documentation requirements), the RPM may choose
either to prepare  an FCOR or  to document
compliance with statutory requirements in the RODs,
incorporating information normally included in the
FCOR and the certification mentioned above.

Sites with limited-action RODs not requiring
physical construction may achieve construction
completion when the Regional Administrator
approves and signs the ROD. The RPM does not
prepare a PCOR, but should instead place the
following certification in the declaration section of
the limited-action ROD:

"EPA has determined that its future response at this
site  does not require physical construction.
Therefore, the site now qualifies for inclusion on
the construction completion list."

The RPM may not declare  site completion at this
time since the site will include some future activities
such  as implementing the institutional control
requirements. An FCOR will thus be required (see
section 5.9.2).

5.9.2  Site Completion Activities
Site completion marks the end of remedial activity
at a site. A site must meet all four criteria below to
be eligible for site completion status:

•   Cleanup levels specified in all RODs are met
    and cleanup actions and other measures
    identified in all RODs are successfully
    implemented.
•   The constructed remedy is operational,
    functional, and performing according to
    engineering design specifications.
•   The site protects human health and the
    environment.
•   The only remaining site activity to be
    completed, if any, is O&M.

A site may meet the site completion criteria
following any one of a number of activities at a site.
For example, a site is eligible for site completion
following completion of the final OU of the RA, a
no-action ROD, or completion of a long-term
response action.  In order  to satisfy  these
requirements, an FCOR generally will be prepared.
However, in certain cases a final OU limited-action
ROD for a site that does  not require remedial
construction may be sufficient documentation to
satisfy site completion requirements (see section
5.9.1).
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RD/RA Handbook
   TheFCOR
   The FCOR is a detailed summary of site history,
   emphasizing the RD and RA. In general, the RPM
   prepares the FCOR but also may allow other parties
   to prepare it The FCOR is usually 12 to  15 pages
   long and should  summarize the information
   necessary to describe the activities performed and
   the results achieved. Figure 5-10 lists the types of
   information in an FCOR.

   The information needed to prepare the FCOR should
   be readily available from previous documentation
   of site activities such as the RA report, RI/FS, and
   ROD.
                           Since it is the final record of site remedial activities,
                           the FCOR must be complete and able to stand alone.
                           The  FCOR  provides  the  overall  technical
                           justification for site completion, and so must clearly
                           demonstrate how the remedial activities conducted
                           satisfy site completion requirements. After the FCOR
                           is prepared, the RPM submits a draft to EPA for
                           review. The state also must be given the opportunity
                           to review the FCOR and provide comment. However,
                           the state does not formally offer a signed concurrence
                           on the  report itself. Site completion is considered
                           final when the RegionalAdministrator approves and
                           signs the FCOR.
     Figure 5-10
             Chapter

      I.   Introduction

      II.  Summary of Site
          Conditions
      111.  QA/QC of Cleanup
          Activity

      IV.  Monitoring Results
      V.  Summary of O&M
          Activity


      VI. Protectiveness
      VII. Five-Year Review
      VIII. Bibliography
           Final Closeout Report Summary


                                   Contents

- General statement indicating successful execution of RA

- Site background
- Early actions performed
- RI/FS results
- ROD findings
- Design criteria
- Cleanup activities performed
- Community involvement activities performed

- QA/QC protocol followed
- Sampling and analysis protocol followed
- Results of on-site inspections

- Sufficient data available to demonstrate cleanup levels specified in the ROD or action
  memoranda have been achieved and implemented and remedies are performing to design
  specifications
- Brief documentation of monitoring required at no-action sites after the ROD is signed
  (should also be included in the administrative record)

- Assurance that O&M plans are in place and sufficient to maintain integrity of remedy
- Assurance that all necessary institutional controls are in place
- Assurance that O&M activities specified for the site will be performed by the state or PRP(s)

- Assurance that the implemented remedy (or no-action decision) achieves the degree of
  cleanup or protection specified in the ROD(s) for all pathways of exposure and that no further
  Superfund response is needed to protect human health and the environment
- Assurance that all areas of concern described in the NPL listing have been  adequately
  addressed

- Statement explaining whether a five-year review is appropriate, and if so, the type of review
  (statutory or policy) and review schedule
- Brief description of the results of any five-year reviews performed
- Assurance that the remedy is protective

- Complete citations of all relevant reports
                                                     88

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                                                                  Chapter 5 • Federal-Lead Remedial Action
5.9.3  Site Deletion Activities
The site is eligible for deletion from the NPL when
all of the site completion activities discussed in
section 5.9.2 are complete.  At this point, issues
surrounding placement of the site on the NPL have
been addressed, the threat to  human health and the
environment has been addressed, and the Superfund
process has completed its course. Site deletion
requirements ensure that  documentation and
verification of activities and decision-making at the
site are complete and the public has an opportunity
to comment before the site is formally deleted from
the NPL.

Section 300.425(e) of theAO* states that a site may
be deleted from or recategorized on the NPL when
no response/no further response is appropriate. The
RPM consults with the state in making this
determination. To delete a site from the NPL, EPA
must determine, and the state must concur, that one
of the following criteria has been met:

•   Potentially responsible parties (PRPs) or other
    persons have implemented all required
    response actions.
•   All appropriate Fund-financed response under
    CERCLA has been implemented, and no
    further response action by PRPs is
    appropriate.
•   The RI has shown that the release poses no
    significant threat  to public health or the
    environment, and therefore, taking of remedial
    measures is not appropriate.

Deletion of a site from the NPL does not preclude
eligibility for subsequent Fund-financed or PRP
actions. If future actions warrant, the NCP provides
that Fund-financed RAs may be performed at sites
deleted from the NPL. When there is a significant
release at a site deleted from the NPL, the site may
be restored to the NPL after rescoring the site on the
Hazard Ranking System. Additionally, enforcement
actions also may be taken, depending on liability
releases in the consent decree or administrative order.
The RPM should initiate the deletion process by
consulting with the  state and requesting its
concurrence with EPA's intent to delete the site from
the NPL. No site may be deleted from the NPL
without state concurrence. Once state concurrence
is obtained, the RPM prepares a deletion docket
containing all pertinent information supporting the
deletion recommendation. The RPM works with the
Superfund community involvement staff to ensure
that complete copies of the docket are placed in the
appropriate Regional and local repositories.

Notice of Intent to Delete (NOID)
The NOID informs the public of EPA's intention to
delete a site from the NPL. The deletion docket must
be complete before the Region publishes the NOID
in the Federal Register (FR) or local newspaper(s).
Site-specific information needed to prepare the
NOID should be available from the FCOR. Figure
5-11 lists the contents of a NOID.

The public has the opportunity to comment on the
intended NPL deletion during the 30-day comment
period that follows publication of the NOID. The
RPM is responsible for preparing a responsiveness
summary for all local and national comments
received. The responsiveness summary should
present  all  comments received during the public
comment period, paired with detailed responses to
the comments. The RPM must include a copy of the
responsiveness summary, approved by the Regional
Administrator, in the Regional docket and local
repository.

Notice of Deletion
The RPM then publishes the notice of deletion in
the FR. This notice states that all appropriate Fund-
financed responses  under CERCLA  have been
implemented and that no further response is
appropriate. The notice of deletion includes an
effective date, a Regional contact, and supplemental
site information. All NPL rulemakings subsequent
to the publication of this notice will reflect this
deletion.
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RD/RA Handbook
      Figure 5-11
              Chapter

         I.   Summary

         II.  Dates

         111. Addresses
         IV. Regional Contact
            Information

         V.  Supplementary
            Information
       Contents of the Notice of Intent to Delete

                                       Contents

Announcement of intent to delete

Dates of a 30-day period for submission of public comments

Name, address, and phone number of a Regional contact to whom comments should be sent;
address of Regional docket and local repository

Name, address, and phone number of a Regional contact for further information or questions


Information:  identification of site(s) to be deleted and a summary of information in the NOID


NPL Deletion Criteria:  List of the applicable NCP criteria and statement indicating that EPA
retains the ability to use Superfund authority at a deleted site if future conditions warrant such
action (40 CFR §300.425(e)(3))

Deletion Procedures: brief description of procedures followed to delete sites from the NPL

Bases for Intended Site Deletion(s): brief descriptions of the following items:
- Site history (location, former use, type of contaminants, FR citations of proposed and final
  NPL listing, and site conditions resulting in listing)
- All response actions taken, including scope of Rl (if applicable), general results, and
  conclusions regarding future performance of these actions
- Specific cleanup standards and criteria and results of all confirmatory sampling
- O&M procedures and site monitoring program
               •
- Reasons for needing five-year reviews, when appropriate, and plans for their execution, in
  accordance with EPA's plans for their execution, in accordance with EPA's requirements for
  protectiveness at the time of each future review
- Major community involvement activities
- How site meets deletion criteria
- Evidence of state concurrence with decision to delete site
                                                                                                               51-043-31B
                                                           90

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AppendkA
            Glossary

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                                                                                Appendix A • Glossary
Portions of this glossary have been reprinted from The Government Contracts Reference Book
(©1992) by Ralph C. Nash, Jr., and Steven L. Schooner, with permission from the Government
Contracts Program of George Washington University.
              Access Agreements
            Alternative Remedial
             Contracting Strategy
      Applicable or Relevant and
      Appropriate Requirements
                       As-Builts
Under CERCLA Section 104(e), EPA may obtain access to a
property to implement a remedial action.  EPA obtains
access through access agreements which must specify the
work to be performed and how the property will be restored
upon completion. Access agreements do not extend beyond
the owner that signs the agreement and are not necessarily
tied to the property deed.

EPA's approach to obtaining project management and
technical services to support remedial response activities at
National Priorities List sites. ARCS contracts are designed
to optimize quality, timeliness, and cost efficiency by: (1)
promoting continuity in site project management and
execution from remedial planning through construction; (2)
decentralizing contract management responsibilities by
placing authority and responsibility for management deci-
sions within Regional offices; and (3) implementing perfor-
mance incentives to the maximum extent possible by
awarding multiple contracts in each Region or zone and
using triennial ratings of contractor performance to deter-
mine the amount of work assigned to each contractor.

Federal, state, or local laws that apply to Superfund activi-
ties at NPL sites. Both emergency and long-term actions must
comply with these laws or provide sound reasons for allow-
ing a waiver. Applicable or relevant and appropriate require-
ments must be identified for each site relative to the charac-
teristics of the site, the substances found at the site, or the
cleanup alternatives being considered for the site.

See Record Drawings.
               Baseline Schedule
A rudimentary schedule that is established early as a frame-
wo'rk for the entire RD/RA process. Baseline schedule
information is entered into CERCLIS and updated as the
RD/RA process progresses.
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RD/RA Handbook
              Basis of Design Report
                  Biddability Review
                 Best and Final Offer
                           Bid Bond
                              Bidder
                       Bulk Funding
            Bulk-Funding Categories
The basis of design report is a detailed description of the
analyses conducted to select the RD. It is submitted during
the preliminary RD phase and is modified if necessary as the
design progresses. The basis of design report may contain a
summary and justification of design assumptions, the RA
contracting strategy, permits plan, easement and access require-
ments, and preliminary piping and instrumentation diagrams.
The USAGE term for the report is the design analysis report.
                                   !
Biddability is generally defined as the degree to which the
design documents can be understood, bid on (or offered),
administered, and enforced. The purpose of the biddability
review is to ensure that the construction package is free of
significant design errors, omissions, and ambiguities so that
prospective bidders can respond in a reasonable manner at a
reasonable cost.
                                   i
An offer submitted to the government in a competitive
negotiated procurement after written or oral discussions
have been conducted. The CO issues a request for BAFOs
to all offerers within the competitive range. Following
evaluation of the BAFOs, the CO selects the offer most
advantageous to  the government, considering price and other
factors included  in the solicitation. (The Government Con-
tracts Reference  Book)

A bond used frequently in public construction projects to
guarantee a bid.  A bid bond assumes that the bidder will not
withdraw a bid within the period specified for acceptance
and will execute a written contract and furnish required
bonds within the time specified in the bid. (The Government
Contracts Reference Book)
                                   \
One who submits a bid. While this term technically refers
only to  an offerer on a sealed bid procurement, it is fre-
quently used to refer to any offerer on a government pro-
curement—whether sealed bid, competitive negotiation, or
otherwise. (The Government Contracts Reference Book)

A system for COs to receive clearance from a fiscal and
accounting officer to obligate funds on purchase documents
against a specified lump sum of funds reserved for the
purpose for a specific period of time. FAR 13.101. (The
Government Contracts Reference Book)

Four bulk-funding categories are used hi RACs: (1) other
response/program support; (2)  site characterization; (3)
removal; and (4)  enforcement.  Money is obligated separately
to these bulk-funding categories.
                                                  A-2

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                                                                                  Appendix A • Glossary
E_
                  Changes Clause
                   Change Order
      Change Order Management
                         Strategy
    Claims Management Strategy
                        Closeout
        Commerce Business Daily
A mandatory clause that allows the government to change
contract terms unilaterally in certain situations. Under the
changes clause, work described in the contract may be
changed to adjust to actual conditions at the site.

A written order from the CO directing the contractor to
make a change without the contractor's consent, as autho-
rized under the contract's clause.  FAR 43.101. Contractors
must continue performance of the contract as changed
except that in cost-reimbursement or incremental funded
contracts the contractor is not obligated to continue perfor-
mance or incur costs beyond the established funding limits.
FAR 43.201 and 52.243-1 through -6. (The Government
Contracts Reference Book)

The internal procedures that the contractor uses to manage
change orders. The strategy identifies key personnel, lines
of authority, process for developing estimates, and negotia-
tion of adjustments to the schedule and budget. The internal
procedures of different contractors may vary,  but each
system should interface appropriately with EPA's change
orders procedures that are used to access the change order
reserve funds for the work assignment.

The procedures used to process contractor claims. Because
there usually is no privity of contract between EPA and the
constructor, the constructor usually does not pursue a claim
with EPA, unless the prime contractor allows  the constructor
to do so in the name of the prime contractor.

For government contracts, the process of settling all out-
standing contractual issues, ensuring that each party has met
all of its obligations, and documenting the contract file
accordingly. The primary objectives of contract closeout
are: (1)  to identify and resolve any outstanding obligations
or pending liabilities on the part of either the government  or
the contractor; and (2) to ensure that contract-related deci-
sions and actions have been properly documented. (The
Government Contracts Reference Book)

A daily publication of the Department of Commerce that
lists U.S. government solicitations, contract awards, subcon-
tracting leads, sales of surplus property, and foreign business
opportunities.
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RD/RA Handbook


            Communications Matrix
               Community Relations
                     Consent Decree
                   Contracting Party
             Constructability Review
            Construction Completion
              Construction Manager
A method the RPM can use to structure the communications
strategy.  The matrix identifies key team members and
documents how information will be distributed among the
members.
                                   I
Efforts to establish two-way communication between the
public and EPA to create a better understanding of EPA
programs and related actions.  These efforts, made early and
throughout Agency actions, ensure public input from af-
fected communities about issues concerning them. Specific
community relations activities are required for Superfund
remedial actions.

A legal document, approved by a judge, that formalizes an
agreement reached between litigants. In Superfund cases,
consent decrees establish the terms by which PRPs will
conduct all or part of a cleanup action of a Superfund site, cease
or correct actions or processes that are polluting the environ-
ment, or  otherwise comply with regulations where PRP
failure to comply caused EPA to initiate regulatory enforce-
ment actions.

The party that advertises, awards, and manages a contract.
Depending on the circumstances, EPA, an ARCS/RAC
contractor, or USAGE may be the contracting party.
A constructability review is performed to enhance the
"buildability" of the design. It allows for the evaluation of
the design for accuracy and completeness. In addition the
review provides an opportunity to eliminate impractical and
inefficient remedial action requirements as well as deficien-
cies hi contract documents.

The completion of all physical construction of the
remedy(ies) or the emplacement of the substantial physical
construction necessary to implement the selected remedy.
This is typically documented in a preliminary closeout report
after a prefinal inspection is performed and only minor
punch list items remain or when only nonconstruction
aspects of the remedy, such as institutional controls, need to
be implemented (see OSWER Directive 9320.2-3C and 58
Federal Register 12142).
                                   I
                                   I
Representative of the contracting party assigned to the site to
administer and oversee the construction contract.  The con-
struction manager performs the following roles: mediates
conflicts at the site, reviews and evaluates schedule deviations,
reviews and approves invoices, and administers the construc-
tion contract. The RPM communicates directly with the
construction manager (see resident engineer).
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                                                                                  Appendix A • Glossary
      Construction Superintendent
                      Constructor
            Contract Modification
           Cooperative Agreement
   Cost-Reimbursement Contracts
             Critical Path Method
EL
The official representative of the RA constructor. For a
remedial action, the construction superintendent manages
the equipment and materials, oversees the labor, coordinates
the subcontracting work, controls health and safety at the
site, and responds to communications from the contracting
party.

A contractor, usually a subcontractor, that performs the
construction work in a remedial action.

A written change in the terms of a contract.  FAR 43.101. A
unilateral or bilateral written change in the specifications,
delivery point, rate of delivery, contract period, price,
quantity, or other provision of an existing contract in accor-
dance with the contract clause. Examples include change
orders, notices of termination, supplemental agreements, and
exercises of contract options. (The Government Contracts
Reference Book)

A legal instrument used to transfer money, property, or
services to a state or local government or to another recipient
in order to accomplish a public purpose where substantial
involvement is expected between the government and the
recipient.  31 United States Code 6305. A cooperative
agreement is not subject to the FAR. (The Government
Contracts Reference Book)

Cost-reimbursement contracts provide for payment to the
contractor of all allocable, eligible, and reasonable costs
expended by the contractor in contract performance.  In
addition to the costs, most cost-reimbursement contracts
provide for the payment of a fee (profit) to the contractor.

A scheduling technique used by contractors to plan, coordi-
nate, and control work activities to complete contract work
as quickly and economically as possible. The critical path
represents the longest chain of interrelated activities in the
project schedule diagram. A delay in completing an item on
this critical path usually delays the entire project. (The
Government Contracts Reference Book)
          Data Quality Objectives
DQOs are used to formulate sampling plans for the RD/RA
field data collection effort.  DQOs are qualitative and
quantitative statements used to ensure that data of known
and appropriate quality is obtained during data gathering
activities. DQOs for RD and RA are detailed in the quality
assurance project plan for each activity and will vary de-
pending on the intended use of the data.
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RD/RA Handbook
                    Davis-Bacon Act
                      Demobilization



              Design Analysis Report

             Design Criteria Analysis
                    Design Drawings
       Detailed Design Specifications
The Davis-Bacon Act, 40 United States Code 276a, requires
payment of not less than prevailing wage rates to workers on
federal or federally-funded construction projects costing
more than $2,000.  FAR 22.403-1. (The Government Con-
tracts Reference Book)
                                   i
Period of time at the end of a contract or remedial action
when most closeout actions are completed, final invoices are
submitted, and government property is returned.

See basis of design report.

The analysis used to describe the technical parameters on
which the design will be based.  The analysis must be
submitted and approved prior to expending additional design
effort to confirm that the contractor is correctly interpreting
and translating ROD performance standards, applicable or
relevant and appropriate requirements, and engineering
standards and codes into site-specific engineering parameters.

Drawings showing the original design plan for a remedial
activity.
                                   i

Specifications that set forth precise measurements, tolerances,
materials, in-process and finished-product tests, quality
control measures, inspection requirements, and other spe-
cific information. Design specifications increase the
government's liability for claims that arise during contract
performance regarding design defects since the government
generally assumes responsibility for the correctness and
adequacy of design specifications.  Consequently, FAR
10.002 requires that functional and performance specifica-
tions be used instead of design specifications whenever
possible.
           Emergency Response Plan
                   Expenditure Limit
A required element in the overall site-specific health and
safety plan (HASP) that must be in place before commence-
ment of on-site operations.  The emergency response plan
includes arrangements for local fire departments, hospitals,
and police departments to provide coordinated and inte-
grated services throughout the project in the event of an
emergency.

The amount of dollars available to the contractor to expend
in performance of a particular work assignment. The
contract prohibits the contractor from exceeding the expen-
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                                                                        Appendix A • Glossary
                               diture limit (EL) without CO approval. The government sets
                               the EL when a work assignment is issued and adjusts it as
                               needed during the course of the work assignment to manage
                               the phasing and execution of the work.
Fast-Track Construction
       Feasibility Study
Federal Tort Claims Act
    Field Sampling Plan
   Fixed-Price Contract
  Fundamental Changes
Method of construction contracting under which the con-
structor begins building as soon as the foundation plans are
ready and a foundation permit has been issued, regardless of
whether the designer has finished designing the project.
Throughout work performance, the designer must keep
ahead of the constructor's progress in order to supply the
necessary plans and drawings before each stage of the construc-
tion is reached. (The Government Contracts Reference Book)

The analysis of the potential cleanup alternatives for a site.  The
feasibility study usually starts as soon as the remedial investi-
gation is underway.

An act, 28 United States Code 1346(b), 2401-2402, 2671-
2672, 2674-2680, permitting persons injured by negligent
conduct of the government to sue for damages in U.S.
district courts. Before filing suit in court, the injured party
must file for administrative relief with the agency involved.
(The Government Contracts Reference Book)

The field sampling plan provides guidance for all fieldwork
by defining in detail the sampling and data collection
methods to be used during the project. The FSP includes
sampling objectives, locations and frequency, equipment and
procedures, and sample handling and analysis and contains
an analysis of specific data gaps and ways in which the
sampling is designed to fill in the data gaps. The field
sampling plan and the quality assurance project plan are
routinely submitted as a single document, referred to as the
sampling and analysis plan.

A type of contract providing for a firm pricing arrangement
established by the parties at the time of contracting. The
contract amount usually is  adjusted only when work must be
added or deleted from the contract.  Superfund RA construc-
tion contracts may be issued as fixed-price contracts.

A fundamental change is a major change  in the selected
remedy that affects the ROD. When a fundamental change
is made, a ROD amendment must be prepared in accordance
with the procedures specified in the National Contingency
Plan, 40 CFR section 300.435(c)(2).
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RD/RA Handbook
                Gantt Chart Method
The Gantt chart is a bar chart that represents work activities
through a time-scaled bar line. The time scale is weekly or
monthly for as many years as the RD/RA project is sched-
uled to last.
            Hazard Ranking System
              Health and Safety Plan
HRS is the principal screening tool used by EPA to evaluate
relative risks to public health and the environment associated
with abandoned or uncontrolled hazardous waste sites.  HRS
calculates a score based on the potential of hazardous
substances spreading from the site through the air, surface
water, or ground water and on other factors such as nearby
population. The HRS score is the primary factor used to
decide if the site should be on the
A plan outlining the implementation of all federal, state, and
local requirements regarding human health and safety. Each
remedial contractor must submit a corporate health and
safety plan (HASP) and any site-specific HASP required by
an individual work assignment issued under the contract.
         Indefinite-Delivery Contract
                 Indefinite Quantity
      Independent Government Cost
                           Estimate
                                  II
A contract in which the time of delivery is unspecified in the
original contract but established by the contracting officer
during performance, (see FAR Subpart 16.5 ). (The Govern-
ment Contracts Reference Book)

A type of contract used when it is impossible to determine in
advance the precise quantities of supplies or services that
will be needed during a contract performance period.  The
method  of ordering work must be stated in the contract as
well as the minimum/maximum orders allowable during
each period.

A detailed estimate of the cost to the government for ser-
vices or supplies to be acquired from a contractor.  Cost
estimates are performed by the government and not by
contractors.  (EPA Independent Government Cost Estimating
Guide)
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                                                                                 Appendix A'Glossary
           Interagency Agreement
        Intermediate Design Phase
 A written agreement between federal agencies to provide
 support, services, or management setting forth the roles and
 responsibilities of each agency for performing and oversee-
 ing the activities or other services. Interagency agreements
 are commonly used to procure services of other federal
 agencies.

 The intermediate design phase commences at the completion
 of the preliminary design phase and ends with the comple-
 tion of approximately 60 percent of the design effort.
                   Level-of-Effort
        Local Emergency Planning
                      Committee
 A quantification of work in terms of the amount of effort
 expended, usually measured in labor-hours or labor-years.
 (The Government Contracts Reference Book)

 Superfund Amendments and Reauthorization Act, Title III,
 also known as the Emergency Planning and Community
 Right-To-Know Act, requires local governments to create a
 local emergency planning committee for Superfund sites.
 The committee should have in place a local contingency
 plan for coordinating police, fire, utility, and medical
 services in the event of an emergency.
                       Miller Act
                  Minor Changes
EL
The Miller Act requires the execution of separate perfor-
mance and payment bonds as a prerequisite to award of
construction contracts exceeding $25,000.  FAR 28.102.
(The Government Contracts Reference Book)

Minor changes have little or no consequence on the overall
scope, performance, or cost of a remedial project, and do not
affect the selected remedy outlined in the ROD. Minor
changes are recorded in the post-decision document file.
         Negotiated Procurement
A procurement in which the basis of the proposal evaluation
is a combination of technical merit and cost, rather than just
cost.
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RD/RA Handbook
      Non-Competitive (Sole-Source)
                        Procurement
                    Notice of Deletion
             Notice of Intent to Delete
                    Notice to Proceed
A contract for the purchase of supplies or services that is
entered into, or proposed to be entered into, by an agency
after soliciting and negotiating with only one source. As the
least favored method of procuring an item or service, non-
competitive procurement may be employed only in limited
circumstances, outlined in FAR part 6.3.
                                   j
A notice of deletion is a Federal Register notice that states
that all appropriate Fund-financed responses under CERCLA
have been implemented and that no further response is
appropriate. The notice also includes an effective date of the
deletion, a Regional contact, and supplemental site informa-
tion. All NPL rulemakings subsequent to the publication of
this notice will reflect the  deletion.

A notice of intent to delete is a Federal Register notice
informing the public of EPA's intention to delete a site from
the NPL. The deletion docket must be complete before  the -
Region publishes the notice in the Federal Register or local
newspaper(s). Site-specific information needed to prepare
the notice should be available from the site closeout report.

A notice to proceed initiates construction activity and the
date on the notice to proceed marks the formal beginning of
the construction project. The contracting party will issue a
notice to proceed sufficiently in advance of the required date
to provide the constructor adequate lead time.
                                Offer
                              Offerer
                   Operability Review
 A response to a solicitation that, if accepted, would bind the
 offerpr to perform the resultant contract. FAR 2.101. Re-
 sponses to an invitation for bids, in sealed bidding, are offers
 that are called bids or sealed bids.  Responses to a request
 for proposals, in negotiation, are offers that are called
 proposals. An offer may also take the form of an unsolicited
 proposal.
                                   i
 The party that makes an offer and looks for acceptance from
 the offeree. In government contracting, the offerer is the
 generic term for prospective contractors that submit bids,
 proposals, or quotations.
                                   |
 The objective of this  review is to determine whether the
 particular system or remedial facility will function in an
 optimal manner, as required by the design documents, and
 whether it can be maintained for its intended use. The
 operability review is  a specialized review where only
 operations and maintenance issues are examined.
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                                                                                  Appendix A • Glossary
      Operation and Maintenance
EL
 Operation and maintenance (O&M) activities are performed
 to protect the integrity of the remedy for a site. The state
 performs O&M after the site is transferred from the federal
 government to the state upon state and federal agreement
 that the remedy is operational and functional. An exception
 to this is active ground water restoration where EPA operates
 a pump-and-treat system for up to 10 years after the system
 has been declared operational and functional.
                   Payment Bond
       Performance Specifications
               Performance Bond
                    Permits Plan
                         Phasing
 A bond required by the Miller Act for all federal construc-
 tion contracts exceeding $25,000, that covers payment for
 labor and materials if a constructor is unable or refuses to
 perform its construction contract. A payment bond assures
 payments, as required by law, to all persons supplying labor
 or materials in. the prosecution of work provided for in the
 contract.  (FAR 28.001)

 Specifications that set forth operational characteristics for
 the desired result. The specifications are used to determine
 final product performance. When the contract contains
 performance specifications, the  contractor accepts general
 responsibility for product design and engineering and for
 achievement of the stated performance requirements.

 A contract bond required by the Miller Act for all federal
 construction contracts exceeding $25,000, that protects
 against loss due to the inability or refusal of a contractor to
 perform its construction contract. A performance bond
 secures performance and fulfillment of the contractor's
 obligation under the contract. (FAR 28.001)

 A plan listing the permits required and the strategy for
 complying with permit requirements.  The plan addresses
 substantive requirements and building and safety require-
 ments for an on-site RA as well  as off-site permits. The plan
 should present a schedule for obtaining all required permits
 before the RA begins.

 The division of a project into smaller work elements that can
 be implemented on different schedules, resulting in accelera-
 tion of the RD and RA. Phasing allows certain elements of a
project to be started ahead of others to reduce the hazards
present at the site or to complete simple prerequisite work
elements ahead of more complex and hazardous work ele-
ments.  All elements are addressed at the same time, but each
individual element has its own schedule and moves at its
own rate through the process.
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RD/RA Handbook
        Potentially Responsible Party
       Prefinal and Final Inspections
    Prefinal Construction Conference
               Prequalified Contracts
                Procurement Process
                   Progress Payment
                     Progress Report
            Project Management Plan
Entity that may be liable for the release of hazardous sub-
stances at a site. The government conducts a potentially
responsible party search as an early step in its enforcement
process, seeking to identify the generators, transporters,
owners, or operators of a site.

The prefinal and final inspections are standard construction
practices for closing out a contract. They are generally
conducted by the contracting party and constructor. These
inspections are often confused with the EPA/state joint
inspection requirement under the National Contingency
Plan. The contracting party and the constructor may agree to
invite both the RPM and the state to one of these inspec-
tions, however, to avoid the need to schedule a separate
EPA/state joint inspection.
                                   |
A prefinal conference, scheduled by the contracting party,
which should occur just before the construction work is
completed and is attended by EPA, the state, and the construc-
tor. The objective of the conference is to discuss procedures
and requirements for project completion and closeout.
                                   I
A contracting method that expedites the RD/RA process by
eliminating the solicitation  and audit requirements for site-
specific contracts.  Prequalified contracts require  approxi-
mately 30 to 60 days to initiate activities and delays due to
bid protests or bonding difficulties are eliminated. However,
this type of contract may reduce competition and may
increase the cost of the project.  EPA is the contracting party
for prequalified contracts.

The process by which the contracting party solicits bids (or
offers), evaluates the bids, selects a contractor, and awards
the contract.  The nature of the procurement process depends
on whether sealed bidding, negotiated procurement, two-step
sealed bidding, or non-competitive (sole-source) procure-
ment is used.
                                   I
A payment made as costs are incurred by the contractor
under a contract or  on the basis of percentage of completion
or achievement of a particular stage of work.
                                   I
Detailed progress reports from the contractor are required on
a monthly basis throughout the duration of the project. The
progress reports are  used by the RPM to monitor the contractor
activities and are usually submitted with the monthly invoices.

A strategy developed by the RPM for successfully delivering
a RD/RA project on time and within budget. The plan
documents the project management goals and operational
procedures and is updated periodically.
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                                                                                  Appendix A • Glossary
             Prompt Payment Act
                       Punch List
 Passed in 1982, 31 United States Code 3901 et seq., requires
 solicitations and contracts to specify payment procedures,
 payment due dates, and interest penalties for late invoice
 payments. The act is implemented by FAR Subpart 32.9 and
 OMB Circular No. A-125, Prompt Payment, August 19,
 1982. The government must make invoice payments and
 contract financing payments as close as possible to, but not
 later than, the due dates specified in the contract (generally
 30 days after receipt of a proper invoice, 14 days for con-
 struction contract progress payments). Agencies pay an
 interest penalty for late invoice payments or improperly
 taken discounts for prompt payment.

 A list of work that must be corrected or completed to satisfy
 contract requirements for a construction project.
                Quality Assurance
   Quality Assurance Project Plan
                  Quality Control
E_
      Real Estate Planning Report
Tasks performed to monitor or improve an organization's
quality and quantity of output. QA may include a planned,
systematic pattern of actions taken to provide adequate confi-
dence that sufficient technical requirements are established,
that products and services conforms to those requirements,
and that satisfactory performance is achieved.  FAR 246.101.

The QAPP describes the policy, organization, functional
activities, and quality assurance/quality control protocols
necessary to achieve data quality objectives.

Tasks performed by individuals inside an organization to
improve the quality of the organization's output. Govern-
ment contracts may call for the contractor to provide a QC
system that ensures that the work meets contract require-
ments. QC generally includes: (1) setting cost, performance,
safety, and reliability standards; (2) comparing the offered
product or service with house standards; (3) taking correc-
tive action when necessary; and (4) planning for improve-
ments. (The Government Contracts Reference Book)
A report describing property needs for the RD/RA project,
based on information received from the designer. The report
includes analysis of costs should EPA choose to acquire a
property or an interest in property. USAGE automatically
develops a real estate planning report for all remedial
designs it performs or manages.
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RD/RA Handbook
                  Record of Decision
                   Record Drawings



                    Remedial Action


        Remedial Action Constructor

                    Remedial Design



              Remedial Investigation
          Remedial Project Manager
                Request for Proposal
                   Resident Engineer
        Response Action Contracting
                            Strategy
A public document that explains which cleanup
alternative(s) will be used to clean up sites listed on the
NPL. It is based on information generated during the RI/FS
and consideration of public comments and community
concerns.
                                   i
Design drawings also called "as-builts," which show how
the original design has been modified by actual changes
during construction.

The actual construction or implementation phase of a
Superfund site cleanup following RD.
                                   |
                                   i
The contractor that performs RA construction.
                                   i
A phase of site cleanup where engineers design the technical
specifications for cleanup remedies and technologies, as
specified in the ROD.
                                   i
An in-depth study designed to gather the data necessary to
determine the nature and extent of contamination at a
Superfund site, establish the criteria for cleaning up the site,
identify the preliminary alternatives for cleanup actions, and
support the technical and cost analyses of the alternatives.
The remedial investigation is usually done with the feasibil-
ity study.

The EPA official responsible for overseeing cleanup actions
at a site. (NPL Glossary)

A solicitation for proposal containing performance require-
ments, a description of the evaluation criteria, and the basis
of award. Requests for proposals are advertised in the
Commerce Business Daily.
                                   ,\
A design firm employee that serves as the designer's repre-
sentative during construction, installation, and start-up
phases of activity. The resident engineer, as a continuous
presence at the site, acts directly on behalf of the designer
and reports to the designer's contracting party. When
USAGE is managing the RA, resident engineer is also the
term used for staff that perform construction manager
functions (see construction manager).
                                   i
EPA's strategy designed to balance program needs and
strategy objectives.  The strategy includes: (1) an integrated
"one program" approach to enforcement and site cleanup;
and (2) greater flexibility, improved oversight, and cost
management through decentralization of contract manage-
ment responsibilities to the Regions.
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                                                                        Appendix A • Glossary
         Scope of Work


        Sealed Bidding
      Service Contract
   Significant Changes
  Site Closeout Process
Site Management Plan
 The scope of work is based on the ROD and delineates the
 work to be performed at the site.

 A procurement in which the contract is awarded to the
 lowest responsive and responsible bidder. The work is
 described in detail so the bidders understand fully what is
 required of them for the price of the bids since the bids
 become the basis for a fixed-price contract. Sealed bidding
 typically results in lower costs for the government and a
 shorter bid review time  period since no technical evaluations
 are necessary.  (The Government Contracts Reference Book)

 A contract that directly engages a contractor's tune and
 effort to perform an identifiable task rather than to furnish an
 end product. FAR 37.101. A service contract may be either
 a personal services contract or a nonpersonal services
 contract and can cover services performed by either profes-
 sional or nonprofessional personnel on either an individual
 or an organizational basis.  Service contracts include those
 for: (1) maintenance, overhaul, repair, servicing, rehabilita-
 tion, salvage, modernization, or modification of supplies,
 systems, or equipment; (2) routine recurring maintenance of
 real property; (3) housekeeping and base services; (4)
 advisory and assistance  services; (5) operation of govern-
 ment-owned equipment, facilities, and systems;  (6) commu-
 nications services; (7) architect-engineer services; and (8)
 transportation and related services. (The Government
 Contracts Reference Book)

 Significant changes have a significant effect on the scope,
 performance, or cost of the remedy contained in the ROD
 and are documented in an "Explanation of Significant
 Differences", as required by CERCLA Section 117 (c).
 Depending on the nature of the change, a public comment
 period may be warranted.

 The site closeout process consists of the activities that are
 required to document that all Superfund response action is
 complete and the site can be deleted from the NPL. Site
 completion requirements were developed to provide a
 definable endpoint to Superfund cleanup activities as well as
 to satisfy the National Contingency Plan requirements for
 site deletion.

 The site management plan describes how access  issues,
 security, contingency procedures for accidents, management
responsibilities, and waste disposal are to be handled.
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RD/RA Handbook
                   Site Security Plan
              Source Selection Award
    State Memorandum of Agreement
            Superfund State Contract
                  Statement of Work
                           Submittal
                Submittal Procedures
                   Submittal Register
The site security plan is required before mobilization at the
site to prevent the public from having access to potential site
safety hazards and to prevent the theft of or damage to the
facilities.
                                   i
A solicitation process in which a contract is awarded to the
proposal with greatest value score regarding cost and
technical merit.

The state memorandum of agreement, as described in 40
CFR Part 300.505 of the NCP, details state and EPA roles
and responsibilities for response actions.

The Superfund state contract is signed by EPA and a state
and contains any terms that the parties agree to and the terms
for implementing the CERCLA Section 104 requirement that
the state 1) provide a cost-share in the cost of the remedial
action, and 2) conduct all operation and maintenance activi-
ties at the site.

Describes the actual work to be done by the contractor by
means of specifications or other minimum requirements,
quantities, performance dates, time and place of perfor-
mance of services, and quality requirements. The SOW is
the basis for a contractor's response to a solicitation, and
provides a baseline against which progress and subsequent
contractual changes are measured during contract perfor-
mance. (The Government Contracts Reference Book)
                                   }
Also referred to as a deliverable, a submittal is a product or
service that is prepared for and submitted to the government
under terms of a contract, delivery order, or work assignment.
Formal procedures for the transmission of submittals and
shop drawings from the constructor to the contracting party
for review and approval.
                                   |
A register that may be used by the RPlvI as a tool when
tracking submittals.
    D
                  Technical Direction
 Technical direction is guidance given by the government to the
 contractor on how to perform task(s) within the scope of work
 of the contract or work assignment. Technical direction is
 usually issued to an EPA contractor to assist the contractor in
 accomplishing the work assignment statement of work or to
 comment on and approve deliverables.
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                                                                                  Appendix A • Glossary
           Technical Review Team
     Time-and-Materials Contract
       Total Quality Management
                Treatability Study


         Two-Step Sealed Bidding
EL
A team whose primary responsibility is to assist the RPM in
reviewing technical deliverables. The complex nature of a
typical RD/RA requires in-depth knowledge of a variety of
engineering and other scientific disciplines, so the RPM
assembles and coordinates a team of individuals with the
appropriate backgrounds. Members of the technical review
team may be from EPA, other federal agencies, state agen-
cies, local government agencies, or EPA contractors.

A cost-reimbursement contract used when it is not possible
to estimate accurately the scope (extent or duration) of work
required at the time of contract preparation.  The contract
calls for provision of direct labor hours at an hourly rate and
the provision of materials at a designated cost.

A management philosophy intended to provide the founda-
tion for a continuously improving organization by encourag-
ing employees to focus their attention on means of improving
efficiency and effectiveness.

Testing a treatment method on contaminated ground water,
soil, etc., to determine its effectiveness.

A procurement method that combines competitive proce-
dures to obtain the benefits of sealed bidding when adequate
specifications are not available. FAR 14.501. Technical
proposals are submitted in the first step, and offerers that
submitted acceptable proposals submit sealed bids in the
second step. This method is especially useful in the request
for submission, evaluation, and discussion of technical
proposals.  No pricing is involved in this bidding technique.
(The Government Contracts Reference Book)
  Unilateral Administrative Order
                   Unit Price List
A legally binding document issued by EPA, directing PRPs
to perform site cleanups or studies (EPA generally does not
issue unilateral orders for site studies). This type of order is
not signed by the PRPs and does not require approval by a
judge.

The unit price and lump sum pricing lists for each bid item.
                                              A-17

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RDIRA Handbook
                  Value Engineering
   Value Engineering Change Proposal
            Value Engineering Screen
A formal technique by which contractors may (1) voluntarily
suggest methods for performing an RD/RA more economi-
cally and may share in any resulting savings, or (2) be
required to establish a program or identify and submit to the
government methods for performing more economically.
EAR 48.101(a).  The object of value engineering is to reduce
costs in the design or construction of a project without
compromising its quality or functionality. (The Government
Contracts Reference Book)
                                  |
A constructor's proposal to make changes to the RA con-
struction that, if implemented, will save money without
compromising quality or performance. Constructors de-
velop and submit value engineering change proposals
(VECPs) on a voluntary basis. As an incentive to submit
VECPs, the constructor shares with the government any cost
savings realized from accepted VECPs.
                                  j  .
An evaluation of cost and function relationships in an RD/
RA project, concentrating on high cost areas. The product of
the screening is a recommendation for or against a full-scale
value engineering study.  If approved, the screening should
be performed as soon as practicable during the preliminary
design phase, and the results should be submitted to EPA.
    W,X,Y,Z
                   Work Assignment
             Work Assignment Form
           Work Assignment Package
A written order for work issued by the government to a
contractor under a work assignment (WA)-type contract. A
WA designates the government WAM and generally con-
tains: background for the requirement, scope of work, time
schedule, deliverables, period of performance, reference to
the applicable section of the contract statement of work,
level-of-effort, documentation requirements, and any
restriction on travel, printing, or other activity.

A one-page form used to initiate and track a work assign-
ment.

To initiate a new work assignment (WA), the WAM must
prepare a WA package, which includes the following items:
(1) WAform, (2) statement of work, (3) independent govern-
ment cost estimate, (4) WAM designation form 1900-65, (5)
procurement request (EPA Form 1900-8), and (6) contractor
selection notice.
                                                 A-18

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                                                                           Appendix A • Glossary


Work Breakdown Structure       A display of a contractual statement of work or an organiza-
                                  tional chart depicting the necessary hardware, software, and
                                  services required in contract performance. The structure
                                  divides the work required under a contract into logical
                                  segments to help track progress and performance cost. (The
                                  Government Contracts Reference Book)

                Work Plan       The work plan is the contractor's response to a government-
                                  issued work assignment (WA). The work plan describes the
                                  project goals, technical approach to be used by the contractor,
                                  tasks and deliverables, delivery schedule, and proposed
                                  personnel (including resumes), equipment, subcontracting,
                                  and other special requkements of the WA. It also includes a
                                  detailed cost estimate outlining in detail what the contractor
                                  believes will be the WA performance costs.
                                        A-19

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Appendk B
          Transmitted Forms

-------

-------
EPA Contractor Transmittal Register*
Project Title and Location
Subtask No.














Deliverable














No. of Copies














Due Date














Contract No.
Transmittal No.














Date Comments
Sent To
Contractor














Work Assignment No.
EPA
Acceptance
Date














Remarks














                                                                                                                                                                      3
                                                                                                                                                                      a.


                                                                                                                                                                      00
*For use by the RPM/WAM to record and track deliverables submitted by the contractor.
51-043-32B0)

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Transmittal of Documents for Acceptance by EPA*
To:
Subtask No.











Date:
From:
Deliverable











No. of Copies











Transmittal No.
Q New Transmittal
Q Resubmittal of
Transmittal No 	
Remarks











Acceptance Action
Documents Found Acceptable (list by subtask no.)
Name/Title/Signature of Reviewer
Date
*For use by the contractor when submitting a deliverable to the RPM/WAM.
                                                                                                                                                   51-04W2B(2)

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Appendk C
      Design Review Checklists

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-------
                                                                      Appendix C • Design Review Checklists


 Biddability Review	__


 Definition

 Biddability is generally defined as the degree to which the design documents can be understood, bid on,
 administered, and enforced. The purpose of the biddability review is to ensure that the construction package
 is free of significant design errors, omissions, and ambiguities so that prospective bidders can respond in a
 reasonable manner and at a reasonable cost.  In this review, the actual design is analyzed for consistency
 with the bid documents.  The bid and design documents should be clear, comprehensive and manageable.
 The review also should assure that the bid documents provide a firm basis against which any claims may be
 evaluated.

 Review Team

 The contracting party is responsible for having the appropriate design reviews conducted. In-house reviews
 may be conducted if the requisite expertise is available or reviews may be sent to another agency or contrac-
 tor.  The designer should be awarded the review task if independent and objective reviews can be conducted.
 The biddability review focuses on the bid documents that accompany the drawings and specifications. The
 review is conducted by a review team of members fully experienced in contracting procedures and procure-
 ment regulations  and policies. It is unnecessary to solicit review input from each of the engineering disci-
 plines having design responsibility on the project

 Timing of the Review

 The initial screening may occur at the completion of the intermediate design, but contract documents gen-
 erally are not prepared until later. An earlier review may hamper the designer by disrupting the design effort
 and forcing premature contract package development. The detailed review should coincide with the prefinal
 design submittal to the contracting party. The review, when combined with other types of reviews (oper-
 ability, constructability, claims prevention, and environmental), should take an average of five to ten work-
 ing days.

 Scope of the Review

 The drawings and specifications serve three basic functions in project construction. First, they describe the
 proposed work so that bids can be compiled. Second, they establish the rules and guidelines for procuring
 materials and performing the construction. Third, they act as contractual documents in case of litigation.

 A review of drawings and specifications during a biddability review is not done to determine their technical
 accuracy. Rather, this review focuses on the completeness and clarity of information. The drawings and
 specifications should provide adequate information of existing site conditions to enable the constructor to
 anticipate any problem areas. All data available to the designer should be available, at least by reference, to
prospective  bidders. Availability of utilities, adequacy of space for work areas, and disposal of excess
material are all considerations that must be addressed in the drawings and specifications. Technical respon-
 sibilities  of the constructor and contracting party for quality control, and requirements for submittal and re-
view of deliverables must be clearly defined for each phase of work.

Unlike drawings,  specifications typically include language from contract administration and non-technical
provisions such as those found in the form of General and Special Conditions. These specification sections
should be checked carefully, particularly regrading constructor submittal requirements, changed conditions,
progress payments,  and schedules. A sample checklist of remedial action (RA) bid documents is included
                                               C-1

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RD/RA Handbook
                                                                               I

   in this appendix as Attachment I. Contract development or legal counsel are the most qualified reviewers
   for these portions of the reviews.

   The proposed RA schedule should include milestone dates and logic ties, particularly when multiple con-
   structors must interface with each other.  Experienced engineers with construction backgrounds can aid hi
   evaluating the feasibility of performing the work within reasonable time-frames, and can assist in develop-
   ing more logical and more biddable schedules.           ;

   The bid forms themselves should be examined for items such as logical organization (e.g., all earthwork bid
   items should be grouped together), proper units for bid item quantities, adequate definition of scope of each
   bid item, and appropriateness of estimated quantities and adequacy of the bid period.  The reviewers must
   examine the contract documents from a constructor's viewpoint. The contract should fairly allocate risks
   between the constructor and the contracting party, to minimize the contingency included in the bid amounts.

   The designer's interpretation of geologic data and the conditions expected to be encountered during con-
   struction should be provided in the specifications. Any interpretations made by the designer in assessing
   data along with the significance and associated implications for construction must be included. The speci-
   fications should also define those areas where uncertainties exist that may require changes during construc-
   tion.
   The use of "as directed" statements and disclaimers should be avoided whenever possible. "As directed"
   provisions allow for work under the contract that cannot be  fully specified  until the work is under way.
   Excessive use of these statements can infer greater unknowns  and constructor risk than appropriate, result-
   ing in higher bids.
                                                                               1

   General Overview
                                                                               !
   The purpose of the review is to check the final design for the following:

     •   Clarity and simplicity of the bid schedule
     *   Appropriateness of contract sequencing, relationship to other work, and contract performance
         period
     •   Real and possible conflicts among the drawings, specifications, bid forms, including terms and
         conditions
     •   Completeness and clarity of the bidding instructions

     •   Clear guidance for measurement and payment
     *   Established criteria for RA contract award
     •   Clear guidance for contract completion requirements, including penalties, rewards and incentives

     •   Clear guidance for change order administration
                                                                               ii
     •   Clear guidance for disputes resolution
                   .                                                            i
     •   Appropriateness and consistency of material quantity units
                      i •            •                                    '         I
   A checklist is attached to provide additional detail to assist in a biddability review.
                                                  C-2

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                                                       Appendix C • Design Review Checklists

                         Attachment I
           Checklist of Remedial Action Bid Documents
Q       Index of Bid Documents
Q       Advertisement for Bids
Q       Instructions to Bidders
Q       Bid Form
O       Addenda Acknowledgement
Q       Bid Bond
Q       Certificate of Surety
Q       Acknowledgment of Principal Form
Q       Non-Collusion Affidavit
Q       Certification of Nondiscrimination in Employment
Q       Certification of Nonsegregated Facilities
Q       Authority to Execute Agreement
Q       Form of Agreement
Q       Performance Bond Form
Q       Payment Bond Form
Q       Certificate of Ability to Obtain Insurance
Q       General Conditions
Q       Supplemented General Conditions
Q       Federal Requirement and Agreement Provisions
Q       Davis-Bacon Wage Rate Determinations
Q       General Agreement Requirements (Special Conditions)
         Q      Scope of Work
         Q      Control of Materials
         Q      Utility Coordination Requirements
         Q      Project Supervision Requirements
         Q      On-Site Inspection Procedures
         Q      Safety Requirements, Responsibilities
         Q      Emergency Procedures
         Q      Progress Schedule
         Q      Payment Procedures (Measurement, Payment)
         Q      Change Order Procedures
         Q      Correspondence Distribution
         Q      Submittal, Processing Procedures   ;-
Q       Technical Specifications
Q       Drawings and Plans (certified by a Professional Engineer)
Q       Supplemental Data (e.g. geologic data, hydrologic data)
                                                                                  51-04342
                             C-3

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RD/RA Handbook
^EPA Design Review Checklist
Project Title & Location:
Design Phase:
Q Preliminary
Q Intermediate
Q Pre-Final/Final
Document Reviewed
(Section/Paragraph)

















Item No.

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Reviewer:
Name
Organization
Telephone Date
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
BIDDABILITY
Are specification divisions appropriate and per CSI format?
Are substitutions allowed as an "engineer (or owner) approved
equal" to allow flexibility during construction?
Have the appropriate material and equipment standards been
specified?
Does the review confirm that no sole source or brand name material
or equipment has been specified?
Are terminologies and notations consistent among drawings,
specifications, bid items?
Have appropriate construction techniques been specified?
Are cross references of drawings to specifications complete and
accurate?
Has a description of materials and/or facilities provided by owner
been included?
Has a description of items of work provided by each contractor for
multiple contracts been provided?
Have the quality control responsibilities of contractor and quality
assurance by owner been adequately addressed?
Have all submittal requirements (content, schedule) been identified,
and are they appropriate?
Has owner review period for each submittal been identified, and is
it reasonable?
Is the construction schedule feasible and clearly defined with
schedule interface points identified?
Have completion times for distinct phases been specified?
Are the drawings complete (i.e., sufficiently detailed, clearly define
the work)?
Are specifications complete?
Acceptability
Yes

















No

















N/A

















                                                  C-4

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                          Appendix C * Design Review Checklists
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)













Item No.
17
18
19
20
21
22
23
24
25
26
27
28
29
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
Should supplemental data be referenced on drawings or
specifications? If so, has it been provided?
Have the cost/schedule monitoring requirements (i.e., progress
reports) by contractor been clearly identified?
If off-site disposal of material by the contractor is required, have the
contractor's responsibilities been clearly identified?
Has the division of work been clearly identified at contractor interfaces,
where more than one contractor will be working at the site?
Does the bid package include all of the appropriate bid documents
(see biddability review in this attachment)?
Is the structure of the bid form appropriate (i.e., are bid sections
coordinated, defined, unambiguous)?
Do all bid items have appropriate units for measure and payment
and are they consistent with the specifications?
Is the scope of work for each bid item clearly defined?
Has the accuracy of bid quantities for the work defined been verified?
Are the bid expiration periods stated and reasonable?
Have the criteria to be used as the basis for awarding the contract
been clearly specified?
Has a review to ensure all the appropriate standard construction
contract clauses been conducted?
Do the contract documents specify when ownership of contractor
built or installed facilities transfers to the government or to the state?
Acceptability
Yes













No













N/A













                                                  51-043-41A(2)
C-5

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RD/RA Handbook

   Operability Review
   Definition
   The objective of this review is to determine whether the particular system or remedial facility will function
   in an optimal manner, as required by the design documents, and whether it can be maintained for its in-
   tended use. The operability review is a specialized review where only operations and maintenance issues
   are examined.


   Review Team
   The contracting party is responsible for having the operability review conducted.  This review may be
   conducted by the contracting party, using in-house resources, an outside agency, or the designer, if an inde-
   pendent and objective review can occur. This review focuses heavily on process engineering, so the con-
   tracting party should ensure that the appropriate team is available.
                 '•    ,                                                         i
   Timing of the Review
                 i!               •                                     ,         i|
   The review should be on a continuous basis from the start of the design phase.  Under ideal circumstances,
   the reyiew should be an ongoing review performed at key points - preliminary, intermediate, and prefinal
   design phases.  By using this approach, the focus of the review can change as the design develops.  An
   example would be the review of the process or facility layouts in the Design Criteria Analysis. Adjustments
   could be suggested early in the process without causing major redesign cost.
                  :    J                                                '' •        I

   Scope of the Review
   An operability review assures that the completed project will conform to applicable performance and opera-
   tions requirements by asking:
     «  Does the operation and maintenance manual conform with the drawings and specifications?
     •  Are the requirements stated for equipment, installation, adjustment, etc.?
                      '!                                                         il
     •  Are the specifications complete for pre-startup, checkout, and post-startup optimization?
     »  Have the warranties, guarantees, or other contractual requirements applicable to operation  and
        maintenance of the project been reviewed?
   Components of the design that should be evaluated to address the questions noted above are:

     1. Process and Instrumentation Diagrams
                                                                               II
     2. Facilities and Process Equipment Layouts
     3. Specifications review, to include General and Supplemental Conditions Review and Equipment
        Specification, Mechanical Specification, and Electrical Specification reviews

   A checklist is attached to provide additional detail to assist in an operability review.
                                                 C-6

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                          Appendix C • Design Review Checklists
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)


















Item No.


1
2
3
4
5
6
7
8
9
10

11
12
13
14
15
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
OPERABILITY
Process and Instrumentation Diagrams
Are the various components in the overall process train compatible?
Is the process reliable? If not, have back-up systems been provided?
Have the critical sampling points for process monitoring been
identified?
Does it appear that the proposed treatment system can be operated
efficiently without the need for highly specialized training?
Are the operating requirements compatible with the intended levels
for the proposed process?
Have control panels been centralized at one location? If not, is
staffing adequate to man several posts?
Have alarm systems or comparable warning systems been provided
in case of mechanical breakdown or system upset?
Does the selected equipment meet special needs (i.e., long term
operation, acidic waste, low feed rates, etc.)?
Are there provisions for expansion if additional treatment capacity
is required?
Is sufficient data collection and monitoring planned?
Facilities and Process Equipment Layouts
Are the process equipment and local control panels placed so the
operator has easy access?
Have special materials, handling problems, (debris, dust, tree
roots, wet soils, clay, etc.) been identified and addressed?
Are the items requiring routine maintenance accessible?
Are sampling valves and equipment accessible for operation checks
and for preventive and demand maintenance? (If the equipment
is hard to reach, it may not be maintained in a proper manner)
Have washdown and housekeeping requirements been specified?
Acceptability
Yes


















No


















N/A


















                                                  51-043-41A(3)
C-7

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RD/RA Handbook
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)




















Item No.

16
17
18
19

20
21
22
23

24
25
26
27
28
29
30
31
32
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
Specifications Review
Have the performance testing requirements for process equipment
been specified?
Are equipment manufacturers' and constructors' warranties and
guarantees required, and are they of reasonable duration?
Have the specific procedures for handling latent defects in process
equipment been specified?
Do specifications address compliance with equipment safety codes?
General Requirements
Do the design documents specify submittal requirements for the
equipment supplier O&M datasheets and for test results from factory
tests?
Do the specifications include a requirement for completion of the
O&M manual and a description of the type of equipment manufacturer
services that will be required during the training start-up phase?
Do the specifications include the responsibilities of the constructor
during the start-up phase?
Do the specifications include the necessary requirements for training
maintenance personnel?
Equipment Specifications
Have factory testing requirements been specified?
Have installation requirements, alignments, adjustments, and
lubrication requirements been addressed?
Have functional field testing requirements been specified?
Are there requirements for equipment labeling?
Has a list of manufacturer's recommended spare parts and special
tools been specified?
Have requirements for manufacturers' certification or proper
installation and performance been specified?
Have detailed manufacturer service requirements, including number
of days spent on site and number of trips, been specified?
Have types of sampling equipment and their applications been
included?
Is any of the equipment or are any of the materials more elaborate
than needed (i.e., can other standard or off-the-shelf items be
specified)?
Acceptability
Yes




















No




















N/A




















                                                                                                       51-043-41A(4)
                                                          C-8

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                          Appendix C • Design Review Checklists
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)












Item No.

33
34
35
36

37
38
39
40
41
42
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
Mechanical Specifications
Do mechanical specifications comply with state and local codes?
Have test pressures been specified for piping?
Does the valve and specialty list include pressure ratings?
Is equipment soundproofing needed and specified?
Electrical Specifications
Have a sufficient number of 100 and 220/440 outlets (provided for
maintenance purposes) been specified?
Is the system properly grounded?
Has cathodic protection been provided for equipment?
Is lighting adequate for O&M functions?
Has conformance with state and local electrical codes been specified?
Has power surge protection for equipment been specified?
Acceptability
Yes












No












N/A












                                              S1-043-41A(S)
C-9

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RD/RA Handbook
   Constructability Review
   Definition
   A constructability review is performed to enhance the "buildability" of the design. It allows for the evalu-
   ation of the design for accuracy and completeness. In addition, the review provides an  opportunity to
   eliminate impractical and inefficient remedial action (RA) requirements as well as deficiencies in contract
   documents. The review must be thorough enough to ensure that drawings, technical specifications, and bid
   forms are unambiguous and compatible with each other.  Projects designed with constructability in mind
   will result in the lowest possible contract price with a minimum risk to all parties. Attention to constructability
   also allows timely completion of the project with a minimum of contractor claims.


   Review Team
                                                                               i
   The review should be conducted by individuals and organizations knowledgeable in construction tech-
   niques, materials, equipment application, and design requirements.  This review could be performed using
   EPA in-house resources, another agency, or a contractor, as long as the review is impartial.  The review team
   should devote approximately five to ten working days reviewing and discussing the design  documents. A
   formal report is prepared to document review results.


   Timing of the Review

   The constructability review should be considered an interactive process, one that first occurs in the early
   design phases in order to be of optimum value. At the preliminary design phase, the constructability screen-
   ing might consist of an initial brainstorming session to discuss various aspects of the proposed concepts,
   such as general accessibility, procurement policies, as well as a cursory review of sketches  or preliminary
   drawings. At the intermediate design phase, the screening can be enhanced to include more detailed review
   of the drawings and specifications, including more specific information regarding construction methods
   and installation details.  The most comprehensive review occurs upon submission of the prefinal design to
   the contracting party.  However, as constructability is the focus of the earlier design efforts, this last review
   should proceed without surprises.

                                                                               !
   Scope of the Review
   The design documents critiqued during a constructability review fall into the two major categories: draw-
   ings (civil, electrical,  mechanical) and specifications (construction activities). Drawings are the primary
   source of guidance in the field for the RA, portraying the physical aspects of the facility or structure and
   showing the arrangement, dimensions, details, materials, and other information necessary for building the
   project.  Reviewers must rely on their own experience hi then- disciplines  to evaluate  the drawings for
   clarity, completeness, compatibility with specifications, and ability to be understood by field personnel.
   Spot checks of drawings should be done for sensitivity of the design to construction.
                                                                               !
   In evaluating  the specifications, reviewers determine that the specifications are sufficient to effectively
   communicate engineering information, quality control, performance periods, submittal requirements, and
   the relationship to other work.

   When the review is complete, the review team should be prepared to answer  the following:
                                                  C-10

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                                                                       Appendix C • Design Review Checklists


  •   Are there any potential construction constraints imposed by the site or unusual site conditions
      which could affect the RA?

  •   What is the availability of local materials and possibility of procurement/schedule difficulties
      caused by long-lead items?
  •   What are the seasonal constraints and how will they affect the RA?

  •   Is there an accurate depiction of design structures and existing site conditions such as access,
      storage and utilities?
  •   Is there a lack of prescribed procedures for critical work or excessive detailing on drawings?
  •   Evaluation of accuracy of any estimated quantities?

A checklist is attached to provide additional assistance when performing the constructability review.
                                                C-11

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RD/RA Handbook
Design Review
Project Title & Location:
.1
Document Reviewed
(Section/Paragraph)






Item No.

1
2
3
4
5
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
CONSTRUCTABILITY
Are there any potential construction constraints imposed by the site
or unusual site conditions which could affect the RA?
Are the seasonal constraints that will affect the RA identified?
Is there an accurate depiction of design structures and existing site
conditions such as access, storage and utilities?
Is there a lack of prescribed procedures for critical work, excessive
detailing on drawings?
Have existing utility locations been identified (water, sewer, electrical,
telephone)?
Acceptability
Yes






No






N/A






                                                        C-12
                                                                                                        51-043-41 A(6)

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                                                                     Appendix C»Design Review Checklists


 Claims Prevention  Review	_^


 Definition

 A claims prevention review eliminates conflicts, inconsistences, ambiguities, errors, omissions, or other
 identifiable problems in the drawings and specifications and contract documents that are subject to contract
 modifications and constructor claims. A construction claim is a written demand or assertion to the contract-
 ing party by the constructor seeking, as a matter of right, additional money, a time adjustment, or other
 change in contract requirements.  For purposes of claims prevention, the complexities can be reduced to
 basic claim types and a prevention program designed around those basis claim types. The purpose of the
 review is to identify causes or events which could lead to claims.

 Review Team

 The contracting party is responsible for having the appropriate design reviews conducted. The review can
 be conducted by the contracting party, other federal agencies, or the designer (if independent and objective
 reviews can be performed). The claims prevention review should be performed by those with experience in
 construction contracts management, usually resident field engineers and contracting officers.

 Timing of the Review

 The claims prevention review is a one-time review conducted before contract solicitation.  The review
 should occur upon the submission of the prefinal design to the contracting party.  The review is performed
 in conjunction with other specialized design reviews (biddability, operability, constructability reviews).

 Scope of the Review

 The scope of the review is limited to an administrative review. The following questions should be evaluated
 when reviewing the drawings and specifications and the contract documents:
  •    Is the contract clear, complete, and enforceable?
  •    Does the contract language use the common and normal meaning of words?
  •    Have contract documents been reviewed to ensure that conflicts do not exist among sections?

  •    Have the  architectural and engineering disciplines taken sufficient precautions to ensure the design
      is reasonably free of errors?

  •    Do the contract documents  adequately support the terms of payment selected (i.e., fixed-price or
      cost reimbursement)?

  •    Does the contract adequately explain the contract and consequences it contains for the contracting
      party and constructor?
  •    Are criteria for constructor  selection clear and fair?
  •    Are performance standards  complete, adequate, and unambiguous?
  •    Is there a  remedy and procedure for changes?
  •    Are the estimated quantities reasonable?

  •    Is the site (and soils investigation) and disclosure of technical information adequate?

A checklist is attached to assist in conducting a claims prevention review.
                                              C-13

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RD/RA Handbook
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)












Item No.

1
2
3
4
5
6
7
8
9
10
11
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
CLAIMS PREVENTION
Is the contract clear, complete, and enforceable?
Does the contract language use the common and normal meaning
of words?
Have the contract documents been reviewed to ensure that conflicts
do not exist among various sections?
Have the architectural and engineering disciplines taken sufficient
precautions to ensure the design is reasonably free of errors?
Do the contract documents adequately support the terms of payment
selected (i.e., fixed price or cost reimbursement)?
Does the contract adequately explain the contract and consequences
it contains for the contracting party and constructor?
Are the criteria for constructor selection clear and fair?
Are the performance standards complete, adequate, and
unambiguous?
Is there a remedy and procedure for changes?
Are the estimated quantities reasonable?
Is the site (and soils investigation) and disclosure of technical
information adequate?
Acceptability
Yes












No












N/A












                                                                                                         51-043-41 A(7)
                                                         C-14

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                                                                    Appendix C • Design Review Checklists


 Environmental Review	


 Definition

 The environmental review ensures that the design will meet the technical requirements of the Record of
 Decision (ROD) and that there is consistency between the implementation plans and current regulatory and
 policy requirements. The review also determines the adequacy of documents that address potential environ-
 mental releases during construction and contingency plans.  The review does not re-evaluate potentially
 applicable or relevant and appropriate requirements  (ARARs) but determines if the design incorporates
 adequate technical and administrative steps to meet the ARARs identified in the ROD.

 Review Team

 The contracting party is responsible for having the appropriate design reviews conducted. The review can
 be conducted by the contracting party, other federal agencies, or by the designer if an independent and
 objective review can be performed. The RPM (with appropriate representation from other EPA offices) and
 the state, however, are the most qualified to undertake this review. Regardless of who performs the review,
 the designer is not absolved of professional liability as the result of this review. If the design proves to be
 deficient, the designer may be held liable for errors or omissions in the design.

 Timing of the Review

 The environmental review should occur late enough in the design process so that technical details sufficient
 to judge process effectiveness or achievement of standards can be reasonably determined. The performance
 standards for the design should be included by the designer in the design criteria analysis. The ARARs
 should be determined as early as possible in the design effort to prevent redesign effort.

 Scope of the Review

 An environmental review seeks to  address the following:

  •    Is there compliance with all applicable or relevant and appropriate environmental and public health
      requirements identified in the ROD?
  •    Are currently accepted environmental control measures and technology utilized?
  •    Are  all substantive permit requirements clearly identified in the design along with the means of
      demonstrating compliance?
  •    Have all required off-site permits been applied for by the designer?
  •    Does the design require the constructor to comply with the off-site disposal rule (Section 121(d)(3)
      of CERCLA)? Are back-up facilities required in the event that the primary  disposal facility goes
      out of compliance with the Resource Compensation and Recovery Act?

A checklist is attached to assist in conducting an environmental review.
                                              C-15

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RD/RA Handbook
Design Review
Project Title & Location:
Document Reviewed
(Section/Paragraph)









Item No.

1
2
3
4
5
6
7
8
Component to be evaluated for completeness, clarity and
appropriateness (provide comments on separate sheet)
ENVIRONMENTAL
Is there compliance with all applicable or relevant and appropriate
environmental and public health requirements identified in the Record
of Decision?
Are currently accepted environmental control measures and
technology utilized?
Are all substantive permit requirements clearly identified in the
design with a description of the means of demonstrating compliance?
Have all required off-site permits been applied for by the designer?
Does the design require the constructor to comply with the off-site
disposal rule (Section 121(d)(3) of CERCLA)? Are back-up facilities
required in the event that the primary disposal facility goes out of
compliance with the Resource Compensation and Recovery Act?
Are all performance standards clearly identified?
Has perimeter air monitoring been specified?
Are dust and noise control measures specified?
Acceptability
Yes









No









N/A









                                                                                                       51-043-41 A(8)
                                                        C-16

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Appendix D
  Model RD, RA, and Technical Assistance
                lAGs

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-------
                                            Appendix D • Model RD, RA, and Technical Assistance lAGs
                       Model for USAGE Remedial Design IAG
United States Environmental Protection Agency
Washington, DC 20460
&EPA Intei
Part
'agency Agreement/
Amendment
1 - General Information
6. Name and Address of EPA Organization
[Regional Address]
1. EPA IAG Identification Number
DW96
4. Funding Location by
Region
2. Other Agency IAG ID Number (if known) [As appropriate]

3. Type of Action
New Agreement
5. Program Office
Abbreviation
[As appropriate]
7. Name and Address of Other Agency
U.S. Army Corps of Engineers (USAGE)
Engineering Division, Missouri River
Omaha, Nebraska 681 44-3869
8. Project Title
Design of Superfund Remedial Action at [site name, city, and state]
9. EPA Project Officer (Name, Address, Telephone Number)
[Regional Project Officer]
U.S. Environmental Protection Agency
[Regional Address]
[Telephone Number]
11. Project Period
10. Other Agency Project Officer (Name, Address, Telephone Number)
U.S. Army Engineer, Missouri River Division
ATTN: Lucy Harris
1 2565 West Center Road
Omaha, NE 68144-3869 (402)697-2422
12. Budget Period [same as ^.^ perfod]
13. Scope of Work (Attach additional sheets, as needed)
This interagency agreement will allow the USAGE and U.S. Environmental Protection Agency to utilize
the Direct Fund Cite/Revised Reimbursable methods for costs incurred during this action. The funds
are divided as follows:
Revised Reimbursable $
Direct Fund Cite
Total
$
$

Contracts financed under the Direct Fund Cite Procedure will cite the following accounting classification:
68/20X81 45, (Account Number)
1 4. Statutory Authority for Both Transfer of Funds and Project Activities 1 5. Other Agency Type
CERCLA as amended (42 USCA 9601 et seq.) Executive Order 12580 and Economy F , ,
Act of 1 932 as amended (31 USC 1 535)
Funds
16. EPAAmount
17. EPA In-Kind Amount
18. Other Agency Amount
19. Other Agency In-Kind Amount
20. Total Project Cost
21. Fiscal Information
Previous Amount





Amount This Action






Program Element FY Appropriation Doc. Control No.
	 FAY9A 94 68/20X8145
Amended Total






Account Number Object Obligation/DeobligationAmt.
Class
25.76
EPA Form 1610-1 (Rev. 10-88) Previous editions are obsolete.
                                                                                 51-043-33(1 )A
                                           D-1

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  RD/RA Handbook
                            Model for USAGE Remedial Design IAG (cont.)
                Part  II - Approved Budget
                                                 EPA IAG Identification Number
                                                   DW
                      22. Budget Categories
                                           Itemization of
                                            This Action
             Itemization of Total Project
                Estimated Cost to Date
  (n) Personnel
 (bjBlnga Benefits
 (c) Travel
 (d) Equipment
 {•) Supples
 (0 Procummsnt/Ass'stance
 !q) USAGE DIVISKKI Cosls
 (I) TotM Direct Charges
 jj) irtdirocl Cosl
Rale:
 (k)To!a!
     (EPA Share 100%)
      (Other Agency Share 0%)
  23. Is equipment authorized to be furnished by EPA or leased, purchased, or rented with EPA funds?
                         (Identify all equipment costing $1,000 or more)
     USAGE equipment needs ara unknown at this time. USAGE shall report equipment acquisition in accordance
    with paragraph 3 of Attachment B - Special Provisions.
                                                                   Yes
                  D
                                                                             No
  24, Ara any of these funds being used on extramural agreements? (See item 22f)
  Typa of Extramural Agreement
                                   Grant
                      D
                                                   Cooperative Agreement
    Procurement (Includes Small Purchase Order)
  Contractot/Recipienl Name (if known)

                   Unknown
                 Total Extramural Amount Under This Project

                             [estimate]
    Percent Funded by EPA (if known)


                 100
                                   Part ill - Funding Methods and Billing Instructions
  25.
           Funds-Out Agreement

                 Disbursement Agreement

                 I  X I  Repayment
                       (Note: EPA Agency Location Code (ALC) - 68010727)
            Request for repayment of actual costs must be itemized on SF 1081 or SF 1080 and submitted to the
                             Financial Management Center, EPA, Cincinnati, OH 45268:
                                         Monthly
                                D
                                                              Quarterly
n
Upon Completion of Work
                 .	.              Only available for use by Federal Agencies on working capital fund or with appropriate justification of
                 I   I Advance       need for this type of payment method. Unexpended funds at completion of work will be returned to
                 I	1              EPA. Quarterly cost reports will be forwarded to the Financial Management Center, EPA, Cincinnati,
                                                                        OH 45268.

                               Used to transfer obligational authority or transfer of function between Federal agencies.  Must receive
                  Allocation    prior approval by the Office of the Comptroller, Budget Division, Budget Formulation and Control Branch,
                 Transfer-Out   EPA Headquarters. Forward appropriate reports to the Financial Reports and Analysis Branch, Financial
                                              Management Division, PM-226F, EPA, Washington D.C. 20460.
  26.
     I	I  Funds-ln Agreement

          I	I Reimbursement Agreement
                      Repayment

                      Advance
                Allocation Transfer-In
  OthorAgoncy's IAG Identification Number
                                      EPA Program Office Allowance Holder/Responsibility Center Number

                                      72E
 Other Agency's Billing Address  (Include Agency Location Code
                             or Station Symbol Number)
                                     Other Agency's Billing Instructions and Frequency
EFAForm 1610-1 (Rev. 10-88)
                                                                                                              51-043-33(2)A
                                                           D-2

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                                                           Appendix D • Model RD, RA, and Technical Assistance (AGs
                           Model for USAGE Remedial Design IAG (cont.)
                      Part IV - Acceptance Conditions
                              EPA IAG Identification Number
                                DW96	
 27. General Conditions
    The other agency covenants and agrees that it will expeditiously initiate and complete the project for which funds
    have been awarded under this agreement.

 28. Special Conditions   (Attach additional sheets if needed)
        (See Attachment B)
                                            Part V - Offer and Acceptance
 Note: 1)For Funds-out actions, the agreement/amendment must be signed by the other agency official in duplicate and one
        original returned to the Grants Administration Division for Headquarters agreements or to the appropriate EPA Regional
        IAG administration office within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
        The agreement/amendment must be forwarded to the address cited in Item 29 after acceptance signature.

        Receipt of written refusal or failure to return the properly executed document within the prescribed time may result in the
        withdrawal of the offer by EPA.  Any change to the agreement by the other agency subsequent to the document being
        signed by the EPA Action Official, which the Action Official determines to materially alter the agreement/amendment,
        shall void the agreement/amendment.

      2) For Funds-in actions, the other agency will initiate the action and forward two original agreements/amendments to the
        appropriate EPA program office for signature.  The agreements/amendments will then be forwarded to the appropriate
        EPA IAG administration office for acceptance signature on behalf of the EPA. One original copy will be returned to the
        other agency after acceptance.
        EPA IAG Administration Office (for administrative assistance)
                                                                     EPA Program Office (for technical assistance)
  29. Organization/Address

     [EPA IAG Administration Office]

     [Organization/Address]
         30. Organization/Address

          [EPA Program Office]

          [Organ ization/Address]
                                                     Certification
   All signers certify that the statements made on this form and all attachments thereto are true, accurate, and complete. Signers
   acknowledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under
   applicable law.
                                       Decision Official on Behalf of the Environmental Protection Agency Program Offica
31 . Signature
Typed Name and Title
Action Official on Behalf of the Environmental Protection Agency
32. Signature
Typed Name and Title
Date

Date
                                                 Authorizing Official on Behalf of the Other Agency
  33. Signature
Typed Name and Title
                                                                                                    Date
EPA Form 1610-1 (Rev. 10-88)
                                                                                                          51-043-33(3)A
                                                        D-3

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RD/RA Handbook
                        Model for USAGE Remedial Design IAG (cont.)
                                                                                                 Page 7 of 8
          Part IV - Acceptance Conditions (continued)
                                                                          EPA IAG Identification Number
28. Special Conditions (continued)
    8.  Minority Business Utilization

          In accordance with CERCLA, as amended (P.L. 99-499), Section 105(f), any Federal agency awarding contracts,
        grants or cooperative agreements utilizing Superfund monies shall consider the availabliiity of minority contractors
        for participation in contracts. This includes, but is not limited to:  contracts, subcontracts, SBA 8(a) awards and
        any subagreements.

          The USAGE, as a recipient of Superfund monies under this IAC, must report annually on minority contractor
        participation and efforts taken to encourage (outreach endeavors) the utilization of minority firms.

          Reports will be forwarded annually (by November 15th) to the Minority Business Enterprise Coordinator,
        EPA-Region 3, Hazardous Waste Management Division (3HW43). Reports will be submitted on EPA Forms
        6005-3, Superfund Minority Contractors Utilization Report", 6005-3A, "Superfund Minority Contractors Utilization
        Report - Part 2".

    9.     As a recipient of monies under this IAG, the USAGE must ensure to the fullest extent possible that at least
        8% of funds for prime or subcontracts and subgrants for services are made available to businesses owned or
        controlled by socially and economically disadvantaged individuals, women-owned businesses, and Historically
        Black, Colleges and Universities.

          The  USAGE must submit a report to EPA showing the actual amount and percentage of extramural funds
        awarded to DBEs on Forms 6005-3 and 67005-3a, by December 15, of each year.  Reports should be submitted
        to:

          Mr. George Mori, Senior Program Officer
          Office of Small and Disadvantaged  Business Utilization (A-149C)
          U.S. Environmental Protection Agency
          401  M Street, S.W.
          Washington, DC 20460
                                                   D-4
                                                                                                  S1-043-33(4)A

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                                              Appendix D • Model RD, RA, and Technical Assistance (AGs

Attachment A * Scope of Work for Remedial Design IAG	
Site
Name, City, State
Site/Spill Identifier
Purpose
The purpose of this agreement is to obtain assistance from the U.S. Army Corps of Engineers (USAGE) for
the implementation of a remedial design for remedial action at site name.
Background
Briefly summarize the site in one or two paragraphs to include:
      location of site
      brief history of operations, releases, response actions, etc.
      quantity, types, and concentrations of hazardous substances
      extent of contamination
      operable unit name and number, event name and number, and project name, if applicable
A Record of Decision (ROD) was signed by the name of AA-OSWER or Regional Administrator on date
selecting description of remedy as the cost effective remedy for the site name.
Remedy
The remedy selected by EPA and the State of state name includes the following major components (list
major components in bullet format):
Work Statement
The USAGE will be responsible for:
  1.  Developing the technical statement of work and awarding and managing a contract to a private firm
      for the design of description of remedy. The design package will consist of plans and specifications
      along with include as necessary operations and maintenance (O&M) plan, quality assurance project
      plan (QAPP), site safety plan, etc.
  2.  Reviewing the design package in coordination with the EPA RPM at preliminary and prefinal
      design stages. Approval and acceptance of the final design, with comment from EPA.
  3.  Conducting value engineering screening to assess the need for a value engineering study. Conduct-
      ing value engineering studies when indicated.
  4.  Preparing a Real Estate Planning Report to be submitted to the EPA Regional Office during the
      preliminary design phase of the project.
  5.  Providing other support to include permit assistance, community relations assistance, etc.
  6.  Reproducing design documents.
  7.  Conducting procurement activities for remedial actions up to the point of award.
                                             D-5

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RD/RA Handbook
                  1 i                                                      il
                                                                         ,1
            ,  ,    	                                             „, ,        j
 Attachment B • Special Conditions for Remedial Design IAG	
  ••••               .•                                                       j
The USAGE agrees to meet the site-specific financial management and recordkeeping responsibilities con-
tained in EPA's "Superfund Financial Management and Recordkeeping Guidance for Federal Agencies"
(January 1989).
                                                                         j
Cost Documentation Requirements
                                                                •         i
EPA acting as manager of the Hazardous Substances Superfund requires current information on CERCLA
response actions and related obligations of CERCLA funds for these actions.  In addition, CERCLA, as
amended, authorizes EPA to recover from responsible parties all government costs incurred during a re-
sponse action. To help assure oversight and successful recovery of CERCLA funds, both USAGE and EPA
have responsibilities under this agreement.  The USAGE accounting system reports must be supported by
site- and activity-specific cost documentation. The USAGE will organize and retain in a site file documen-
tation of costs by site and activity (e.g., vouchers, billing statements, evidences of payment, audit reports) as
follows:

  1. Direct Costs
           Payroll - timesheets or timecards to support hours charged to a particular site, including the
           signature of the employee and/or the employee's supervisor.
           Travel - travel authorizations (including purpose of trip), local travel vouchers, traveler's
           reimbursement vouchers, carrier bills (including airline tickets, government-owned vehicle
           bills, appropriate receipts for hotel, car rental, etc., proof of payment. Proof of payment is
           satisfied by providing a copy of standard form (SF) 1166 "Voucher and Schedule of Pay-
           ment" or equivalent.
           Contractor services - copies of contracts, requests for proposals (RFPs), detailed evaluation
           of contractor bids, contractor invoices, USAGE project officer approval of invoices, proof of
           payment.  Proof of payment is satisfied by providing a copy of the accomplished SF 1166 or
           equivalent.
           Supplies and Equipment - EPA authorization to purchase non-expendable property of
           $l,()00.0p or more, vendor invoices, proof of payments, and hourly records of equipment use,
           whqn applicable.
              i                               :                            ii
           Any other direct costs not included in the above categories.
  2. Indirect Costs

If indirect costs are r|bt calculated by the US ACE accounting system, a worksheet showing calculations of
indirect costs charged to a site will be retained by the USAGE.
             .i.    'H  ,            '            '  •                  >        |
Under the IAG, the USAGE certifies that: 1) any  indirect costs included in billings to EPA represent, in
accordance with GAO principles, indirect costs that would not have been otherwise incurred by the USAGE;
or 2) explicit Congressional authority exists for charging other than incremental costs of performance.

Reporting Requirements
  1. The USAGE will provide monthly progress reports to the RPM listed on the IAG form containing:
              1 '                                                           1
           Site name and IAG number
           Summary of work performed
           Estimate of the percentage of the project completed
                                             D-6

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                                               Appendix D • Model RD, RA, and Technical Assistance (AGs


           Accounting of funds expended during the reporting period and on the project to date, which
           includes budget category cost breakdown

           Summaries of all change orders and claims made on the contract during the reporting period

           Summaries of all contacts with representatives of the local community, public interest
           groups, or state government during the reporting period

           Summaries of all problems or potential problems encountered during the reporting period
           Projected work for the next reporting period

           Attachment of a copy of all certified contractor invoices for contract costs and request for
           reimbursement (SF 1080) for all USAGE in-house cost submitted to the EPA Financial
           Management Center, Cincinnati, for payment during the reporting month

  2.   The USAGE will submit certified contractor invoices and/or a completed and signed SF 1080,
      Request for Reimbursement, to the EPA Financial Management Center, Cincinnati, containing, as
      appropriate, USAGE cost by budget category identified by site,  site-specific account number, and
      IAG number.

  3.   USAGE will provide a final inventory of property, (before final-eontract payment) within one
      month of the end of the IAG performance period, describing the condition of each item (and
      requesting disposition instructions). USAGE will require all contractors to provide a final inven-
      tory of property prior to their final contract payment. If the duration of the project is greater than
      one year, USAGE will provide an annual inventory of all property acquired by or furnished to
      USAGE with EPA funds.

Cost Recovery

In the event of a contemplated cost recovery action, the USAGE will provide to  EPA or the Department of
Justice (DOJ) a cost documentation package detailing site-specific costs and including copies of the back-
up documentation.  In  some cases, these requests from EPA or DOJ may require the documentation to be
provided in less than thirty days.  If additional time is required to comply with a request, USAGE will
negotiate with EPA or DOJ a schedule for responding. USAGE will provide EPA with a contact for obtain-
ing necessary site-specific accounting information and documentation.

Record Retention Requirements

The USAGE (and its contractors) will retain the documents described in these "Special Conditions" for a
minimum of ten years after submission of a final SF 1080 for a site or sites, after which USAGE must obtain
written permission from the authorized EPA official before disposing  of any of  the records.  USAGE will
require all contractors  entering into cost reimbursable type contracts to establish and maintain cost docu-
mentation as described above.

Project Specific Conditions

  1.   The USAGE will invite (with reasonable notice) the EPA RPM to participate in contractor meetings
      in which scope of the project or progress is discussed.

  2.   The USAGE will invite the EPA RPM to participate in the contractor selection process, as appropri-
      ate.

  3.   The USAGE Project Manager will brief the EPA RPM regularly on the current status of the project.
      Briefings will be monthly unless a different frequency is mutually agreed upon by both project
      managers. Emphasis shall be placed on project budget, expenditure rates, and schedule.
                                             D-7

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RD/RA Handbook
  4.  The USAGE personnel and its contractors will have the appropriate safety training and be involved
     in a medical monitoring program as specified in 29 Code of Federal Regulations (CFR) Part 1910;
     51 CFR 45663 - 45675; and Section 125(e) of CERCLA, as amended.
              ;    ,i              .,                         •  .   -        |
  5.  EPA will provide indemnification of USAGE contractors for extraordinary risk to the extent that
     CERCLA funds are available in accordance with Section 119 of CERCLA and EPA implementing
     guidance.

  6.  The USAGE will furnish to the EPA RPM a copy of the Quality Assurance Management Plan.
  7.  The USAGE will have final authority, with EPA comment, for approving QAPjPs, Sampling
     Analysis Plans (SAPs), which reflect environmental sampling and laboratory analysis, and Health
     and Safety Plans (HASPs).

Audits
                                                                        I
  1.  Superfund cost documentation information must be available for audit or verification upon request
     of authorized auditing agencies.
  2.  If an audit determines that any direct or indirect cost charged to EPA are unallowable, EPA will be
     notified immediately following the resolution of the audit

Other EPA Involvement
  1.  Payment to USAGE contractors is contingent upon receipt of a USAGE certified payment request.
     Reimbursement to USAGE for in-house costs is contingent upon receipt of a USAGE certified
     reimbursement for request (SF 1080). Final project payments for specific contracts and in-house
     cost shall be reviewed and approved by the EPA Regional program office.
              i •    • i:            '                   •             '<„        1         ,
  2,  EPA will m>ld title to all property acquired with Superfund monies. EPA will provide the USAGE
     the property disposition instructions upon termination of the IAG. EPA will receive fair-market
     value for any property disposed of or used for non-Superfund activities.
                                            D-8

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                                                 Appendix D • Model RD, RA, and Technical Assistance (AGs
                        Model for USAGE Remedial Action IAG
©EPA
United States Environmental Protection Agency
Washington, DC 20460
Interagency Agreement/
Amendment
Part 1 - General Information
6. Name and Address of EPA Organization
[Regional Address]
1. EPA IAG Identification Number 4. Funding Location by
DW 96 Reaion
2. Other Agency IAG ID Number (if known) [As appropriate]
5. Program Office
3. Type of Action Abbreviation
New Agreement [As appropriate]
7. Name and Address of Other Agency
U.S. Army Corps of Engineers (USACE)
Engineering Division, Missouri River
Omaha, Nebraska 68144-3869
8. Project Title
Design of Superfund Remedial Action at [site name, city, and state]
9. EPA Project Officer (Name, Address, Telephone Number)
[Regional Project Officer]
U.S. Environmental Protection Agency
[Regional Address]
[Telephone Number]
11. Project Period
10. Other Agency Project Officer (Name, Address, Telephone Number)
U.S. Army Engineer, Missouri River Division
ATTN: Lucy Harris
1 2565 West Center Road
Omaha, NE 68144-3869 (402)697-2422
12. Budget Period r . ,,
[same as project period]
1 3. Scope of Work (Attach additional sheets, as needed)
This interagency agreement will allow the USAGE and U.S. Environmental Protection Agency to utilize
the Direct Fund Cite/Revised Reimbursable methods for costs incurred during this action. The funds
are divided as follows:
Revised Reimbursable $
Direct Fund Cite $
Total
$
Contracts financed under the Direct Fund Cite Procedure will cite the following accounting classification:
68/20X8145, (Account Number)
1 4. Statutory Authority for Both Transfer of Funds and Project Activities 1 5. Other Agency Type
CERCLA as amended (42 USCA 9601 et seq.) Executive Order 1 2580 and Economy F , ,
Act of 1 932 as amended (31 USC 1 535)
Funds Previous Amount
16. EPAAmount
17. EPA In-Kind Amount
1 8. Other Agency Amount
19. Other Agency In-Kind Amount
20. Total Project Cost
Amount This Action Amended Total





21. Fiscal Information
Program Element
FAY9A

FY Appropriation Doc. Control No.
94 68/20X8145
Account Number Object Obligation/Deobligation Amt.
Class
25.76
EPA Form 1610-1 (Rev. 10-88) Previous editions are obsolete.
                                                                                  S1-043-34(1)A
                                            D-9

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RD/RA Handbook
                               Model for USAGE Remedial Action IAG (cont.)
                   Part II - Approved Budget
I                                                                    EPA IAG Identification Number
                                                                     DW	
                         22. Budget Categories
                                                             Itemization of
                                                               This Action
                                             Itemization of Total Project
                                                Estimated Cost to Date
     (a) Paraonno)
     (b)Frtnga Benefits
     (o) Trawl
     (d) Equipment
     (9) Supples
     (I) Procuremanl/Assistancfl
     (9) USAGE Divtston Costs
     (h) Otter
     §1btal Direct Ctwges
     OJImfraclCost
                           Rale:
     M Total
         (EPA Share 100%)
                        (Other Agency Share 0%)
                                                          $
     23, Is equipment authorized to be furnished by EPA or leased, purchased, or rented with EPA funds?
                            (Identify all equipment costing $1,000 or more)
        USAGE Mjdpment rweds am unknown at this time. USACE shall report equipment acquisition in accordance
        with paragraph 3 of Attachment B - Special Provisions.
                                                                                      Yes
                                                  D
                                                                                                No
     24, Are any of these funds being used on extramural agreements? (See item 22f)
                                                                       [Xj Yes  [J  N
     Typa of Extramural Agreement
                        D
                                       Grant
n
                                                       Cooperative Agreement
Procurement (Includes Small Purchase Order)
     Contractor/Recipient Name (H known)

                      Unknown
                                    Total Extramural Amount Under This Project


                                                [estimate]
                                    Percent Funded by EPA (if known)


                                                 100
                                       Part III - Funding Methods and Billing Instructions
     25.
           X I  Funds-Out Agreement


              I X I   Disbursement Agreement


                     I X  I Repayment
                                         (Note: EPA Agency Location Code (ALC) - 68010727)
                               Request for repayment of actual costs must be itemized on SF 1081 or SF 1080 and submitted to the
                                                Financial Management Center, EPA, Cincinnati, OH 45268:
                                             Monthly
                                                   n
                                                                  Quarterly
                                      Upon Completion of Work
                     D
                               Only available for use by Federal Agencies on working capital fund or with appropriate justification of
                  Advance      need for tnls tyP9 °' payment method. Unexpended funds at completion of work will be returned to
                               EPA. Quarterly cost reports will be forwarded to the Financial Management Center, EPA, Cincinnati,
                                                                   OH 45268.
               n
                         Used to transfer obligational authority or transfer of function between Federal agencies. Must receive
             Allocation    prior approval by the Office of the Comptroller, Budget Division, Budget Formulation and Control Branch,
            Transfer-Out   EPA Headquarters. Forward appropriate reports to the Financial Reports and Analysis Branch, Financial
                                         Management Division, PM-226F, EPA, Washington D.C. 20460.
     26,
I	I  Funds-ln Agreement
     I	I  Reimbursement Agreement

     n
                                                  Repayment

                                                  Advance
                    Allocation Transfer-In
     Otter Agency's IAG Identification Number
                                                         EPA Program Office Allowance Holder/Responsibility Center Number

                                                         72E
     Other Agency's Billing Address  (Include Agency Location Code
                                 or Station Symbol Number)
                                                        Other Agency's Billing Instructions and Frequency
    EPA Form 1610-1 (Rev. 10-88)
                                                                                                                  51-043-34(2)A
                                                             D-10

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                                                               Appendix D • Model RD, RA, and Technical Assistance tAGs
                           Model for USAGE Remedial Action IAG (cont.)
                      Part IV - Acceptance Conditions
                      EPA IAG Identification Number
                       DW96	
 27. General Conditions
    The other agency covenants and agrees that it will expeditiously initiate and complete the project for which funds
    have been awarded under this agreement.

 28. Special Conditions   (Attach additional sheets if needed)
        (See Attachment B)
                                            Part V - Offer and Acceptance
 Note:1)For Funds-out actions, the agreement/amendment must be signed by the other agency official in duplicate and one
        original returned to the Grants Administration Division for Headquarters agreements or to the appropriate EPA Regional
        IAG administration office within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
        The agreement/amendment must be forwarded to the address cited in Item 29 after acceptance signature.

        Receipt of written refusal or failure to return the properly executed document within the prescribed time may result in the
        withdrawal of the offer by EPA.  Any change to the agreement by the other agency subsequent to the document being
        signed by the EPA Action Official, which the Action Official determines to materially alter the agreement/amendment,
        shall void the agreement/amendment.

      2) For Funds-in actions, the other agency will initiate the action and forward two original agreements/amendments to the
        appropriate EPA program office for signature.  The agreements/amendments will then be forwarded to the appropriate
        EPA IAG administration office for acceptance signature on behalf of the EPA. One original copy will be returned to the
        other agency after acceptance.
        EPA IAG Administration Office (for administrative assistance)
                                                                      EPA Program Office (for technical assistance)
  29. Organization/Address

     [EPA IAC Administration Office]

     [Organization/Address]
30. Organization/Address

 [EPA Program Office]

 [Organization/Address]
                                                     Certification
   All signers certify that the statements made on this form and all attachments thereto are true, accurate, and complete. Signers
   acknowledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under
   applicable law.
                                       Decision Official on Behalf of the Environmental Protection Agency Program Office
31. Signature
Typed Name and Title
Date
                                             Action Official on Behalf of the Environmental Protection Agency
32. Signature
Typed Name and Title
Date
                                                  Authorizing Official on Behalf of the Other Agency
33. Signature
Typed Name and Title
Date
EPA Form 1610-1 (Rev. 10-88)
                                                                                                         51-043-34(3)A
                                                       D-11

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RD/RA Handbook
                            Model for USAGE Remedial Action IAG (cont.)
             Part IV -Acceptance Conditions (continued)
                                                                             EPA IAG Identification Number
    28. Special Conditions (continued)
        8.  Minority Business Utilization

              In accordance with CERCLA, as amended (P.I. 99-499), Section 105(f), any Federal agency awarding contracts,
           grants or cooperative agreements utilizing Superfund monies shall consider the availablitity or minority contractors
           for participation in contracts. This includes, but is not limited to: contracts, subcontracts, SBA 8(a) awards and
           any subagreements.

              The USAGE, as a recipient of Superfund monies under this IAG, must report annually on minority contractor
           participation and efforts taken to encourage (outreach endeavors) the utilization of minority firms.

              Reports will be forwarded annually (by November 15th) to the Minority Business Enterprise Coordinator,
           EPA-Region 3, Hazardous Waste Management Division (3HW43). Reports will be submitted on EPA Forms
           6005-3, "Superfund Minority Contractors Utilization Report", 6005-3A, "Superfund Minority Contractors Utilization
           Report - Fart 2".

        9.      As a recipient of monies under this IAG, the USAGE must ensure to the fullest extent possible that at least
           8% of funds for prime or subcontracts and subgrants for services are made available to businesses owned or
           controlled by socially and economically disadvantaged individuals, women-owned businesses, and Historically
           Black, Colleges and Universities.

              The USAGE mustsubmit a report to  EPA showing the actual amount and percentage of extramural funds
           awarded to  DBEs on Forms 6005-3 and 67005-3a, by December 15, of each year. Reports should be submitted
           to:

              Mr. George Mori, Senior Program Officer
              Office of Small and Disadvantaged Business Utilization (A-149C)
              U.S. Environmental Protection Agency
              401 M Street, S.W.
              Washington, DC  20460
                                                                                                    51-043-34(4)A
                                                      D-12

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                                                     Appendix D • Model RD, RA, and Technical Assistance lAGs

Attachment A • Scope of Work for Remedial Action JAG      	

Site
Name, City, State
Site/Spill Identifier
Purpose
The purpose of this agreement is to obtain assistance from the U.S. Army Corps of Engineers (USAGE) for the
implementation of a remedial action at site name.
Background
Briefly summarize the site in one or two paragraphs to include:
      location of site
      brief history of operations, releases, response actions, etc.
      quantity, types, and concentrations of hazardous substances
      extent of contamination
      operable unit name and number, event name and number, and project name, if applicable
A Record of Decision (ROD) was signed by the NAME OF AA-OSWER or Regional Administrator on date select-
ing description of remedy as the cost effective remedy for the site name. The remedial design (RD) for the remedy
was performed by the USAGE or other party. A Superfund State Contract was signed by the State of state name on
date providing assurances, including cost share for the remedial action (RA), required by CERCLA Section 104(c).
Remedy
The remedy selected by EPA and the State of state name includes the following major components (list major
components in bullet formal):
Work Statement
The USAGE will be responsible for:
  1.  Managing the contract for the RA including procurement activities for any subsequent modifications and
      revisions to the original RA contract award.
  2.  Providing oversight and monitoring of construction in coordination with the EPA RPM to ensure compli-
      ance with all contract requirements.
  3.  Conducting final inspection and certification of completed remedial action in coordination with the EPA
      RPM.
  4.  Assessing submitted Value Engineering Construction Proposals (VECPs) in accordance with the Value
      Engineering clause in the Federal Acquisition Regulation 52.248-1.  USAGE shall consult with EPA on any
      VECP that may affect the site remedy before making any change.
                                               D-13

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 RD/RA Handbook
Attachment B •Special Conditions for Remediai Action IAG
The USAGE agrees to meet the site-specific financial management and recordkeeping responsibilities contained in
EPA's "Superfund Financial Management and Recordkeeping Guidance for Federal Agencies" (January 1989).

Cost Documentation Requirements
EPA acting as manager of the Hazardous Substances Superfund requires current information on CERCLA response
actions and related obligations of CERCLA funds for these actions. In addition, CERCLA, as amended, authorizes
EPA to recover form responsible parties all government costs incurred during a response action. To assure oversight
and successful recovery of CERCLA funds, both USAGE and EPA have responsibilities imder this agreement. The
USAGE accounting system reports must be supported by site- and activity-specific cost documentation. The USAGE
will organize and retain in a site file documentation of costs by site and activity (e.g. vouchers, billing statements,
evidence of payment, audit reports) as follows.

  1.  Direct Costs
     •     Payroll - timesheets or timecards to support hours charged to a particular site, including the signature
           of the employee and/or the employee's supervisor.
           Travel - travel authorizations (including purpose of trip), local travel vouchers, traveler's reimburse-
           ment vouchers, carrier bills (including airline tickets), government-owned vehicle bills, appropriate
           receipts for hotel, car rental, etc., proof of payment.  Proof of payment is satisfied by providing a
           copy Of standard form (SF) 1166 "Voucher and Schedule of Payment" or equivalent.
           Contractor services - copies of contracts, requests for proposals (RFPs), detailed evaluation of
           contraclpr bids, contractor invoices, USAGE project officer approval of invoices, proof of payment.
           Proof5 of payment is satisfied by providing a copy of SF 1166 or equivalent.
                »" ''f "•   ' II'!'I  '             '         ' ,  !              .              ||          '          ,1 ,!•'
           Supplies and Equipment - EPA authorization to purchase non-expendable property of $1,000.00 or
           more, vendor invoices,  proof of payments, and hourly records of equipment use, when applicable.
                 , •	•,                                              '      .  | -
           Any other direct costs not included in the above categories.
                 •f   /                                                      !
  2.  Indirect Costs
If indirect costs  are not calculated by the USAGE accounting system, a worksheet showing calculations of indirect
costs charged to a site will be retained by the USAGE.

Under this IAG, the USAGE certifies that: 1) any indirect costs included in billings to EPA represent, in accordance
with GAO principles, indirect costs that would not have been otherwise incurred by the USAGE; or 2) explicit
Congressional authority exists for charging other than incremental costs of performance.

Reporting Requirements
  1.  The USAGE will provide monthly progress reports to the RPM listed on the IAG form containing:
     ,' :       .    .1'  . :• ill'          '  .                                  i •       I
           Site name and IAG number
                 ,                                                          !
           Summary of work performed
           Estimate of the percentage of the project completed
     t     Accounting of funds expended during the reporting period and on the project to date, which includes
           budget category cost breakdown
                     1                                                       i                       '
           Summaries of all change orders and claims made on the contract during the reporting period
                                                D-14

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                                                      Appendix D • Model RD, RA, and Technical Assistance lAGs


           Summaries of all contacts with representatives of the local community, public interest groups, or state
           government during the reporting period

           Summaries of all problems or potential problems encountered during the reporting period
           Projected work for the next reporting period

           Attachment of a copy of all certified contractor invoices for contract costs and request for reimburse-
           ment (SF 1080) for all USAGE in-house cost submitted to the EPA Financial Management Center,
           Cincinnati, for payment during the reporting month

  2.  The USAGE will submit certified contractor invoices and/or a completed and signed SF 1080, request for
      reimbursement, to the EPA Financial Management Center, Cincinnati, containing, as appropriate, USAGE
      cost by budget category identified by site, site-specific account number, and IAG number.
  3.  USAGE will provide a final inventory of property, (before final contract payment) within one month of the
      end of the IAG performance period, describing the condition of each item (and requesting disposition
      instructions). USAGE will require all contractors to provide a final inventory before their final contract
      payment.  If the duration of the project is greater than one year, USAGE will provide an annual inventory or
      all property acquired by or furnished to USAGE with EPA funds.

Cost Recovery

In the event of a contemplated cost recovery action, the USAGE will provide to EPA or the Department of Justice
(DOJ) a cost documentation package detailing site-specific costs and including copies of the back up documenta-
tion. In some cases, these requests from EPA or DOJ may require this documentation to be provided in less than
thirty days.  If additional time is required to comply with a request, USAGE will negotiate with EPA or DOJ a
schedule for responding. USAGE will provide EPA with a contact for obtaining necessary site-specific accounting
information and documentation.

Record Retention Requirements

The USAGE will retain the documents described in these "Special Conditions" for a minimum of ten years after
submission of a final SF 1080 for a site or sites, after which USAGE must obtain  written permission from the
authorized EPA official before disposing  of any of the records.  USAGE will require all contractors entering into
cost reimbursable type contracts to establish and maintain cost documentation as described above.

Project Specific Conditions

  1. The USAGE will invite (with reasonable notice) the EPA RPM to participate in contractor meetings in
     which scope of the project or progress is discussed.

  2. The USAGE will invite the EPA RPM to participate in the contractor selection process, as appropriate.
  3. The USAGE will have final authority for RA bids, shop drawings and contract modifications (within [the
     15%] contingency fund limitations).

  4. The USAGE Project Manager will regularly brief the EPA RPM on the current status of the project.  Brief-
     ings will be monthly unless a different frequency is mutually agreed upon by both project managers.
     Emphasis shall be placed on project budget, expenditure rates, and schedule.
  5. The USAGE personnel and its contractors will have the appropriate safety training and be involved in a
     medical monitoring program as specified in 29 Code of Federal Regulations (CFR) Part 1910; 51 CFR
     45663 - 45675; and Section 125(e) of CERCLA, as amended.

  6.  EPA will provide indemnification of USAGE contractors for extraordinary risk  to the extent that CERCLA
     funds are available in accordance with Section 119 of CERCLA and EPA implementing guidance.
                                                D-15

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RD/RA Handbook
  7.  The USAGE will furnish to the EPA RPM for their information a copy of the Quality Assurance Manage-
     ment Plan.
  8.  The USAGE will have final authority, with EPA comment, for approving Quality Assurance Project Plans
     (QAPjPs), Sampling Analysis Plans (SAPs) which reflect environmental sampling and laboratory analysis,
     and Health and Safety Plans (HASPs).

Audits
  1.  Superfund cost documentation information must be available for audit or verification upon request of
     authorized auditing agencies.
  2.  If an audit determines that any direct or indirect cost charged to EPA are unallowable, EPA will be notified
     immediately following the resolution of the audit.

Other ERA Involvement
  1.  Payment to USAGE contractors is contingent upon receipt of a USAGE certified payment request. Reim-
     bursement to USAGE for in-house costs is contingent upon receipt of a USAGE certified reimbursement
     for request (SF 1080).  Final project payments for specific contracts and in-house cost shall be reviewed
     and approved by the EPA Regional program office.
  2.  EPA will hold titie to all property acquired with Superfund monies.  EPA will provide the USAGE the
     property disposition instructions upon termination of the IAG. EPA will receive fair-market value for any
     property disposed of or used for non-Superfund activities.
                                                D-16

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                                          Appendix D * Model RD, RA, and Technical Assistance lAGs
 Decision Memorandum
 Regional Superfund Interagency Agreement for Technical Assistance
SUBJECT:    Superfund Interagency Agreement with the U.S. Army Corps of
              Engineers (USAGE)
TO:
Regional Administrator, Region.
FROM:
I recommend that you, as the EPA Action Official, approve and sign the attached Interagency
Agreement (IAG).  Under the IAG, the USAGE will provide EPA with technical assistance
during EPA lead phases of remedial response activities.

The USAGE will provide specialized support services to EPA. It may also utilize extramural
agreements to carry out the Scope of Work.

The lAG's project (site) activities and provisions are in compliance with the following statutory
and EPA policy requirements:

  1) Statutory - Economy Act of 1932, as amended (31 USC 1535)

              - CERCLA, as amended (42 USCA 9601 et seq.)
  2) Policy    - Executive Order 12580

              - EPA IAG Policy and Procedures Compendium

              - Chapter 51. "Managing lAGs".  EPA Assistance Administration Manual
              -SCAP

              - Memorandum of Understanding

NOTE:  If an "increase-in-funds" amendment, add:

The increase in funds will cover costs for additional sites and activities related to the original
Scope of Work under the IAG.  These activities are necessary to maintain the progress towards
the successful completion of the SCAP.
                                        D-17

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RD/RA Handbook
                         Model for USAGE Technical Assistance

United States E
®EPA Inter
Part
jivironmentat Protection Agency
Washington, DC 20460
agency Agreement/
Amendment
1 - General Information
6, Name and Address of EPA Organization
(Regional Address]
1. EPA IA6 Identification Number
nwqfi
2. Other Agency IAG ID Number (if
3. Type of Action
New Agreement
4. Funding Location by
Region
known) LAS appropriate]
5. Program Office
[As appropriate]
7. Name and Address of Other Agency
U.S. Army Corps of Engineers (USAGE)
Engineering Division, Missouri River
Omaha, Nebraska 68144-3869
8. Project Title
Design of Superfund Remedial Action at [site name, city, and state]
9. EPA Projact Officer (Name, Address, Telephone Number)
[Regional Project Officer]
U.S. Environmental Protection Agency
[Regional Address]
[Telephone Number]
11. Project Period
10. Other Agency Project Officer (Name, Address, Telephone Number)
U.S. Army Engineer, Missouri River Division
ATTN: Lucy Harris
12565 West Center Road
Omaha, NE 68144-3869 (402)697-2422
12. Budget Period [game as prQJect perjod]
13, Scope of Work (Attach additional sheets, as needed)
1 . Reviewing work plans developed by EPA contractors and providing comments and suggestions
on the proposed work
2. Technical review of remedial investigation/feasibility study.
3. Providing comments on all plans and specifications for the cleanup.
4. Attending status briefings. The USAGE will participate in site-specific status briefings whenever
such meetings are deemed necessary by the Regional Project Officer.
5. Reviewing other EPA contractor products. These products may include such things as sampling
plans, plans and specifications for drum and bulk waste removal, and draft and final reports on
the remedial investigation or the feasibility study.
14. Statutory Authority for Both Transfer of Funds and Project Activities 15. Other Agency Type
CERCLA as amended (42 USCA 9601 et seq.) Executive Order 12580 and Economy Federal
Act of 1 932 as amended (3 1 USC 1535)
Funds

17. EPA In-Kind Amount
18. Other Agency Amount
19. Olrtw Agency In-Kind Amount
SO. Tolal Project Cost
21. Fiscal Information
Previous Amount





Amount This Action






Program Etement FY Appropriation Doc. Control No.
	 FAY9A 94 68/20X8145
Amended Total






Account Number Object Obligation/Deobligation Amt.
Class
25.76
  EPA Form 1610-1 (Rev. 10-88) Previous editions are obsolete.
                                                                                   51-043-43(1 )A)
                                             D-18

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                                                              Appendix D • Model RD, RA, and Technical Assistance lAGs
                                  Model for Technical Assistance (cont.)
                Part II - Approved Budget
                                                          EPAIAG Identification Number
                                                           DW
                      22. Budget Categories
                                                   Itemization of
                                                    This Action
         Itemization of Total Project
            Estimated Cost to Date
 (a) Personnel
 (b) Fringe Benefits
 (o) Travel
 (d) Equipment
 (e) Supplies
 (f) Procurement/Assistance
 (g) USAGE Division Costs
 (h) Omar
 (i) Total Direct Charges
 Q) Indirect Cost:
                        Rate:
                            Base$
 (k) Total
     (EPA Share 100%)
              (Other Agency Share 0%)
                                               $
  23. Is equipment authorized to be furnished by EPA or leased, purchased, or rented with EPA funds?
                         (Identify all equipment costing $1,000 or more)
    See Special Conditions, Item 28 regarding documentation and disposition
                                                                                      No
  24. Are any of these funds being used on extramural agreements? (See 'item 22f)
                                                                              X   Yes
                                                                                             No
  Type of Extramural Agreement
                                   Grant
                              n
                                                    Cooperative Agreement
Procurement (Includes Small Purchase Order)
  Contractor/Recipient Name (if known)

                   Unknown
                          Total Extramural Amount Under This Project

                                     [estimate]
Percent Funded by EPA (if known)


             100
                                   Part III - Funding Methods and Billing Instructions
  25.
       X |  Funds-Out Agreement

          I  X I   Disbursement Agreement
                               (Note: EPA Agency Location Code (ALC) - 68010727)
                   X I  Repayment    Request for repayment of actual costs must be itemized on SF 1081 or SF 1080 and submitted to the
                  __J                                 Financial Management Center, EPA, Cincinnati, OH 45268:
                                     X   Monthly
                                                              Quarterly
                                                                    Upon Completion of Work
                       Advance
                    Only available for use by Federal Agencies on working capital fund or with appropriate justification of
                     need for this type of payment method. Unexpended funds at completion of work will be returned to
                    EPA. Quarteriy cost reports will be forwarded to the Financial Management Center, EPA, Cincinnati,
                                                        OH 45268.
            	                Used to transfer obligational authority or transfer of function between Federal agencies. Must receive
                  Allocation    prior approval by the Office of the Comptroller, Budget Division, Budget Formulation and Control Branch,
            I	1 Transfer-Out   EPA Headquarters. Forward appropriate reports to the Financial Reports and Analysis Branch, Financial
                                              Management Division, PM-226F, EPA, Washington D.C. 20460.
  26.
     I	I  Funds-ln Agreement
           |	j Reimbursement Agreement
           n
                              Repayment

                              Advance
Allocation Transfer-In
  Other Agency's IAG Identification Number
                                              EPA Program Office Allowance Holder/Responsibility Center Number
                                              72E
  Other Agency's Billing Address  (Include Agency Location Code
                             or Station Symbol Number)
                                             Other Agency's Billing Instructions and Frequency
EPA Form 1610-1 (Rev. 10-88)
                                                                                                              51-043-43(2)A
                                                           D-19

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B'll":!!1:  I 	  " I."1!!1
              RD/RA Handbook
                                               Model for Technical Assistance (cont.)
                                    Part IV - Acceptance Conditions
                      EPA IAQ Identification Number
                       DW96	
               27. General Conditions
                  The olher agency covenants and agrees that it will expeditiously initiate and complete the project for which funds
                  have been awarded under this agreement.

               28. Special Conditions  (Attach additional sheets if needed)
                      (See Attachment A)
                                                          Part V - Offer and Acceptance
               Nota:1)For Funds-out actions, the agreement/amendment must be signed by the other agency official in duplicate and one
                      original returned to the Grants Administration Division for Headquarters agreements or to the appropriate EPA Regional
                      IAG administration office within 3 calendar weeks after receipt or within any extension of time as may be granted by EPA.
                      The agreement/amendment must be forwarded to the address cited in Item 29 after acceptance signature.

                       Receipt of written refusal or failure to return the properly executed document within the prescribed time may result in the
                       withdrawal of the offer by EPA.  Any change to the agreement by the other agency subsequent to the document being
                       signed by the EPA Action Official, which the Action Official determines to materially alter the agreement/amendment,
                       shall void the agreement/amendment.

                    2) For Funds-in actions, the other agency will initiate the action and forward two original agreements/amendments to the
                       appropriate EPA program office for signature.  The agreements/amendments will then be forwarded to the appropriate
                       EPA IAG administration office for acceptance signature on behalf of the EPA. One original copy will be returned to the
                       other agency after acceptance.
                      EPA IAG Administration Office (for administrative assistance)
                29. Organization/Address

                    (EPA IAG Administration Office]

                    [Organization/Address]
           EPA Program Office (for technical assistance)
30. Organization/Address

 [EPA Program Office]

 [Organization/Address]
                                                                    Certification
                 All signers certify that the statements made on this form and all attachments thereto are true, accurate, and complete.  Signers
                 acknowledge that any knowingly false or misleading statement may be punishable by fine or imprisonment or both under
                 applicable law.
                                                      Decision Official on Behalf of the Environmental Protection Agency Program Office
31. Signature
Typed Name and Title
Date
                                                            Action Official on Behalf of the Environmental Protection Agency
32. Signature
Typed Name and Title
Date
                                                                 Authorizing Official on Behalf of the Other Agency
33. Signature
Typed Name and Title
Date
               EPA Form 1610-1 (Rev. 10-88)
                                                                                                                           51-043-43(3)
                                                                       D-20

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                                               Appendix D • Model RD, RA, and Technical Assistance (AGs


 Attachment A • Special Conditions for Technical Assistance	


The USAGE agrees to meet the site-specific financial management and recordkeeping responsibilities con-
tained in EPA's "Superfund Financial Management  and Recordkeeping Guidance for Federal Agencies"
(Draft August 1988).

  1.  Cost Documentation Requirements

     EPA acting as manager of the Hazardous Substances Superfund requires current information on
     CERCLA response actions and related obligations of CERCLA funds for these actions. In addition,
     CERCLA, as amended , authorizes EPA to recover from responsible parties  all government costs
     incurred during a response action. In order to help ensure oversight and successful recovery of CERCLA
     funds, both the USAGE and EPA have responsibilities under this agreement. The USAGE accounting
     system reports must be supported by site- and activity-specific cost documentation. The USAGE will
     organize and retain in site file(s) documentation of costs by site and activity (e.g. vouchers, billing
     statements, evidence of payment, audit reports) as follows:
      a.   Direct Costs

                Payroll - timesheets or timecards to support hours charged to a particular site, including
                the signature of the employee and/or the employee's supervisor.
                Travel - travel authorizations (including purpose of trip), local travel vouchers,
                traveler's reimbursement vouchers, carrier bills, (including airline  tickets), government
                owned vehicle bills, appropriate receipts for hotel, car rental, etc., proof of payment.
                Proof of payment is satisfied by providing a copy of the accomplished SF1166
                "Voucher and Schedule of Payment"  or equivalent.                             »

                Contractor services - copies of contracts, requests for proposals (RFPs), detailed
                evaluation of contractor bids, contractor invoices, USAGE project  officer approval of
                invoices, proof of payment. Proof of payment is satisfied by providing a copy of the
                accomplished SF1166 or equivalent.
                Supplies and Equipment - EPA authorization to purchase non-expendable property of
                $1,000 or more, vendor invoices, proof of payment, and hourly records of  equipment
                use, when applicable.

                Any other direct costs not included in the above categories.
     b.   Indirect Costs

          If indirect costs are not calculated by the USAGE accounting system, a worksheet showing
          calculations of indirect costs charged to site(s) will be retained by the USAGE.
          Under this IAG, the USAGE certifies: 1) that any indirect costs included in billings to EPA
          represent, in accordance with GAO principles, indirect costs that would not have been
          otherwise incurred by the USAGE, or 2)  that explicit Congressional  authority exists for
          charging other incremental costs of performance.
                                            D-21

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RD/RA Handbook

  , '           |!i '    I!
  2.  Reporting Requirements
     a.   The USAGE will provide monthly progress reports to the Regional Project Officer and the
          Chief of the Design and Construction Management Branch  (OS-220), EPA, Washington, DC,
          20460, containing:
              f!  	'                                '             '         1
                Site name and TAG number
                Summary of work performed
          •     Estimate of the percentage of project completed

          •     Accounting of funds expended during the reporting period and on the project to date,
                Which includes budget category cost breakdown
                Summaries of all problems or potential problems encountered during the reporting
                period
                Projected work for the next reporting period
     b.   The USAGE will provide the EPA Financial Management Center, Cincinnati, with a com-
          pleted and signed SF1080 (request for reimbursement) monthly containing, as appropriate:
          USAGE costs by budget category identified by the site, site-specific account number, and
          IAG number.
     c.   USAGE will provide a final inventory of property, within 30 days of project completion,
          describing the condition of each item and requesting disposition instructions. If the duration
          of the project is greater than one year, USAGE will provide an annual inventory of all
          property acquired by or furnished to USAGE with EPA funds.

  3.  Cost Recovery
  !i      ' •    ',*'   '•!                                                      |.
     In the event of a contemplated cost recovery action, the USAGE will provide to EPA or the Depart-
     ment of Justice (DOJ) a cost documentation package detailing site-specific costs and including copies
     of the back up documentation. In some cases, these requests from EPA or DOJ may require that this
     documentation be provided in less than thirty days.  If additional time is required to comply with a
     request, USAGE will negotiate with EPA and DOJ a schedule for responding. USAGE will provide
     EPA with a contact for obtaining necessary site-specific accounting information and documentation.

  4.  Record Retention Requirements
     The USAGE and its contractors will retain the documents described in these "Special Conditions" for
     a minimurn of six years after submission of a final SF1080 for a site or sites, after which the USAGE
     and its contractors must obtain written permission from the appropriate regional award official before
     disposing of any of the records.

  5,  Audits
     a.   Certain agencies are required by  CERCLA, as amended, to perform annual audits of transac-
          tions involving the Superfund. The USAGE may also be required to perform annual audits.
          Cost documentation information must be available for audit or verification upon request of
          the DOD Inspector General.
                                             D-22

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                                             Appendix D • Model RD, RA, and Technical Assistance lAGs


   b.    If an audit determines that any direct or indirect costs charged to EPA are unallowable, EPA
         will be notified immediately following the resolution of the audit and EPA will be credited
         with those costs.

6. Other EPA Involvement
   a.    EPA's substantial involvement in this IAG will include reimbursement to the USAGE contin-
         gent upon:
              Receipt and approval by the EPA regional program office of the monthly progress
              reports and any other technical reports described in the Scope of Work.
              Acceptance and approval of requests for reimbursement (SF1080) by the authorized
              representatives of the EPA regional program office and the EPA regional IAG adminis-
              tration office (optional).
   b.    EPA will hold title to all property acquired with Superfund monies. EPA will provide the
         USAGE with property disposal instructions upon termination of the IAG and receive fair-
         market value for any property disposed of or used for non-Superfund activities.
                                            D-23

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AppendkE

 Model RD, RD Oversight, RA, andRA
         Oversight SOWs

-------

-------
                                                                                         (date)

           MODEL STATEMENT OF WORK FOR REMEDIAL DESIGN

           	SITE,	COUNTY,	STATE
ATTACHMENTS
Attachment 1.  Summary of Major Submittals for the Remedial Design at	(Site)	   24
Attachment 2.  Work Breakdown Structure  	   28
Attachment 3.  Regulation and Guidance Documents  	_	   34
Attachment 4.  Transmittal of Documents for Acceptance by EPA	   36
Attachment 5.  Transmittal Register	37
  Points for the Work Assignment Manager or Remedial Project Manager (WAM/RPM) to consider in
  preparing the Statement of Work (SOW) for Remedial Design (RD):

  The purpose of this SOW is twofold:

  1. To tell the contractor what you want done. Be as specific as possible in describing what you want
  the contractor to do. The contractor will write a work plan and budget describing how and at what cost the
  requirements will be met and ultimately will be responsible for performing those requirements.  Whenever
  there is an absolute requirement (e.g., prepare the Quality Assurance Project Plan (QAPP) in accordance
  with QAMS-005/80 (December 29, 1980)),  state it. Add the attachments  to the SOW: (1) Summary of
  Major Submittals for the Remedial Design at	(Site), (2) Work Breakdown Structure, and (3)
  Transmittal of Documents for Acceptance by EPA.

  2. To give the contractor a work breakdown structure for recording costs. In this manner, work plan
  costs and final costs of different remedial design projects can be compared and analyzed.

  Use of a Work Breakdown Structure (WBS)

  1. A WBS has been developed for this model work assignment for EPA to track the initial and final costs
  of each element used for preparing future cost estimates and to share  this data  with other Federal agencies.
  The WBS is, essentially, the outline for this work assignment and is included as Attachment 2 to the SOW.

  2. If an element is not to be used, do not change the numbering system: instead, insert "not used"  or
  "N/A" after the element number after  deleting the text for that element.

  3. For the items used for a given project, additional descriptions (e.g., type of samples and estimated
  number) should be added in order for  the contractor and WAM/RPM to develop  estimated costs on a
  common basis
3.0  Introduction

     .0.1   Site Description
  Provide a brief site description and site history.
     .0.2  Purpose
           The purpose of this Statement of Work (SOW) is to set forth the requirements for the Remedial
           Design (RD) of the selected remedy as defined in the Record of Decision (ROD) issued on
                                                                                Model RD SOW (6/95)

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                                                                                'I

                      (date).  The RD is generally defined as those activities to be undertaken by the
          contractor to develop the final plans and specifications, general provisions, and special
          requirements necessary to translate the ROD into the remedy to be constructed under the remedial
          action (RA) phase. The RA is generally defined as the implementation phase of site remediation or
          construction of the remedy, including necessary operation and maintenance, performance
          monitoring, and special requirements.  The RA is based on the RD to achieve the remediation goals
          specified in the ROD. This SOW is designed to provide the framework for conducting the RD
          activities at	(site). The goal is to complete  and deliver the final plans and
          specifications within	months after approval of the work plan.  The estimated completion
          date for this work assignment is	.
   .0.3   General Requirements
          .0.3.1   The contractor shall conduct the RD in accordance with this SOW arid consistent with the
                  ROD issued on	(date), the Remedial Design/Remedial Action (RD/RA)
                  Handbook (U.S. EPA Office of Solid Waste and Emergency Response (OSWER), 9355.0-
                  04B, EPA 540/R-95/059, June 1995), and all other guidance used by EPA in conducting
                  an RD.  The primary contact for this work assignment is	, Tel.	; the
                  secondary contact is	; Tel.	.
          ,0.3.2   A summary of the major deliverables and a suggested schedule for submittals are attached
                  (Attachment  1).  The contractor shall submit the major deliverables using the form
                  Transmittal of Documents for Acceptance by EPA. Attachment     "	.
The attachments to this model SOW may be copied and completed for a given RD.  Attachment 4 is a form
for use by the contractor in the transmittal of documents to EPA and should be an attachment to the
completed SOW. Attachment 5 is a transmittal register log for use by the WAM/RPM in tracking
documents submitted by the contractor.
          .0.3,3   Specifically, the RD involves the design of	.
          .0.3.4   The contractor shall furnish all necessary and appropriate personnel, materials, and
                  services needed for, or incidental to, performing and completing the RD.
          .0.3.5   A list of primary guidance and reference material is attached (Attachment 3). In all cases,
                  the contractor shall use the most recently issued guidance.
          .0.3.6   The estimated cost of the RA, as outlined in the ROD, is $	.
          .0.3 ?7   The contractor shall communicate at least weekly with the Work Assignment Manager or
                  Remedial Project Manager (WAM/RPM), either in face-to-face meetings or through
                  conference calls.
          .0.3.8   The contractor shall notify the WAM/RPM when 75 percent of the  approved work
                  assignment budget has been expended and when 95 percent has been expended.
          .0.3.9   The contractor shall document all decisions that are made in meetings and conversations
                  With EPA.  The contractor shall forward this documentation to the WAM/RPM within two
 •             ;    working days of the meeting or conversation. 	

 It is the WAM's responsibility to document fully all decisions made.  The contractor's  documentation is
 used for confirmation only.	       ||
              ; i  '  ,::                                         .          ; • •        i
          .0.3.10 EPA will provide oversight of contractor activities throughout the RD.  EPA review and
                  approval of deliverables  is a tool to assist this process and to satisfy, in part, EPA's
                  responsibility to provide effective protection of public health, welfare, and the
                  environment. EPA will  review deliverables to assess the likelihood that the RD will
                  achieve its remediation goals and that its performance and operations requirements have
                  been correctly identified. Acceptance of plans and specifications by EPA does not relieve
                  the contractor of responsibility for the adequacy of the design.
    .0.4  Record-Keeping Requirements
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            The contractor shall maintain all technical and financial records for the RD hi accordance with the
            contract.  At the completion of the RD, the contractor shall submit	copies of the official
            record of the RD in	(format) to the WAM/RPM.
  1.  Technical and financial records must support decisions made during the RD as well as cost recovery.

  2.  Check with the Regional Records Manager and with Regional Counsel regarding the distribution,
  number of copies, and preferred format (i.e., hard copy, microform, CD-ROM) for the official records of
  the RD.
      .0.5   Equipment Transfer
            At the completion of the RD work assignment, the contractor shall transfer to the EPA Equipment
            Coordinator all equipment purchased with contract funds in accordance with the contract.
      .0.6   Project Closeout
            At the completion of the RD work assignment, the contractor shall perform all necessary project
            closeout activities as specified in the contract.  These activities may include closing out any
            subcontracts, indexing and consolidating project records and files as required in Paragraph 0.4
            above, and providing a technical and financial closeout report to EPA. Final costs shall be
            reported to EPA (on disk) broken down into the cost for each element of the  Work Breakdown
            Structure (WBS) (Attachment 2) for this work assignment.

3.1   Project Planning and Support

      The purpose of this task is to determine how the site-specific remediation goals, as specified in the ROD,
      will be met.  The following activities shall be performed  as part of the project planning task:
      .1.1   Project Planning
            .1.1.1   Attend Scoping Meeting.  Before or concurrent with developing the Work Plan, the
  	contractor shall attend a scoping meeting to be held at the EPA Regional Office.
  Location of meetings and RPM expectations for the number of contractor personnel to attend should be
  specified for cost estimation purposes.
            .1.1.2   Conduct Site Visit.  The contractor shall conduct a site visit with the EPA WAM/RPM
                    during the project planning phase to assist in developing a conceptual understanding of the
                    RD requirements for the site. Information gathered during the visit shall be used to better
                    scope the project and to help determine the extent of additional data necessary to
                    implement the RD.  A Health and Safety Plan (HASP) is required for the site visit.  The
                    contractor shall prepare a report that documents all EPA, contractor, and site personnel
                    present at the visit; all decisions made during the visit; any action items assigned,
                    including person responsible and due date;  any unusual occurrences during the visit; and
                    any portions of the site that were not accessible to the contractor and the effect of this on
                    the RD. This report shall be submitted to the EPA WAM/RPM within 10 calendar days of
                    the site visit.
            .1.1.3   Evaluate Existing Information. The contractor shall obtain, copy (if necessary), and
                    evaluate existing data and documents, including the Remedial Investigation/Feasibility
                    Study (RI/FS), the ROD, and other data and documents as  directed by EPA.  This
                    information shall be used to determine if any additional data are needed for RD
                    implementation. The documents available for review are listed in Attachment
                                                                                    Model RD SOW (6/95)

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The WAM/RPM will create an attachment to this SOW. Additional documents to list in the attachment
could include the summary of the "Information Collection" effort (see Chapter 3 of the Guidance for
Scoping the Remedial Design),  Focused Feasibility Studies (FFSs), State documentation, hydrogeological
information, and RPM file data. However, to control expenses, limit review to pertinent documents
specific to the site.                                                              	
          .1.1.4  Develop Work Plan. The contractor shall present the general approach that will be used
                  for the RD at a Work Plan scoping meeting with the WAM/RPM. This meeting will be
                  held at the Region	office.
If the RD will be complex, consider modifying subtask 3.1.1.4(1) to include a scoping meeting.  A scoping
meeting held before the contractor finalizes the technical approach ensures that the government and the
contractor agree on the approach to be taken and that the work plan reflects the agreed-upon approach. The
contractor may not have to rewrite the work plan if this is done.              	
                  (1) Develop Draft Work Plan. The contractor shall prepare and submit a draft RD Work
                      Plan within 30 calendar days after Work Assignment (WA) initiation.  The contractor
                      submits the original to the Contracting Officer (CO), one copy to the Project Officer
                      (PO), and one copy to the WAM/RPM. The Work Plan shall include a comprehensive
                      description of the additional data collection and evaluation of activities to be
                      performed,  if any, and the plans and specifications to be prepared.  A comprehensive
                      design management schedule for completion of each major activity and submittal shall
                      also be included. The Work Plan shall be developed in conjunction with the Sampling
                      and Analysis Plan (SAP) and HASP, although each plan shall be delivered under
                      separate cover within 30 days after WA initiation.
 1.  The submittal requirements in this SOW must be in accordance with the submittal requirements for the
 contract.

 2.  An independent government cost estimate (IGCE) for the RD must be prepared before the work
 assignment (WA) is issued to the contractor.

 3.  Verify the work plan submittal timeframe with the PO.

 4.  Additional copies  of the work plan can be submitted to the WAM/RPM, if specified, for distribution to
 other technical staff.
                      (a)  Develop Narrative.  Specifically, the Work Plan shall present the following:
                          -  A statement of the problem(s) and potential problem(s) posed by the site and
                             how the objectives of the RD will address the problem(s).
                          -  A background summary setting forth:  (1) a brief description of the site
                             including the geographic location and a description of the physiographic,
                             hydrologic, geologic, demographic, ecological, cultural, and natural resource
                             features of the site; (2) a brief synopsis of the history of the site including a
                             summary of past disposal practices and a description of previous responses that
                             have been conducted by local, State, Federal, or private parties at the site;  (3)
                             a summary of the existing data including physical and chemical characteristics
                             of the contaminants identified and their distribution among the environmental
                             media at the site.
                          -  The contractor's technical and management approach to each task to be
                             performed,  including a detailed description of each task; the assumptions used;
                                                                                   Model RD SOW (6/95)

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                             the identification of any technical uncertainties (with a proposal for the
                             resolution of those uncertainties); the information needed for each task; any
                             information to be produced during and at the conclusion of each task; and a
                             description of the work products that will be submitted to EPA.  The
                             contractor shall identify any subcontractors it plans to use to accomplish all or
                             part of a task's objectives.  Tasks and subtasks shall be presented in the same
                             WBS format as provided in this work assignment.
                             A schedule for specific dates for the start and completion of each required
                             activity and submission of each deliverable required by this SOW.  (See
                             Attachment 1 for format.)  This schedule shall also include information about
                             timing, initiation, and completion of all critical p;ath milestones for each
                             activity and deliverable and the expected review  time for EPA.
For schedule development, the WAM/RPM should indicate to the contractor whether design activity will
continue concurrent with EPA design review or whether work will stop until the contractor receives design
review comments. In deciding which to prescribe, weigh the trade off between the cost of possible rework
versus a shortened schedule.
                     (b) Develop Cost Estimate. The contractor's estimated cost to complete the work
                         assignment shall be broken down into the Level of Effort (by P-level) and cost for
                         each element of the Work Breakdown Structure (Attachment 2) and submitted to
                         EPA on disk.
                     (c) Internal QA and Submission of Draft Work Plan.
                  (2) Prepare Final Work Plan
                     (a) Attend Negotiation Meeting.  The contractor shall attend a Work Plan negotiation
                         meeting at the Region	office.
                     (b) Modify Draft Work Plan and Cost Estimate. If the contractor finds that the
                         remedial action being designed differs significantly from the ROD or that an
                         ARAR cannot be met, the contractor shall describe the issue and recommend
                         technical solutions in a memo to  the WAM/RPM.  The contractor shall  make
                         revisions to the Work Plan as a result of EPA's comments and/or negotiation
                         agreements.   The final work plan shall be submitted within 15 days after receipt of
                         EPA comments.
                     (c) Internal QA and Submission of Final Work  Plan.
   . 1.2 Preparation of Site-Specific Plans
          .1.2.1   Develop Site Management Plan. After EPA approval of the RD Work Plan, the contractor
                  shall prepare a Site Management Plan (SMP) that provides EPA with a written
                  understanding of how access, security, contingency procedures, management
                  responsibilities, and waste disposal are to be handled.
                  (1) Develop Pollution Control and Mitigation Plan
                  (2) Develop Transportation and Disposal Plan (Waste Management Plan)
          .1.2.2   Develop Health and Safety Plan.  Prepare a site-specific HASP that specifies employee
                  training, protective equipment, medical surveillance  requirements, standard operating
                  procedures, and a contingency plan in accordance with  [40 CFR 300.150 of the  NCP and]
                  29 CFR 1910.120 1(1) and (1)(2).   Whenever possible, refer to the HASP developed for
                  the RI/FS when preparing the HASP for the RD.  A task-specific HASP must also be
                  prepared to address health and safety requirements for site visits.
          .1.2.3   Develop Sampling and Analysis Plan (Chemical Data Acquisition Plan)
                  (1) Quality Assurance Project Plan.  The contractor  shall prepare a Quality Assurance
                     Project Plan (QAPP) hi accordance with EPA QA/R-5  (latest draft or revision).  The
                     QAPP shall describe the project objectives and organization, functional activities, and
                     quality assurance/quality control (QA/QC) protocols that shall be used to achieve the
                     desired Data Quality Objectives (DQOs).  The DQOs shall, at a minimum, reflect use
                     of analytical methods for identifying contamination and addressing contamination

                                                 5                                Model RD  SOW (6/95)

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                     consistent with the levels for remedial action objectives identified in the National
                     Contingency Plan. The QAPP developed for the RI/FS should be referenced or
                     adapted whenever possible when preparing the QAPP for the RD.
                  (2) Field Sampling Plan.  Prepare a Field Sampling Plan (FSP) that defines the sampling
                     and data collection methods that shall be used for the project.  The FSP shall include
                     sampling objectives; sample locations and frequency; sampling equipment and
                     procedures; sample handling and analysis; and a breakdown of samples to be analyzed
                     through the Contract Laboratory Program (CLP) and through other sources,  as well as
                     the justification for those decisions.  The FSP shall consider the use of all existing data
                     and shall justify the need for additional data whenever existing data will meet the same
                     objective.  The FSP shall be written so that a field sampling team unfamiliar with the
                     site would be able to gather the samples and field information required. The FSP
                     developed for the RI/FS must be referenced or adapted whenever possible when the
                     FSP is prepared for the RD; the contractor shall document any required changes to the
                   ;  FSP in a memorandum to the WAM/RPM.                    '
1. Depending on the complexity of the sampling effort needed to support the RD, the FSP and QAPP can
be combined into a single Sampling and Analysis Plan (SAP).

2. Minimize the duplication of data collection by requiring the contractor to use existing data whenever
practicable.  Contractors tend to "mistrust" data collected by others regardless of the quality.  Limiting date
collection can shorten the design period.

3. Reduce time and costs by using an on-site laboratory to analyze routine samples rather  than going
through the  CLP.

4. Identify  whether  audits will be performed and specify contractor response items.	
                  (3) Data Management Plan
                  (4) Develop Other Plan(s)
    . 1.3   Project Management
          .1.3.1   Prepare Periodic Status Reports.  The contractor shall prepare Monthly Progress Reports.
                  (1) Document Cost and Performance Status.  The contractor shall document the status of
                   !  each task and report costs and level of effort (by P-level) expended to date.
                  (2) Prepare and Submit Invoices
          .1.3.2   Meeting Participation and Routine Communications.  The contractor shall attend project
                  meetings,  provide documentation of meeting results,  and shall contact the WAM by
                  telephone  on a weekly basis to report project status.
          .1.3.3   Perform Engineering Network Analysis
          .1.3.4   Manage, Track, and Report Equipment Status.  The contractor shall manage, track, and
                  report the status of all site-specific equipment.
          .1.3.5   Work Assignment Closeout
The RPM/WAM should specify the format for submissions (e.g., Monthly Progress Reports) if there are
Region-specific requirements or other specific requirements.
        __                                                                     -

    .1.4  Subcontract Procurement and Support Activities
          .1.4.1  Identification and Procurement of Subcontractors.  Procure and administer the necessary
                  subcontracts, including, but not limited to the following:
                  XI) Drilling Subcontractor
                  (2) Surveying Subcontractor
                  (3) Geophysical Subcontractor
                                                                                   Model RD SOW (6/95)

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                    (4) Site Preparation Subcontractor
                    (5) Analytical Services Subcontractors)
                    (6) Waste Disposal Subcontractor
                    (7) Treatability Subcontractor(s)
                    (8) Other(s)
            .1.4.2  Establish and Carry Out a QA Program for Subcontracts
            .1.4.3  Perform Subcontract Management

3.2  Community Relations

     The contractor shall provide community relations support to EPA throughout the RD.  The contractor
     shall provide community relations support in accordance with Community Relations in Superfund: A
     Handbook, June 1988.  Community relations shall include the following subtasks:
  Listed below are a number of possible community relations activities the RPM/WAM may require
     .2.1   Develop Community Relations Plan (CRP)
            The contractor shall develop an RI/FS CRP to address community relations requirements during the
            RD.  This CRP may be modified from an existing CRP to meet site-specific requirements.
            .2.1.1   Conduct Community Interviews
            .2.1.2   Prepare the CRP
                    (1) Draft CRP
                    (2) Final CRP
     .2.2   Prepare Fact Sheets
            The contractor shall prepare a fact sheet that informs the public about activities related to the final
            design, a schedule for the RA, activities to be expected during construction, provisions for
            responding to emergency releases and spills, and any potential inconveniences such as excess traffic
            and noise that may affect the community during the RA.
     .2.3   Public Hearing, Meetings,  and Availability Support
            The contractor shall support and assist in public hearings, meetings, and open houses. The
            contractor shall prepare presentation materials and provide support as needed for public meetings.
  1.  The number and location of anticipated public meetings should be identified in the SOW.

  2.  The RPM should specify the number of contractor personnel expected to attend the public meetings
            .2.3.1  Technical Support. The contractor shall provide technical support for community
                   relations. This support may include preparing technical input to news releases, briefing
                   materials, and other community relations vehicles, and helping the WAM/RPM to
                   coordinate with local agencies.
            .2.3.2  Logistical and Presentation Support
            .2.3.3  Public Notice Support
     .2.4   Maintain Information Repository and Mailing Lists
            The contractor shall  develop or revise site mailing lists and maintain a repository of information on
            activities related to the site-specific remedial design as described in Appendix A.8, page A-19, of
            Community Relations in Superfund: A Handbook, June 1988.
  The RPM/WAM should specify the format for Community Relations submissions (e.g., fact sheets, news
  releases) if there are Region-specific requirements or other specific requirements.
                                                                                    Model RD SOW (6/95)

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3.3   Data Acquisition

      Data acquisition entails collecting environmental samples and information required to support the RD.
      The planning for this task is accomplished in Task 3.1, Project Planning and Support, which results in the
      plans required to collect the field data.  Data acquisition starts with EPA's  approval of the FSP and ends
      with the demobilization of field personnel and equipment from the site.
               . '*'   /'I            ,                  i           ••     '.     :<  ,    ,  i.'j
      The contractor shall perform the following field activities or combination of activities for data acquisition
      in accordance with the EPA-approved FSP and QAPP developed in Task 3.1.
  Before beginning field activities, consider specifying a kickoff meeting with all principal personnel to clarify
  objectives, communication channels, etc., to ensure the efficient use of available funds.
      .3.1   Mobilization and Demobilization
            Provide the necessary personnel, equipment, and materials for mobilization and demobilization to
            and from the site for the purpose of conducting the sampling program under subtask 3.3.2, Field
            Investigation.
            ,3 .,1.1  Identify Field Support Equipment, Supplies, and Facilities
            .3.1.2  Mobilization. Mobilize and set up a field laboratory to facilitate rapid turnaround times
                    for analytical results and identification of sample locations for subsequent sampling rounds.
                    (1) Site Preparation
                        (a)  Perform Demolition
                        (b)  Clearing and Grubbing
                        (c)  Perform Earthwork
                            -   Provide Borrow Pit
                            -   Construct Haul Roads
                            -   Construct Roads, Parking, Curbs, and Walks
                                Install Storm Drainage and Subdrainage
                            -   Install Fencing and Site Security
                    (2) Installation of Utilities
                        (a)  Install Electrical Distribution
                        (b)  Install Telephone and Communication System(s)
                        (c)  Install Water, Sewage, and Gas Distribution
                        (d)  Install Fuel Line Distribution
                    (3) Construction of Temporary Facilities
                        (a)  Construct Decontamination Facilities
                        (b)  Construct Sample and Derived Waste Storage Facility
                        (c)  Construct Field Offices
                        (d)  Construct Mobile Laboratory
                        (e)  Construct Other Temporary Facilities
             .3.1.3   Demobilization. Demobilize the field laboratory.
                     (1) Removal of Temporary Facilities
                     (2) Site Restoration
      .3.2  Field investigation.  Conduct environmental sampling to include the following:
             .3.2.1   Perform Site Reconnaissance.  The contractor shall conduct site surveys including
                     property, boundary, utility rights-of-way, and topographic information.  These surveys are
                     to refine the survey data from the RI/FS and to ensure the accuracy of the information for
                     theRD.
   For items of this Model Statement of Work that are not needed for a given project, please retain the
   numbers for the items, but enter "Not Used" or "N/A" after the numbers of those items.

   For the items used for a given project, additional descriptions (e.g., type of samples and estimated number)
   should be added in order for the contractor and RPM/WAM to develop estimated costs on a common basis.
                                                                                      Model RD SOW (6/95)

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         (1) Ecological Resources Reconnaissance
            (a)  Well Inventory
            (b)  Residential Well Sampling
            (c)  Land  Survey
            (d)  Topographic Mapping
            (e)  Field  Screening
 .3.2.2   Conduct Geological Investigations (Soils and Sediments)
         (1) Collect Surface Soil Samples
         (2) Collect Subsurface Soil Samples
         (3) Soil Boring and Permeability Sampling
         (4) Collect Sediments Samples
         (5) Survey Soil Gases
         (6) Test Pit
 .3.2.3   Conduct Air Investigations
         (1) Sample Collection
         (2) Air Monitoring Station
 .3.2.4   Conduct Hydrogeological Investigations:  Ground Water
         (1) Install Well Systems
            (a)  Accomplish Mobilization
            (b)  Develop Wells
            (c)  Conduct Downhole Geophysics
            (d)  Install Monitoring Wells
            (e)  Install Test Wells
            (f)  Install Gas Wells
         (2) Collect Samples
         (3) Collect Samples During Drilling (e.g., HydroPunch or Equivalent)
         (4) Conduct Tidal Influence Study
         (5) Perform Hydraulic Tests (Pump Tests)
         (6) Measure Ground-Water Elevation
 .3.2.5  Conduct Hydrogeological Investigations:  Surface Water
        (1) Collect Samples
        (2) Study Tidal Influence
        (3) Measure Surf ace-Water Elevation
 .3.2.6  Conduct Waste Investigation
        (1) Collect Samples (Gas, Liquid, Solid)
        (2) Dispose of Derived Waste (Gas, Liquid, Solid)
 .3.2.7  Conduct Geophysical Investigation
        (1) Surface Geophysical Activity [can just list these]
        (2) Magnetometer
        (3) Electromagnetics
        (4) Ground-Penetrating Radar
        (5) Seismic Refraction
        (6) Resistivity
        (7) Site Meteorology
        (8) Cone Penetrometer Survey
        (9) Remote Sensor Survey
        (10) Radiological Investigation
.3.2.8  Conduct Ecological  Investigation
        (1) Wetland and Habitat Delineation
        (2) Wildlife Observations
        (3) Community Characterization
        (4) Identification of Endangered Species
        (5) Biota Sampling and Population Studies
.3.2.9  Collect Contaminated Building Samples.
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            .3.2.10 Dispose of Investigation-Derived Waste.  Characterize and dispose of investigation-derived
                    wastes hi accordance with local, State, and Federal regulations as specified in the FSP (see
                    the Fact Sheet, Guide to Management of Investigation-Derived Wastes, 9345.3-03FS
                    (January 1992)).
  1. The WAM/RPM must determine the types of sampling that will be needed and select from the list
  above.

  2. The numbers of samples anticipated should be specified so that both the contractor and the WAM/RPM
  can develop the cost estimates.

  3. The WAM/RPM should consult with the Technical Review Team to determine the types and numbers of
  samples to be collected.  The numbers may be refined upon negotiation with the contractor.

  4. The WAM/RPM should specify the expected written and/or photographic documentation to be recorded
  in the field.

  5. The WAM/RPM should specify the type of field activity reports that are expected, the frequency, and
  required distribution (RPM, State representative, etc.).                               	
3.4  Sample Analysis
                                                                                  I
     The contractor shall arrange for the analysis of environmental samples collected during the previous task.
     The sample analysis task begins with reserving sample slots in the CLP and the completion of the field
     sampling program. This task ends with the contractor validating the analytical data received from the
     laboratory.
  1. The RPM/WAM should consider adding a subtask for on-site laboratory analysis.  The purpose of this
  new subtask would be to perform screening analyses only.

  2. If special analytical services (SAS) are required, they must be specified in a subtask.
      The contractor shall perform the following activities or combination of activities to analyze test results:
      .4.1   Screening-Type Laboratory Sample Analysis
            .4.1.1   Analyze Air and Gas Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.1.2   Analyze Ground-Water Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.1.3   Analyze Surface-Water Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.1.4   Analyze Soil and Sediment Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.1.5   Analyze Waste (Gas) Samples
                    (1) Organic
                    (2) Inorganic
                                                   10
Model RD SOW (6/95)

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                    (3) Radiochemistry
             .4.1.6  Analyze Waste (Liquid) Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
             .4.1.7  Analyze Waste (Solid) Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
             .4.1.8  Analyze Biota Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
             .4.1.9  Analyze Bioassay Samples
             .4.1.10 Perform Bioaccumulation Studies
      .4.2   CLP-Type Laboratory Sample Analysis
             .4.2.1  Analyze Air and Gas Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.2  Analyze Ground-Water Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.3  Analyze Surface-Water Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.4  Analyze Soil and Sediment Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.5  Analyze Waste (Gas) Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.6  Analyze Waste (Liquid) Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.7  Analyze Waste (Solid) Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.8  Analyze Biota Samples
                    (1) Organic
                    (2) Inorganic
                    (3) Radiochemistry
            .4.2.9  Analyze Bioassay Samples
            .4.2.10  Perform Bioaccumulation Studies

3.5  Analytical Support and Data Validation

     The contractor shall arrange for the validation of environmental samples collected during the previous
     task.  The sample validation task begins with reserving sample slots in the CLP and the completion of the

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      field sampling program. This task ends with the contractor validating the analytical data received from the
      laboratory.

      Perform appropriate data validation to ensure that the data are accurate and defensible.
  1.  For RD, full data validation procedures are usually not necessary.  The WAM/RPM may want to
  specify the level of data validation required.

  2.  The WAM/RPM should specify the format for submissions if there are Region-specific requirements or
  if you have specific requirements.
      The contractor shall perform the following activities or combination of activities to validate test results:
      .5.1   Prepare and Ship Environmental Samples
            .5.1.1   Ground-Water Samples
            .5.1.2   Surface and Subsurface Soil Samples
            .5.1.3   Surface-Water and Sediment Samples
            .5.1.4   Air Samples
            .5.1.5   Biota Samples
            .5.1.6   Other Types of Media Sampling and Screening
      *5.2   Coordinate with Appropriate Sample Management Personnel
      .5.3   Implement EPA-Approved Laboratory QA Program.
      .5.4   Provide Sample Management (Chain of Custody, Sample Retention, and Data Storage)
            Ensure the proper management of samples.  Ensure accurate chain-of-custody procedures for
            sample tracking, protective sample packing techniques, and proper sample-preservation techniques.
      .5.5   Validate Data
            .5.5.1   Review Analysis Results Against Validation Criteria
            .5.5.2   Provide Written Documentation of Validation Efforts
  The WAM/RPM should specify the format for submissions if there are Region-specific requirements or if
  the WAM/RPM has specific requirements.
3.6  Data Evaluation

      The contractor shall organize and evaluate existing data and data gathered during the previous tasks that
      will be used later in the RD effort.  Data evaluation begins with the receipt of analytical data from the
      data acquisition task and ends with the submittal of the Data Evaluation Summary Report.  Specifically,
      the contractor shall perform the following activities or combination of activities during the data evaluation
      effort:
      .6.1   Data Usability Evaluation and Field QA/QC
      .6.2   Data Reduction, Tabulation, and Evaluation.
            Evaluate, interpret, and tabulate data in an appropriate presentation format for final data tables.
            Design and set up  an appropriate database for pertinent information collected that will be used
            during the RD.
            .6.2.1   Evaluate Geological Data (Soils and Sediments)
            .6.2.2   Evaluate Air Data
            .6.2.3   Evaluate Hydrogeological Data:  Ground Water
            .6.2.4   Evaluate Hydrogeological Data:  Surface Water
            .6.2.5   Evaluate Waste Data
            .6.2.6   Evaluate Geophysical Data
            .6.2.7   Evaluate Ecological Data
      .6.3   Modeling
            .6.3.1   Contaminant Fate and Transport
                                                                                   j
                                                                                   1
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            .6.3.2  Water Quality
            .6.3.3  Ground Water
            .6.3.4  Air
            .6.3.5  Other Modeling
      .6.4   Develop Data Evaluation Report. Evaluate and present results in a Data Evaluation Summary
            Report and submit to the WAM/RPM for review and approval. After the WAM/RPM's review,
            attend a meeting with EPA to discuss data evaluation results and next steps.
  The WAM/RPM should specify the format for submissions if there are Region-specific requirements or if
  the WAM/RPM has specific requirements.

  The WAM/RPM should specify that the contractor shall prepare and submit a Technical Memorandum to
  the WAM/RPM if new analytical data needs or significant data problems are identified during the
  evaluation.
3.7  Treatability Study and Pilot Testing

     The purpose of the treatability study is to provide sizing and operations criteria that are used in design
     drawings and specifications and in the engineer's cost estimate to optimize the RD.  The task begins with
     the preparation of a Treatability Study Work Plan that provides the technical specifics of the study and
     ends with the contractor's submittal of the Treatability Study Evaluation Report.  In some instances,
     information on technology performance  can be found in the current literature  and should be reviewed
     before the Treatability Study is designed.

     The three levels of treatability studies are laboratory screening,  bench-scale testing, and pilot-scale testing.
     The laboratory screening is  used to establish the validity of a technology to treat waste and is normally
     conducted during the FS.  Bench-scale testing  is used  to identify the performance of the technology
     specific to a type of waste for an operable unit.  Often bench-scale tests are conducted during the FS.
     Pilot-scale testing is used to provide quantitative performance, cost, and design information for
     remediation and is typically performed during  RD (see the Fact Sheet, Guide for Conducting Treatability
     Studies Under CERCLA, November, 1993).

     In accordance with the design management schedule established in the approved RD Work Plan, the
     contractor shall perform the following activities:
     .7.1   Literature Search
     .7.2   Develop Treatability  and  Pilot Work Plan
            Prepare the Treatability Study Work plan and submit to the WAM/RPM for review and  approval.
            The Treatability  Study Work Plan shall describe the technology to be tested, test objectives, test
            equipment or systems, experimental procedures, treatability conditions  to be tested, measurements
            of performance,  analytical methods,  data management and analysis, health and safety procedures,
            and residual waste management.  The DQOs for the treatability study shall also-be documented.
            The Treatability  Study Work Plan shall also describe pilot plant installation and startup,  pilot plant
            operation and maintenance procedures,  and operating conditions to be tested.
            If testing is to be performed off-site, permitting requirements shall be addressed. A schedule for
            performing the treatability study shall be included with specific dates for each task and subtask,
            including EPA review periods. Key milestones that should have completion dates specified
            included, but are not limited to, the procurement of contractors and the completion of sample
            collection, the performance period, sample analysis, and  report preparation.
  In the SOW, the WAM/RPM should be clear about the expected schedule, and specify deadlines for each
  activity to maintain the overall RD schedule. When reviewing the contractor's Work Plan, check to see that
  the schedule in the Treatability Study Work Plan is consistent with the schedule in the RD Work Plan.
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          The Treatability Study Work Plan shall describe in detail the treatment process and how the
          proposed vendor or technology will meet the performance standards for the site. The Treatability
          Study Work Plan shall address how the contractor will meet all discharge or disposal requirements
          for any and all treated material, air, water, and expected effluents. Additionally, the Work Plan
          shall explain the proposed final treatment and disposal of all material generated by the proposed
          treatment system.
1.  List the treatment train and components of the system if possible.

2.  Where do treated water and residuals go?

3.  Will there be discharges to air?  Is an air pathway analysis needed to ensure the protection of workers
and the public?

4.  Does the contractor need to consider land disposal restrictions?

5.  Consider having a contingency plan in case problems develop.
          Conduct the Treatability Studies, as necessary, to determine whether the remediation technology or
          vendor of the technology can achieve the performance standards.  Treatability studies shall be
          conducted as described in the EPA-approved Final Treatability Study Work Plan.
          The following activities may be required during the performance of the treatability study and pilot
          testing:
          .7.3    Bench Test
                  .7.3.1  Procure Test Facility and Equipment.  The contractor shall procure test facility
                          and equipment, including the procurement procedures necessary to acquire the
                          vendor, equipment, or facility to execute the tests.
                  .7.3.2  Provide Vendor and Analytical Service
                  .7.3.3  Test and Operate Equipment.  The contractor shall test equipment to ensure
                          operation, then start up and operate equipment.
                  .7.3.4  Retrieve Sample for Testing.  The contractor shall obtain samples for testing as
                          specified in the Treatability Work Plan.
                  .7.3.5  Perform Laboratory Analysis.  The contractor shall establish a field laboratory to
                          facilitate fast-turnaround analysis of test samples, or, if necessary, shall procure
                          outside laboratory services to analyze the test samples and evaluate test results.
                  .7.3.6  Characterize and Dispose of Residuals
          .7.4    Pilot-Scale Test
                  ,7.4.1  Procure Test Facility and Equipment.  The contractor shall procure test facility
                          and equipment, including the procurement procedures necessary to acquire the
                    ]      vendor, equipment, or facility to execute the tests.
                  .7.4.2  Provide Vendor and Analytical Service
                  .7.4.3  Test and Operate Equipment.  The contractor shall test equipment to ensure
                          operation, then start up and operate equipment.
                  .7.4.4  Retrieve Sample for Testing.  The contractor shall  obtain samples for testing as
                          specified in the Treatability Work Plan.
                  .7.4.5  Perform Laboratory Analysis.  The contractor shall establish a field laboratory to
                          facilitate fast-turnaround analysis of test samples, or, if necessary, shall procure
                    ;„      outside laboratory services to analyze the test samples and evaluate test results.
                   .7.4.6  Characterize and Dispose of Residuals
          .7.5    FjeldTest
                   .7.5.1  Procure  Test Facility and Equipment.  The contractor shall procure  test facility
                          and equipment, including the procurement procedures necessary to acquire the
                          vendor, equipment, or facility to execute the tests.
                   .7.5.2  Provide Vendor and Analytical Service
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                     .7.5.3  Test and Operate Equipment.  The contractor shall test equipment to ensure
                            operation, then start up and operate equipment.
                     .7.5.4  Retrieve Sample for Testing.   The contractor shall obtain samples for testing as
                            specified in the Treatability Work Plan.
                     .7.5.5  Perform Laboratory Analysis. The contractor shall establish a field laboratory to
                            facilitate fast-turnaround analysis of test samples, or, if necessary, shall procure
                            outside laboratory services to analyze the test samples and evaluate test results.
                     .7.5.6  Characterize and  Dispose  of Residuals
            .7.6     Develop Treatability Study Report.
                     	days after completion of the Treatability Study, the contractor shall prepare and
                     submit the Treatability Study Evaluation Report that describes the performance of the
                     technology.  The study results shall clearly indicate the performance of the technology or
                     vendor compared with the performance standards established for the site.  The report shall
                     also evaluate the treatment technology's effectiveness, implementability, cost,  and final
                     results compared with the predicted results. The report shall also evaluate full-scale
                     application of the technology, including a sensitivity analysis identifying the key parameters
                     affecting full-scale operation.
  Specify the format for submissions if there are Region-specific requirements or if there are other specific
  requirements.

  Consider holding a project review meeting with the Technical Review Committee and other team members
  after completing the above task to present treatability study results and to summarize the RD status.
3.8   Preliminary Design

      Preliminary Design begins with the initial design and ends with the completion of approximately 30
      percent of the design effort. At this stage, the contractor shall have field-verified the existing conditions
      of the site, as necessary.  The contractor shall provide supporting data and documentation with the design
      documents defining the functional aspects of the project to prove that the completed project will be
      effective in meeting the remediation goals and applicable or relevant and appropriate requirements
      (ARARs). For projects where the U.S.  Army Corps of Engineers (USAGE) is responsible for RA
      performance, the contractor shall prepare design submittals to conform to the format prescribed in
      Technical Requirements for Pre-Design and Design Submittals, USAGE, ETL 1006.  In accordance with
      the schedule established in the RD Work Plan, the contractor shall submit to EPA the Preliminary Design,
      which shall consist of the following subtasks:
  Depending on the RA complexity, the WAM/RPM may require design submittals at 30 percent and again at
  95 to 100 percent, eliminating the intermediate design submittal at 60 percent design completion.
      .8.1   Preliminary Design
            The contractor shall prepare a Design Criteria Report that defines in detail the technical parameters
            upon which the design will be based.  Specifically, the Design Criteria Report shall include the
            preliminary design assumptions and parameters, including (1) waste characterization;  (2) pretreating
            requirements;  (3) volume and types of each medium requiring treatment; (4) treatment schemes
            (including all media and byproducts),  rates, and required qualities of waste streams (i.e.,  input and
            output rates, influent and effluent qualities, potential air emissions, and so forth); (5) performance
            standards; (6)  long-term performance  monitoring and operations and maintenance (O&M)
            requirements;  (7) compliance with all  ARARs, pertinent codes, and standards; (8) technical factors
            of importance to the design and construction including use of currently accepted environmental
            control measures, constructability of the design, and use of currently acceptable construction
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          practices and techniques.  In addition to a Design Criteria Report, the contractor shall do the
          following:
It is recommended that a Design Criteria Report be submitted at approximately 10 percent completion.	|
          .8.1.1   JRecommend Project Delivery Strategy and Scheduling.  The schedule shall include an
                  evaluation of a phased approach to expedite the RA.
          .8.1.2   Prepare Preliminary Construction Schedule.  A preliminary RA schedule appropriate to the
                  size and complexity of the project shall be included in the plans and specifications.
          .8.1.3   Prepare Specifications Outline.  The general specifications  outline shall include all
                  specification sections to be used.  Format and organization shall be as described in Chapter
                  10 of the Architect Engineer Manual, USAGE, AEIM-14,  Omaha District, July 1989,
                  which incorporates the Construction Specification Institute  (CSI) format.  USAGE also
                  developed standardized specifications for RDs that should be used whenever possible.  Ms.
                  Tpmmian McDaniel at EPA Headquarters (Tel. 202-761-4363) may be contacted for more
                  information.
 ;. .            -   - ; ;v:               •          ,                ,                ' „  •  j

I The need for performance specifications hi lieu of a detailed design is determined under this subtask.
                                                                                                      "

          .8.1.4   Prepare Preliminary Drawings.  The drawings and schematics shall reflect organization
                  and clarity.  This submittal should include (1) an outline or listing of proposed drawings
                  and schematics; (2) facility representations including a revised process flow diagram and a
                  preliminary piping and instrumentation diagram;  (3) a general arrangement diagram; and
                  (4) site drawings.  Engineering drawings shall be submitted in full size and half size
                  reproductions.  Standard formats for use in preparing design drawings shall be those
                  described in the USAGE Architect Engineer Manual.
The character of the drawings and schematics will vary according to the remedy.  Formatting requirements
for the drawings should be specified in this subtask.
          .8.1.5  Prepare Basis of Design Report. The contractor shall submit a detailed description of the
                  evaluations conducted to select the design approach as part of the Basis of Design Report.
                  This report shall include a Summary and Detailed Justification of Assumptions.  This
                  summary shall include (1) calculations supporting the assumptions;  (2) a draft process flow
                  diagram; (3) a detailed evaluation of how all ARARs will be met; (4) a plan for
               1   minimizing environmental and public impacts; and (5) a plan for satisfying permitting
                  requirements.
          .8.1.6  Prepare Preliminary Cost Estimate.  The preliminary RA cost estimate shall be a
                  preliminary evaluation of the costs of all the elements of the RA.  The estimate should be
                  accurate within plus	percent and minus	percent and be prepared by using the
                  tyl-CACES Gold cost estimating system for remedial action.  Results of the value
                  engineering (VE) screening are presented as part of the RA cost estimate.  (See  subtask
                  3.8.4.)
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  1.  In the subtask above, use plus 40 percent and minus 20 percent for simple projects; plus 50 percent and
  minus 30 percent for complex projects.

  2.  M-CACES Gold Estimating System is the computer software currently used for estimating construction
  costs by  the U.S. Army of Corps of Engineers (USAGE) for its RA projects and will facilitate its review of
  the cost estimate. The use of this system is required under Response Action Contracts (RACs) but is
  optional under ARCS contracts.
      .8.2   Describe Variances with the ROD
            If the contractor finds that the RA being designed differs from the ROD or that an ARAR cannot
            be met, the contractor shall describe the issue and recommend technical solutions in a
            memorandum to the WAM/RPM.
      .8.3   Land Acquisition and Easement Requirements
            The need for land acquisition for access and easement requirements shall be identified and
            submitted as part of the Basis of Design Report.
            .8.3.1   Identify Need and Locations
            .8.3.2   Provide Technical Support for Land Acquisition Efforts
      .8.4   Conduct and/or Assist in Value Engineering Screening
            The VE screening shall include an evaluation of cost and function relationships, concentrating on
            high-cost areas. The VE screening shall be performed by an independent Value Engineering group
            that is not otherwise participating in the RD.  The outcome of the screening shall be a
            recommendation for or against a full-scale VE study (a subtask performed during intermediate
            design) based on the potential for cost savings as a result of design changes.  [Value Engineering
            Fact Sheet,  May 1990.]
      .8.5   Respond to  Design Review Comments
            The contractor shall consolidate and respond to design review comments. A written response to
            each comment shall be provided.  The response shall indicate whether the contractor has decided to
            implement a design change as a result of the comment, and how the change will impact the selected
            remedy, RD/RA costs, and/or schedule. A summary of the responses to comments shall be
            submitted to the WAM prior to initiation of Intermediate Design.  The design changes shall be
            incorporated under Intermediate Design (Task 3.10).
      .8.6   Participate in Preliminary Design Review or Briefing
            The contractor shall participate in design review meetings to be held at Region	offices.
  The WAM/RPM should specify the format for submissions if there are Region-specific requirements or
  other specific requirements.
            The contractor shall implement QC procedures to ensure the quality of all reports and submittals to
            EPA.  These procedures shall include, but are not limited to, internal technical and editorial
            review; the independent verification of all calculations used in the design; and the documentation of
            all reviews, the problems identified, and corrective actions taken.

      [NOTE: ITEMS 3.8.2 THROUGH 3.8.6, INCLUSIVE, ARE NOT INCLUDED IN THE 6-PERCENT
      DESIGN LIMITATION CALCULATIONS.]

3.9   Equipment, Services, and Utilities

      This task includes all efforts  necessary to procure long-lead equipment and/or services.
      .9.1   Identify Long-Lead Equipment Services and/or Utilities
            The contractor shall prepare a list of any elements or components  of the facility that will require
            custom fabrication or  long lead time for procurement.  The list  shall also state the basis for such
            need, and list the recognized sources of such procurement.


                                                  17                               Model RD SOW (6/95)

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  This task does not include contract award.  Contract award should normally be conducted as part of a
  separate RA work assignment.
      .9.2   Procure Long-Lead Equipment Services and/or Utilities
            The contractor shall prepare necessary plans and specifications, advertise for, and evaluate bids for
            equipment and services.
                                                                                   i

3.10  Intermediate Design

      The intermediate design begins at the completion of the preliminary design phase and ends with the
      completion of approximately 60 percent of the total design effort. The contractor shall submit to EPA the
      Intermediate Design submittal which shall consist of a continuation and expansion of the Preliminary
      Design submittal.  Review comments on the Preliminary Design shall be reflected in the Intermediate
      Design.  A Value Engineering Study shall be performed based on approved recommendations from the VE
      screening submitted with the preliminary design. The Intermediate Design documents shall be submitted
      in accordance with the approved design management schedule and shall consist of the following subtasks:
      .10.1  Update Construction Schedule
            The schedule for implementation of the RA  shall identify the timing for initiation and completion of
            all critical path tasks. The schedule shall specifically identify duration for completion of the project
            and major milestones.
      .10.2  Prepare Intermediate Specifications
            Plans and specifications shall conform to acceptable standards and shall be formatted in accordance
            with  CSI requirements.  Plans and specifications shall include preliminary specifications for
            construction, installation, site preparation, and field work standards, including an equipment startup
            and operator training plan.  A table of contents for the general specifications shall be provided with
            this submittal. All specifications shall conform to CSI format.
      .10.3  Prepare Intermediate Drawings
            The contractor shall submit an outline or listing of drawings: facility representations  containing a
            process flow diagram, a piping and instrumentation diagram,  and a control logic table; and
            continuation and expansion of drawings submitted with the Preliminary Plans and Specifications.
            Include engineering drawings for grading/paving, foundation, and electrical,  structural,  and
            mechanical elements, etc.
      .10.4  Prepare and Submit Revised Basis of Design Report
            The contractor shall submit a revised summary  of the evaluations conducted to select  the design
            approach as  part of the revised Basis of Design Report.  The report shall include the following
            components:
            •        Summary and Detailed Justification of Assumptions. This summary shall include: (1)
                    design calculations  supporting the assumptions; (2) a revised process flow diagram; (3) a
                    detailed evaluation pf how ARARs will be met; (4) a plan for minimization of
                    environmental and public impacts; and (5) heat and mass balances.
   .:        •        Recommended RA Contracting Strategy. The contractor shall address the management
                    approach for procuring the RA contractor, including procurement methods, phasing
                    alternatives, and contractor and equipment availability concerns.
            •        Plan for Satisfying  Permitting Requirements. EPA comments shall be incorporated into an
                    updated Permits Plan.
            •        Identification of Easement and Access Requirements.  The need for land acquisitions for
                    access and  easement requirements shall be identified and submitted as  part of the
                    Intermediate Design.
            Identification of the projected O&M requirements and development of an estimate of annual O&M
            costs.
      .10.5  Prepare Revised RA Cost Estimate
            This revised estimate of the RA shall be developed using flow sheets, layouts,  and equipment
            details.  The estimate shall be accurate within plus	percent and minus	percent and be
            prepared using the M-CACES Gold Cost Estimating  System for Remedial Action.

                                                   18                              !  Model RD SOW (6/95)

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   1.  In the subtask above, use plus 30 percent and minus 15 percent for simple projects; plus 40 percent and
   minus 20 percent for complex projects.

   2.  Use of M-CACES Gold Estimating System computer software for the cost estimate is required for EPA
   RD work assignments under RACs and is recommended for ARCS.  This system is used by USAGE for
   construction cost estimating and will enable contractor-prepared construction estimates to be reviewed more
   readily for accuracy.
      .10.6  Participate in Intermediate Design Review or Briefing
            The contractor shall participate in a variety of design review activities, including design review
            meetings to be held at Region	. The contractor shall also perform and submit a report
            describing the results of the following design reviews:
            .10.6.1 Initial Constructability Review.  The contractor shall review and provide written comments
                    for the Initial Constructability Review.  The constructability review shall be conducted to
                    evaluate the suitability of the proposed project and its components in relation to the project
                    size.
            .10.6.2 Initial Biddability Review. The contractor shall review and provide written comments for
                    the initial biddability review.
            .10.6.3 Initial Operability Review. The contractor shall review and provide written comments for
                    the Initial Operability Review.  The operability review shall assure that the completed
                    project will conform to applicable performance and operations requirements.
            .10.6.4 Initial Environmental Review.  The contractor shall review and provide written comments
                    for the Initial Environmental  Review.
            .10.6.5 Initial Claims Prevention Screening.  The contractor shall review and provide written
                    comments for the Initial Claims Prevention Screening. The claims prevention review is to
                    be conducted to eliminate conflicts, inconsistencies, ambiguities, errors, omissions, or
                    other identifiable problems in the plans, specifications, and contract documents that are
                    subject to change orders and  contractor claims.
      .10.7  Perform VE Study and Report Recommendations
            The VE Study shall be  conducted and the Report prepared by an independent Value Engineering
            group that is not otherwise participating hi the RD (as in subtask 3.8.4).
      .10.8  Describe Variances with the ROD
            If the contractor finds that the remedial  action being designed differs from the ROD, or that an
            ARAR cannot be met, the contractor shall describe the issue and recommend technical solutions in
            a memorandum to the WAM/RPM.
      .10.9  Respond to Design Review Comments
            A written response to each comment shall be provided. The response shall indicate whether the
            contractor has decided to implement a design change as a result of the summary of the responses to
            comments shall be submitted to the WAM prior to initiation of Intermediate Design.  The design
            changes shall be incorporated under Intermediate Design (Task 3.10).

      [NOTE: ITEMS 3.10.6 THROUGH 3.10.9  ARE NOT INCLUDED IN THE 6-PERCENT DESIGN
      LIMITATION CALCULATIONS.]

3.11  Prefinal and Final Design

      The contractor shall submit the Prefinal Design according to the  design management schedule.  The
      Prefinal Design shall function  as the draft version of the Final Design.  The Prefinal Design shall address
      comments  generated from the  Intermediate Design Review and clearly show any modifications of the
      design as a result of incorporation of the comments.  After EPA review and comment  on the Prefinal
      Design, the Final Design shall be submitted.  All Final Design documents shall be approved by a
      Professional Engineer registered in	(state where site is located). EPA approval of the Final
      Design is required before initiating the RA, unless specifically authorized by EPA.

                                                   19                              Model RD SOW (6/95)

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   .11.1  Prepare Prefinal Design Specifications
          A complete set of construction drawings and specifications (general specifications, drawings, and
          schematics) shall be submitted at the prefmal stage.  All specifications shall conform to CSI format.
          Value engineering report recommendations (submitted with the intermediate design) that have been
          approved by EPA shall be incorporated into the prefmal design drawings and specifications.  The
          final design plans and specifications must be consistent with  the technical requirements of all
          ARARs. Any off-site disposal shall be in compliance with the policies stated in the Procedure for
          Planning and Implementing Off-Site Response Actions (Federal Register, Volume 50, Number 214,
          November 1985 pages 45933-45937) and other applicable guidance.
          General correlation between drawings and technical specifications is a basic requirement of any set
          of working construction plans and specifications.  Before submitting the project specifications, the
          contractor shall coordinate and cross-check the specifications and drawings; and complete the
          proofing of the edited specifications and the cross-checking of all drawings and specifications.
   .11.2  Prepare Prefinal Drawings
          The final submittals shall include a complete set of construction drawings and specifications as well
          as a set of one-half size reductions of drawings. All specifications shall conform to CSI format.
   .11.3  Prepare Final Basis  of Design Report that incorporate any changes since the intermediate design
          submittal.
   .11.4  Prepare Revised RA Cost Estimate
          The contractor shall prepare a definitive cost estimate of the offers to be received for RA for each
          work item from definitive engineering data, within an accuracy of plus 15 percent to minus 5
          percent.  The definitive cost estimate should be accompanied by a range estimate and analysis of
          the project's potential scope, cost, and schedule change during RA, broken down by work activity.
          One copy of the quantity takeoff sheets, including the appropriate items, shall be included with
          each estimate submitted. All  work items shall be broken down into labor, materials, and
          equipment.  The contractor shall provide the basis for development of all unit prices used in the
          estimate. Unit prices, overhead, profit, and other categories shall be shown as separate items.  The
          final estimate will be based on the advertised plans and specifications including amendments. It
          should reflect current prices for labor, materials,  and equipment.  The estimate shall separately
          identify contingencies within the defined project scope.  The contractor shall prepare the RA cost
          estimates by using the M-CACES Gold Estimating System.
The use of M-CACES Gold Estimating System for the cost estimate is required for RD work assignments
under RACs and is recommended under ARCS.
    .11.5  Prepare 100-Percent Design Submittal
    .11.6  Participate in Prefinal/Final Design Review
          The contractor shall participate in a Prefinal Design review meeting. The meeting shall be held at
          Region ___ headquarters.  The contractor shall also consolidate and respond to Intermediate and
          Prefinal Design review comments. A written response for each comment shall be provided before
          incorporating the changes into the design.  The changes shall be incorporated as part of the 100-
          Percent Design submittal.
    .11.7  Prepare Subcontract Award Documents
          The contractor shall prepare complete contract documents, including (1) complete RA SOW
          including, wherever appropriate, drawings and specifications, complete cost proposal, and the
          required schedule; (2) terms and conditions of the contract including payments, delivery schedule,
          point of delivery, and acceptance criteria; (3) method of procurement including evaluation, basis,
          and method of awarding contract; (4) criteria to be employed in evaluating bids and offers; (5)
          prevailing wage determinations (DBA); (6) deadline and location for submitting bids and offers, if
          applicable; and (7)  appropriate contract clauses.
    .11.8  Perform Biddabiliry, Operability, and Constructability Reviews
          The contractor shall conduct final constructability, biddability, Operability, environmental, and
          claims prevention reviews and document results.


                                                  20                                Model RD SOW (6/95)

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    .11.9  Prepare Revised Project Delivery Strategy
    .11.10        Document VE Modifications
    .11.11        Draft Operations and Maintenance (O&M) Manual
          The manual should include the following:
          .11.11.1    An operations and maintenance plan that includes a description of normal operation and
                      maintenance including start-up procedures, tasks for operation, tasks for maintenance,
                      prescribed treatment or operation conditions, and schedule for each O&M task
          .11.11.2    A description of potential operating problems including common and/or anticipated
                      remedies and useful-life analysis of significant components and replacement costs
          .11.11.3    Quality Assurance Plan for O&M including a description of routine monitoring tasks,
                      description of required laboratory tests and their interpretation, required data
                      collection, and location of monitoring points comprising the points of compliance
                      monitoring
          .11.11.4    Alternate procedures to prevent releases or threatened releases of hazardous substances,
                      pollutants, or contaminants, which may endanger health and the environment or cause
                      an exceedance of any cleanup standard
          .11.11.5    Corrective action to be implemented in the event that cleanup standards for ground
                      water, surface water discharges, and air emissions are exceeded and a schedule for
                      implementing these corrective actions
          .11.11.6    Safety Plan for O&M including a description of precautions and necessary equipment
                      for site personnel, safety tasks required in event of systems failure, and safety tasks
                      necessary to address  protection of nearby residents.
          .11.11.7    Description of equipment including the equipment identification numbers, installation of
                      monitoring components, maintenance of site equipment, and replacement schedule for
                      equipment and installed components

    [NOTE: ITEMS 11.6 THROUGH 11.10, INCLUSIVE,  ARE NOT INCLUDED IN THE 6-PERCENT
    DESIGN LIMITATION CALCULATIONS.]

          .11.11.8    Records and reporting mechanisms required including daily operating logs, laboratory
                      records, records for operating costs, mechanism for reporting emergencies, personnel
                      and maintenance records, and reports to U.S. EPA, its designates, and the State.
If RA does not require O&M, delete the text and insert "not used" or "N/A" after line item 3.11.11.
    .11.12         Construction Quality Assurance Plan
          The contractor shall submit as part of the Prefinal Design a draft Construction Quality Assurance
          (CQA) Plan.  The CQA Plan shall be prepared in accordance with "Construction Quality Assurance
          for Hazardous Waste Land Disposal Facilities" (EPA, October, 1986).  The CQA Plan shall then
          be finalized and submitted with the Final Design. At a minimum, the draft QA Plan shall provide
          requirements  for the following elements:
          .11.12.1   Responsibility and authority of all organization and key personnel involved in the
                     remediation action construction
          .11.12.2   CQA Personnel Qualifications.  The contractor shall establish the minimum
                     qualifications of the CQA Officer and supporting inspection personnel.
          .11.12.3   Inspection Activities.  The contractor shall establish the observations and tests that will
                     be required to monitor the construction and/or installation of the components of the
                     Remedial Action(s).  The plan shall include the scope and frequency of each type  of
                     inspection to be conducted.  Inspections shall be required to verify compliance with
                     environmental requirements and include, but not be limited to, air quality and
                     emissions monitoring  records, waste disposal records (e.g., RCRA transportation
                     manifests), etc.  Inspections shall also ensure compliance with all health and safety
                     procedures.
                                                 21                               Model RD SOW (6/95)

-------
            .11.12.4    Sampling requirements. The contractor shall establish the requirements for sampling
                        activities, sample size, sample locations, frequency of testing, criteria for acceptance
                        and rejection, and plans for correcting problems as addressed in the project
                        specifications.
            .11.12.5    Documentation.  The contractor shall describe the reporting requirements for CQA
                        activities.  This shall include such items as daily summary reports and inspection data
                        sheets.
                .,.   - ,'i                 •                                   ,          j
3.12  Postremedjal Design Support

      This task consists of support required to prepare contract bidding documents and issue the Invitation for
      Bids or the Request for Proposals.  The task starts with EPA's approval of contract documents developed
      under Task 11 and ends with the submittal of construction contractors' bids.  The contractor shall perform
      the following postremedial design activities:
      .12.1  Prebid (Presolicitation) Activities
            .12.1.1 Printing and Distribution of Contract Documents.  Print and distribute to prospective
                    bidders the contract documents that were finalized in Taslc  11.
            .12,1.2 Advertising and Soliciting of Bids. Advertise and solicit bids  for construction services.
                    An advertisement shall be prepared and published in
                    (1) Prebid (Presolicitation) Meetings.  The contractor shall arrange and attend prebid
                        meetings to provide clarification on plans, specifications, and contract documents to all
                        bidders.
                    (2) Resolution of Inquiries and/or Issuing Addenda.  The contractor shall resolve bidder
                        inquires and document all contact with potential bidders, and issue amendments to
                        contract documents if additional information becomes available that all bidders should
                                                                                    I
                        be made aware of after solicitation.
                    (3) On-Site Visits. The contractor shall participate in on-site visits tfiat may be required to
                     ;,  further clarify the services required.
      .12.2 Preaward Activities
            .12.2.1 Receipt of Bids (Offers)
                    (I) Determination of Responsive, Responsible Bidders (Offerers)
                    (2) Perform Reference Checks
                    (3) Prepare Bid (Offer) Tabulation
                    (4) Perform Bid (Offer) Analysis
            .12.2.2 Receipt and review of Followup Items from Lowest Responsible Bidder (Offerer)
            .12.2.3 Review of EEO and MBE Requirements and SDB Subcontracting Plans
      .12.3 Update Site-Specific Plans
            . 12.3.1 Modify Site Management Plan (if necessary)
            .12,5.2 Modify Sampling  and Analysis Plan (if necessary)
            .12.3.3 Modify Health and Safety Plan (if necessary)
            .12.3.4 Modify Community Relations Plan (if necessary)
  In some cases, it may be advisable to use this task to initiate the procurement process, although these
  services can be procured as part of the RA work assignment.
                                                    22
Model RD SOW (6/95)

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3.13 Work Assignment Closeout

     . 13.1  Return Documents to Government
     .13.2  Duplicate, Distribute, and Store Files
     .13.3  Archive Files
     .13.4  Prepare Microfiche, Microfilm, and Optical Disk
     .13.5  Prepare Closeout Report.  The contractor shall include a breakdown on disk of final costs and
            Level of Effort (by P-level) in the same detail and format as the Work Breakdown Structure
            (Attachment 2).
                                                 23                               Model RD SOW (6/95)

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                  Attachment 1
Summary of Major Submittals for the Remedial Design at
                               (Site)


TASK
3.1.1.2
3.1.1.4
3.1.1.4
3.1.2.1
3.1.2.1
3.1.2.3(1)
3.1.2.3(2)
3.1.2.2
3.1.2.3(2)
3.1.2.3(1)
3.1.2.2
3.2.1
3.2.1
DELIVERABLE
Site Visit Report
RD Work Plan
Final RD Work Plan
Draft Site Management Plan
(SMP)
Final SMP
Draft QAPP
Draft FSP
Draft HASP
Final QAPP
Final FSP
Final HASP
Draft Revised CRP
Final Revised CRP
REF
NO.*





21
8
5
36
19
21
8
5
36
19
4
4
NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
10 days after site visit
30 days after initiation of work
assignment (WA)
15 days after receipt of EPA
comments
(#) days after approval of RD
Work Plan
(#) days after receipt of EPA
comments
30 days after initiation of WA
30 days after initiation of WA
30 days after initiation of WA
15 days after receipt of EPA
comments
15 days after receipt of EPA
comments
15 days after receipt of EPA
comments
(#) days after initiation of WA
(#) days after receipt of EPA
comments
EPA REVIEW
PERIOD
7 days after receipt of report
21 days after receipt of Work
Plan
NA
10 days after receipt of SMP
NA
21 days after receipt of QAPP
21 days after receipt of FSP
21 days after receipt of HASP
NA
NA
NA
14 days after receipt of revised
CRP
NA

-------
                   Attachment 1
Summary of Major Submittals for the Remedial Design at
       	(Site) (continued)
TASK
3.2.2
3.6.4
3.7.2
3.7.2
3.7.6
3.7.6
3.8.1
3.8.1.5
3.8.1.5
3.8.1
3.8.4
DELIVERABLE
Fact Sheets
Data Evaluation Summary
Report
Treatability Study Work Plan
Final Treatability Study Work
Plan
Treatability Study Evaluation
Report
Final Treatability Study
Evaluation Report
Design Criteria Report
Basis of Design Report
Basis of Design Report
(Revision)
Preliminary Plans and
Specifications**
VE Screening Report
REF
NO.*


16
41 (FS)
16
41 (FS)
16
42 (FS)
16
41 (FS)





NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
As needed
10 days after receipt of analytical
results from laboratory
45 days after RD Work Plan
approved
15 days after receipt of EPA
comments
30 days after completion of
Treatability Study
15 days after receipt of EPA
comments
45 days after RD Work Plan
approved
45 days after RD Work plan
approved
Revised and distributed as
necessary (dynamic document)
60 days after RD Work Plan
approved
(#) days after RD Work Plan
approved
EPA REVIEW
PERIOD
10 days after receipt of fact sheet
15 days after receipt of report
21 days after receipt of
Treatability Study Work Plan
NA
21 days after receipt of report
NA
21 days after receipt of report
21 days after receipt of report
15 days after receipt of report
30 days after receipt of plans &
specs
21 days after receipt of report

-------
                                             Attachment 1
                       Summary of Major Submittals for the Remedial Design at
                               	(Site)  (continued)
TASK
3.8.5
3.9.1
3.9.2
3.10
3.10.7
3.10.9
3.11
3.11.5
3.11.6
3.11.7
3.11.7
DELIVERABLE
Response to Design Review
Comments
List of Long-Lead Procurement
Items
Plans and Specifications for
Procurement of Long-Lead
Procurement Items
Intermediate Plans and
Specificationst
Value Engineering Report
Response to Design Review
comments
Prefinal Plans and
Specifications11'
100-Percent Design
Response to Prefinal Design
review comments
Draft RA contract documents
Final RA contract documents
REF
NO.*











NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
(#) days after design review
meeting
(#) days after Preliminary Design
approved
(#) days after receipt of EPA
comments on the Long-Lead
Procurement Item List
30 days after Preliminary Design
approved
(#) days after initiation of VE
Study
(#) days after Intermediate Design
Review Meeting
(#) days after Intermediate Design
approved
(#) days after prefinal design
comments received
(#) days after design review
meeting
(#) days after Final Design
approved
(#) days after receipt of EPA
comments on Draft RA contract
documents
EPA REVIEW
PERIOD
15 days after receipt of response
10 days after receipt of list
15 days after receipt of plans &
specs
21 days after receipt of int. plans
& specs
21 days after receipt of report
15 days after receipt of response
21 days after receipt of plans &
specs
NA
15 days after receipt of response
21 days after receipt of RA
documents
NA


*See Attachment 3 for list of references.
**Preliminarv Plans and Specifications Submittal Items:

-------
                                                      Attachment 1
                            Summary of Major Submittals for the Remedial Design at
                                      	(Site)  (continued)
  3.8.1.1 Project Delivery Strategy and Scheduling
  3.8.1.2 Preliminary RA Schedule
  3.8.1.3 Specifications Outline
  3.8.1.4 Preliminary Drawings and Schematics
  3.8.1.5 Basis of Design Report
  3.8.1.6 Preliminary RA Cost Estimate
  3.8.2  Variances from the ROD

Intermediate Plans and Specifications Submittal Items:
  3.10.1  Update Construction Schedule
  3.10.2  Intermediate Specifications
  3.10.3  Intermediate Drawings and Schematics
  3.10.4  Revised Basis of Design Report
  3.10.5  RA Cost Estimate
  3.10.8  Variances from the ROD
ttPrefinal Plans and Specifications Submittal Items:
 3.11.1  Prefinal Drawings and Specifications
 3.11.2  Prefinal Drawing Reductions
 3.11.3  Final Basis of Design Report
 3.11.4  Revised RA Cost Estimate
 3.11.7  Subcontract Award Documents
 3.11.8  Biddability, Operability, and Constructability Reviews
         Reports
 3.11.9  Revised Project Delivery Strategy and Schedule
 3.11.10 Document VE Modifications
 3.11.11 Draft Operations and Maintenance (O&M) Manual
 3.11.12 Construction Quality Assurance Plan

-------
                                          Attachment 2
            Work Breakdown Structure (WBS) for Remedial Design (RD)
               '!"'    •                                                           ii
               !'!   '                                                  •          I
3.0 Remedial Design
    .01  Project Planning and Support
         .01  Project Planning
             .01  Attend Scoping Meeting
             .02  Conduct Site Visit
             .03  Evaluate Existing Information
             .04  Work Plan Development
                 .01 Draft Work Plan Development
                     .01  Develop Narrative
                     .02  Develop Cost Estimate
                     .03  Internal QA & Submission
                 .02 Final Work Plan Preparation
                     .01  Attend Negotiation Meeting
                     .02  Modify Draft Work Plan/Cost Estimate
                     .03  Internal QA & Submission
         .02  Preparation of Site-Specific Plans
             .01  Develop Site Management Plan
                 .01 Develop Pollution Control & Mitigation Plan
                 .02 Transportation & Disposal Plan (Waste Management Plan)
             .02  Develop Health & Safety Plan
             .03  Sampling & Analysis Plan (Chemical Data Acquisition Plan)
                 .01 Quality Assurance Project Plan
                 .02 Field Sampling Plan
                 .03 Data Management Plan
             .04  Other Plan(s)
         ,03  Project Management
             .01  Prepare Periodic Status Reports
                 .01 Document Cost and Performance Status
                 .02 Prepare/Submit Invoices
             .02  Meeting Participation/Routine Communications
             .03  Perform Engineering Network Analysis
             .04  Manage,  Track,  and Report Equipment Status
             .05  Work Assignment Closeout
         .04  Subcontract Procurement/Support Activities
             .0|  ID and Procurement of Subcontractors
                 .01 Drilling Subcontractor
                 .02 Surveying Subcontractor
                 .03 Geophysical Subcontractor
                 .04 Site  Preparation Subcontractor
                 .05 Analytical Services Subcontractor(s)
                 .06 Waste Disposal Subcontractor
                 .07 Treatability Subcontractor
                 .08 Other(s)
             .02  Establish and Carry Out a QA Program
             .03  Perform Subcontract Management
    .02  Community Relations
         .01  Community Relations Plan (CRP) Development
             .01  Conduct Community Interviews
             .02  Prepare CRP
                 .01 Draft CRP
                 .02 Final CRP
         .02  Prepare Fact Sheets
         .03  Public Hearing, Meetings, & Availability Support
             .Of  Technical Support
             .02 Logistical & Presentation Support
             .03  Public Notice Support (writing, or placement of)
               ;;   •••}                                        •                   j

                                                 28                            Model RD SOW (6/95)

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    .04  Maintain Information Repository/Mailing List
.03 Data Acquisition
    .01  Mobilization/Demobilization
         .01  ID field support equipment/supplies/facilities
         .02  Mobilization
             .01 Site Preparation
                 .01  Perform Demolition
                 .02  Clearing and Grubbing
                 .03  Perform Earthwork
                      .01 Provide Borrow Pit
                      .02 Construct Haul Roads
                 .04  Construct Roads/Parking/Curbs/Walks
                 .05  Install Storm Drainage/Subdrainage
                 .06  Install Fencing/Site Security
             .02 Installation of Utilities
                 .01  Install Electrical Distribution
                 .02  Install Telephone/Communication System(s)
                 .03  Install Water/Sewer/Gas Distribution
                 .04  Install Fuel Line Distribution
             .03 Construction of Temporary Facilities
                 .01  Construct Decontamination Facilities
                 .02  Construct Sample/Derived Waste Storage Facility
                 .03  Construct Field Offices
                 .04  Construct Mobile Laboratory
                 .05  Construct Other Temporary Facilities
         .03  Demobilization
             .01 Removal of Temporary  Facilities
             .02 Site Restoration
    .02  Field Investigation
         .01  Perform Site Reconnaissance
             .01 Ecological Resources Reconnaissance
             .02 Well Inventory
             .03 Residential Well Sampling
             .04 Land Survey
             .05 Topographic Mapping
             .06 Field Screening
         .02  Conduct Geological Investigations (Soils/Sediments)
             .01 Surface Soil Sample Collection
             .02 Subsurface Soil Sample  Collection
             .03 Soil Boring/Permeability Sampling
             .04 Sediments Sample Collection
             .05 Soil Gas Survey
             .06 Test Pit
         .03  Conduct Air Investigations
             .01  Sample Collection
             .02 Air Monitoring Station
         .04  Conduct Hydrogeological Investigations—Ground Water
             .01  Well Systems Installation
                 .01 Accomplish Mobilization
                 .02 Perform Well Development
                 .03 Conduct Downhole Geophysics
                 .04 Install Monitoring Wells
                 .05 Install Test Wells
                 .06 Install Gas Wells
             .02 Collect Samples
             .03 Hydro  Punch
             .04 Conduct Tidal Influence Study
             .05 Conduct Hydraulic Tests (Pump Tests)
             .06 Perform Ground-Water Elevation Measurement
         .05  Conduct Hydrogeological Investigations—Surface Water
                                             29                             Model RD SOW (6/95)

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             .01 Collect Samples
             .02 Conduct Tidal Influence Study
             .03 Perform Surface Water Elevation Measurement
         .06  Conduct Waste Investigation
             .01 Collect Samples (Gas, Liquid, Solid)
             .02 Derived Waste Disposal (Gas, Liquid, Solid)
         .07  Conduct Geophysical Investigation
             .01 Surface Geophysical Activity
             .02 Magnetometer
             .03 Electromagnetics
             .04 Ground Penetrating Radar
             .05 Seismic Refraction
             .06 Resistivity
             .07 Site Meteorology
             .08 Cone Penetrometer Survey
             .09 Remote Sensor Survey
             .10 Radiological Investigation
         .08  Conduct Ecological Investigation
             .01 Wetland and Habitat Delineation
             .02 Wildlife Observations
             .03 Community Characterization
             .04 Identification of Endangered Species
             .05 Biota Sampling/Population Studies
         .09  Collect Contaminated Building Samples
         . 10  Disposal of Investigation-Derived Waste
.04 Sample Analysis
    .01  Screening-Type Laboratory Sample Analysis
         .01  Analyze Air/Gas Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .02  Analyze Ground-Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .03  Analyze Surface Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .04  Analyze Soil/Sediment Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .05  Analyze Waste  (Gas) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .06  Analyze Waste  (Liquid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .07 Analyze Waste  (Solid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .08 Analyze Biota Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .09 Analyze Bioassay Samples
                                              30
Model RD SOW (6/95)

-------
         . 10 Perform Bioaccumulation Studies
     .02  CLP-Type Laboratory Sample Analysis
         .01 Analyze Air/Gas Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .02 Analyze Ground-Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .03 Analyze Surface Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .04 Analyze Soil/Sediment Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .05 Analyze Waste (Gas) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .06 Analyze Waste (Liquid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .07 Analyze Waste (Solid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .08 Analyze Biota Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .09 Analyze Bioassay Samples
         . 10 Perform Bioaccumulation Studies
.05 Analytical Support and  Data Validation
    .01  Prepare and Ship Environmental Samples
         .01 Ground-Water Samples
         .02 Surface and Subsurface Soil Samples
         .03 Surface Water & Sediment Samples
         .04 Air Samples
         .05 Biota Samples
         .06 Other types of media sampling and screening
    .02  Coordinate with appropriate Sample Management personnel
    .03  Implement EPA-approved Laboratory QA program
 «   .04  Provide Sample Management (Chain of Custody, sample retention, & data storage)
    .05  Perform Data Validation
         .01 Review analysis results against validation criteria
         .02 Provide written documentation of validation efforts
.06 Data Evaluation
    .01  Data Useability Evaluation/Field QA/QC
    .02  Data Reduction, Tabulation and Evaluation
         .01 Evaluate Geological Data (Soils/Sediments)
         .02 Evaluate Air Data
         .03 Evaluate Hydrogeological Data—Ground Water
         .04 Evaluate Hydrogeological Data—Surface Water
         .05 Evaluate Waste Data
         .06 Evaluate Geophysical Data
         .07 Evaluate Ecological Data

                                             31                            Model RD SOW (6/95)

-------
         .03  Modeling
             .Ql  Contaminant Fate and Transport
             .02  Water Quality
             .03  Ground Water
             .04  Air
             .05  Oilier Modeling
         .04  Develop Data Evaluation Report
    .07  Treatabiiity Study/Pilot Testing
         .01  Literature Search
         .02  Develop Treatability/Pilot Work Plan
         .03  Bench Test
             .01  Procure Test  Facility and Equipment
             .02  Provide Vendor & Analytical Service
             .03  Test and Operate Equipment
             .04  Retrieve Sample for Equipment
             .05  Perform Laboratory Analysis
             .06  Characterize and Dispose of Residuals
         .04  Pilot-Scale Test
             .0!  Procure Test  Facility and Equipment
             .02  Provide Vendor & Analytical Service
             .03  Test and Operate Equipment
             .04  Retrieve Sample for Testing
             .05  Perform Laboratory Analysis
             .06  Characterize and Dispose of Residuals
         .05  Field test                                                          [
             .01  Procure Test  Facility and Equipment
             .02  Provide Vendor & Analytical Service
             .03  Test and Operate Equipment
             .04  Retrieve Sample for Testing
             .05  Perform Laboratory Analysis
             .06  Characterize and Dispose of Residuals
         .06  Develop Treatability Study Report
    .08  Preliminary Design
         .01  Preliminary Design
             .01  Recommend Project Delivery Strategy and Scheduling
             .02  Prepare Preliminary Construction Schedule
             .03  Prepare Specifications Outline
             .04  Prepare Preliminary Drawings
             .05  Prepare Basis of Design Report/Design Analysis
             .06  Prepare Preliminary Cost Estimate
         .02  De^cribf Variances with ROD
         .03  Land Acquisition/Easement Requirements
             .01  Identify need for, and locations
             .02 Provide Technical Support in Land Acquisition Efforts
         .04  Conduct and/or assist in Value Engineering (VE) screening
         .05  Respond to Design Review Comments
         .06  Participate in Preliminary Design Reviews/Briefing
  • .            '"     1                                                   :.         I            •
[NOTE:  ITEMS 8.02 THROUGH 8.06, INCLUSIVE, ARE NOT INCLUDED IN THE 6-PERCENT
DESIGN LIMITATION  CALCULATIONS]

    .09  Equipment/Services/Utilities
         .01  Identify long-lead equipment services, and/or utilities
         .02  Procure long-lead equipment services, and/or utilities
    . 10  Intermediate Design
         .01  Update Construction Schedule
         .02  Prepare Preliminary Specifications
         .03  Prepare Intermediate Drawings
         .04  Prepare Basis of Design Report/Design Analysis
         .05  Prepare Revised Cost Estimate

                                                  32                            Model RD SOW (6/95)

-------
         .06  Participate in Intermediate Design Review/Briefing
         .07  Perform VE Study and Report Recommendations
         .08  Describe Variances with ROD
         .09  Respond to Design Review Comments

[NOTE:  ITEMS 10.06 THROUGH 10.09, INCLUSIVE, ARE NOT INCLUDED IN THE 6-PERCENT
DESIGN LIMITATION CALCULATIONS]

    .11  Prefinal/Final Design
         .01  Prepare Prefmal Design Specifications
         .02  Prepare Prefinal Drawings
         .03  Prepare Basis of Design Report/Design Analysis
         .04  Prepare Revised Cost Estimate
         .05  Prepare  100-Percent Design Submittal
         .06  Participate in Prefinal/Final Design Review
         .07  Prepare Subcontract Award Document(s)
         .08  Perform Biddability (offerability) and Constructability Reviews
         .09  Prepare Revised Project Delivery Strategy
         . 10  Document  VE Modifications
         .11  Draft O&M Manual
         . 12  Prepare Construction QA Plan

[NOTE:  ITEMS 11.06 THROUGH 11.10, INCLUSIVE, ARE NOT INCLUDED IN THE 6-PERCENT
DESIGN LIMITATION CALCULATIONS]

    .12  Post Remedial Design Support
         .01  Prebid (Presolicitation) Activities
             .01  Printing & Distribution of Contract Documents
             .02  Advertising/Soliciting of Bids
                 .01  Prebid (presolicitation) meetings
                 .02 Resolution of inquiries/Issuing Addenda
                 .03  On-site visits
         .02  Preaward Activities
             .01  Receipt of Bids (offers)
                 .01  Determination of responsive, responsible bidders (offerers)
                 .02 Perform Reference  checks
                 .03  Bid (offer) Tabulation
                 .04  Bid (offer) Analysis
             .02  Receipt of follow-up items from lowest responsible bidder (offerer)
             .03  Review of EEO, MBE requirements, SDB subcontracting plans
         .03  Update Site-Specific Plans
             .01  Modify Site Management Plan (if necessary)
             .02  Modify Sampling & Analysis Plan (if necessary)
             .03  Modify Health & Safety Plan (if necessary)
             .04  Modify Community Relations Plan (if necessary)
    . 13  Work Assignment Close Out
         .01  Return Documents to Government
         .02  File Duplication/Distribution/Storage
         .03  File Archiving
         .04  Microfiche/Microfilm/Optical Disk
         .05  Prepare Closeout Report
                                                 33                            Model RD SOW (6/95)

-------
                                         Attachment 3
                           Regulations and Guidance Documents

The following list, although not comprehensive,  comprises many of the regulations and guidance documents that
apply to the RD process:
1.  American National Standards Practices for Respiratory Protection. American National Standards Institute
    Z88.2-1980, March 11, 1981.
2,  ARCS Construction Contract Modification Procedures September 89, OERR Directive 9355.5-01/FS.
3.  CERCLA Compliance with Other Laws Manual, Two Volumes, U.S. EPA, Office of Emergency and
    Remedial Response, August  1988 (DRAFT), OSWER Directive No. 9234.1-01 and -02.
4.  Community Relations in Superfund — A Handbook, U.S. EPA, Office of Emergency and Remedial
    Response, June 1988, OSWER Directive No. 9230.0-3B.
5.  A Compendium of Superfund Field Operations Methods, Two Volumes, U.S. EPA, Office of Emergency
    and Remedial Response, EPA/540/P-87/001a, August 1987, OSWER Directive No. 9355.0-14.
6.  Construction Quality Assurance for Hazardous Waste Land Disposal Facilities, U.S. EPA, Office of Solid
    Waste and Emergency Response, October 1986, OSWER Directive No. 9472.003.
7.  Contractor Requirements for the Control and Security of RCRA Confidential Business Information, March
    1984.
8.  The Data Quality Objectives Process for Superfund:  Interim Final Guidance, U.S. EPA,
    EPA/540/R-93/071, September 1993.
9.  Engineering Support Branch Standard Operating Procedures and Quality Assurance Manual, U.S.  EPA
    Region IV,  Environmental Services Division, April 1, 1986 (revised periodically).
10, EPA NEId iPplicies and Procedures Manual, EPA-330/9-78-001-R, May 1978, revised November 1984.
11. Federal Acquisition Regulation, Washington, DC:  U.S. Government Printing Office  (revised periodically).
12. Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA, Interim Final,
    U.S. EPA,  Office of Emergency  and Remedial Response, October 1988, OSWER Directive NO.
    9355.3-01.
13. Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed by Potential
    Responsible Parties, U.S. EPA Office of Emergency and Remedial Response, EPA/540/G-90/001, April
    1990.
14. Guidance on Expediting Remedial Design and Remedial Actions, EPA/540/G-90/006, August  1990.
15. Guidance on Remedial Actions for Contaminated Ground Water at Superfund Sites, U.S. EPA Office of
    Emergency  and Remedial Response (DRAFT), OSWER Directive No. 9283.1-2.

16. Guide for Conducting Treatability Studies Under CERCLA, U.S. EPA, Office  of Emergency and Remedial
    Response, Prepublication version.
17. Guide to Management of Investigation-Derived Wastes, U.S. EPA, Office of Solid Waste and Emergency
    Response, Publication 9345.3-03FS, January 1992.
18. Guidelines and Specifications for Preparing  Quality Assurance Project Plans, U.S. EPA, Office of Research
    and Development, Cincinnati, OH, QAMS-004/80,  December 29,  1980.
19. Health and Safety Requirements of Employees Employed in Field Activities, U.S. EPA, Office of
    Emergency  add Remedial Response,  July 12, 1982, EPA Order No. 1440.2.
20. Interim Guidance on Compliance with Applicable of Relevant and Appropriate Requirements,  U.S. EPA,
    Office of Emergency and Remedial Response, July 9, 1987, OSWER Directive No. 9234.0-05.
21. Interim Guidelines and Specifications for Preparing Quality Assurance Project Plans,  U.S. EPA, Office of
    Emergency  and Remedial Response,  QAMS-005/80, December 1980.
22", Methods for Evaluating the Attainment of Cleanup Standards: Vol. 1, Soils and Solid Media, February
    1989, EPA 23/02^89-042; vol. 2, Ground water (Jul 1992).
23. National Oil and Hazardous Substances Pollution Contingency Plan; Final Rule, Federal Register 40 CFR
    Part 300, March 8, 1990.
24  NIOSH Manual of Analytical Methods,  2nd edition. Volumes I-VII for the 3rd edition, Volumes I and II,
    National Institute of Occupational Safety and Health.
25  Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities, National Institute of
    Occupational Safety and Health/Occupational Health and Safety Administration/United States Coast
    Guard/Environmental Protection Agency, October 1985.
26  Permits and Permit Equivalency Processes for CERCLA On-Site Response Actions, February  19, 1992,
    OSWER Directive 9355.7-03.
27  Procedure for Planning and Implementing Off-Site Response Actions, Federal Register, Volume 50,
    Number 2l4"}  November 1985, pages 45933-45937.
                                                34
tfodel RD SOW (6/95)

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28. Procedures for Completion and Deletion of NPL Sites, U.S. EPA, Office of Emergency and Remedial
    Response, April 1989, OSWER Directive No. 9320.2-3A.
29. Quality in the Constructed Project: A Guideline for Owners, Designers and Constructors, Volume 1,
    Preliminary Edition for Trial Use and Comment, American Society of Civil Engineers, May 1988.
30. Remedial Design/Remedial Action (RD/RA) Handbook, U.S. EPA, Office of Solid Waste and Emergency
    Response (OSWER), 9355.0-04B, EPA 540/R-95/059, June 1995.
31. Revision of Policy Regarding Superfund Project Assignments, OSWER Directive No. 9242.3-08,
    December 10, 1991.  [Guidance, p. 2-2]
32. Scoping the Remedial Design (Fact Sheet), February 1995, OSWER Publ. 9355-5-21 FS.
33. Standard Operating Safety Guides, U.S. EPA, Office of Emergency and Remedial Response, November
    1984.
34. Standards for the Construction Industry, Code of Federal Regulations, Title 29, Part 1926, Occupational
    Health and Safety Administration.
35. Standards for General Industry,  Code of Federal Regulations, Title 29, Part 1910, Occupational Health and
    Safety Administration.
36. Structure and Components of 5-Year Reviews,  OSWER Directive No. 9355.7-02, May 23,  1991.
    [Guidance, p. 3-5]
37. Superfund Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed by
    Potentially Responsible Parties, April 1990, EPA/540/G-90/001.
38. Superfund Remedial Design and Remedial Action Guidance, U.S. EPA, Office of Emergency and Remedial
    Response, June 1986, OSWER Directive No. 9355.0-4A.
39. Superfund Response Action Contracts (Fact Sheet), May 1993, OSWER Publ. 9242.2-08FS.
40. TLVs-Threshold Limit Values and Biological Exposure Indices for 1987-88, American Conference of
    Governmental Industrial Hygienists.
41. Treatability Studies Under CERCLA, Final.  U.S. EPA, Office of Solid Waste and Emergency Response,
    EPA/540/R-92/071a, October 1992.
42. USEPA Contract Laboratory Program Statement of Work for Inorganic Analysis, U.S. EPA, Office of
    Emergency and Remedial Response,  July 1988.
43. USEPA Contract Laboratory Program Statement of Work for Organic Analysis, U.S. EPA, Office of
    Emergency and Remedial Response,  February 1988.
44. User's Guide to the EPA Contract Laboratory Program, U.S. EPA, Sample Management Office, August
    1982.
45. Value Engineering (Fact Sheet), U.S. EPA, Office of Solid Waste and Emergency Response, Publication
    9355.5-03FS, May 1990.
                                                35                            Model RD SOW (6/95)

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^ttacbtaent 4
TRANSMITTAL OF DOCUMENTS FOR ACCEPTANCE BY EPA
TO:
SUBTASK NO.












DATE:
FROM:
DELIVERABLE












NO. OF
COPIES












TRANSMITTAL NO.
1 	 1 New Transmittal
1 	 1 Resubmittal of
Transmittal No.

REMARKS












ACCEPTANCE ACTION
DOCUMENTS FOUND ACCEPTABLE (LIST BY SUBTASK NO.)
NAME/TITLE/SIGNATURE OF REVIEWER
DATE

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Attachment 5
TRANSMITTAL REGISTER
PROJECT TITLE AND LOCATION
d
Z
£t

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.,  I

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                                                                                       (date)

  MODEL STATEMENT OF WORK FOR REMEDIAL DESIGN OVERSIGHT


  	SITE,	COUNTY,	STATE
ATTACHMENTS
Attachment 1.  Summary of Major Submittals for the Remedial Design at	(Site)	15
Attachment 2.  Work Breakdown Structure	17
Attachment 3.  Regulation and Guidance Documents	22
Attachment 4.  Transmittal of Documents for Acceptance by EPA	24
Attachment 5.  Transmittal Register	25
  Points for the WAM/RPM to consider in preparing the Statement of Work for Remedial Design Oversight:

  The purpose of this Statement of Work is twofold:

  1.  To tell the contractor what you want done.  Be as specific as possible in describing what you want
  the contractor to do. The contractor will write a work plan and budget describing how and at what cost the
  requirements will be met and ultimately will be responsible for performing those requirements.  Whenever
  there is an absolute requirement (e.g., that the contractor prepare the QAPP in accordance with  QAMS-
  005/80, December 29, 1980), state it.  Add the attachments to the SOW: (1) Summary of Major Submittals
  for the Remedial Design at	(Site), (2) Work Breakdown Structure, and (3) Transmittal of Documents
  for Acceptance by EPA.

  2.  To give the contractor a work breakdown structure for recording costs. Work plan costs and final
  costs of different RD oversight projects can be compared and analyzed with a work breakdown structure.

  Use of a Work Breakdown Structure (WBS)
  1.  A WBS has been developed for this model work assignment so EPA may track the initial and final costs
  of each element used for preparing future cost estimates. The WBS  is, essentially, the outline for this work
  assignment and is included as  SOW Attachment 2 .

  2.  If an element is not used, do not change the numbering system; instead, insert "not used" or "N/A"
  after the element number after deleting the text for that element.

  3.  For the items used for a given project, additional descriptions (e.g., type of samples and estimated
  number) should be added hi order for the contractor and RPMAVAM to develop estimated costs on a
  common basis.
6.0  Introduction

     .0.1  Site Description
  Provide a brief site description that contains information relative to RD oversight planning and
  implementation such as location, operational history, remedial response history, waste types, quantities, and
  milestones specified within the ROD.
                                                                        Model RD Oversight SOW (6/95)

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    .0.2  Purpose
         The purpose of this work assignment is to obtain contractor support for the oversight of the
         remedial design (RD) at the	(site).  Implementation of the RD shall be performed by
         the Potentially Responsible Parties (PRPs).  The estimated completion date for this work assignment
         is	.
         .0.2.J  Description of the RD
Describe the specific RD for which oversight is required.  Provide a summary of the general response
objectives, description of the remedy, and expected period of performance of the RD.
         .0.2.2 Objectives of Oversight.  The primary objective of PRP oversight is to ensure that the
                remedies specified hi the RD and used in the remedial action (RA) protect public health and
                the environment during the life of the project and are implemented in compliance with the
                terjns of the Settlement Agreement.  Oversight meets its objectives by observing and
                documenting that the PRP has complied with all applicable laws, regulations, and
                requirements, and has met all performance standards specified in the Settlement Agreement.
    .0.3  General Requirements
         .0.3.1 The contractor shall conduct the RD Oversight in accordance with this Statement of Work
                (SOW) and to ensure consistency with the ROD issued on	 (date), the Consent
                Decree, the Remedial Design/Remedial Action (RD/RA) Handbook (U.S. EPA Office of
                Solid Waste and Emergency Response (OSWER), 9355.0-04B, EPA 540/R-95/059, June
                1995) and all other guidance used by EPA hi conducting an RD/RA.  See references listed
                in Attachment 3.  The primary contact for this work assignment is	, Tel.	;  the
                secondary contact is	, Tel.	.
         .0.3.2 A summary of the major deliverables and the schedule for submittal is attached.  See
                Attachment 1. The contractor shall submit the major deliverables using the form
                Transmittal of Documents for Acceptance by EPA. Attachment    4
The attachments to this model SOW may be copied and completed for a given RD.  Attachment 4 is a form
for use by the contractor hi the transmittal of documents to EPA.  Attachment 5 is a transmittal register log
for use by the WAM/RPM hi tracking documents submitted by the contractor.
         .0.3.3 Specifically, the RD involves the design of
         .0.3.4 The contractor shall furnish all necessary and appropriate personnel, materials, and services
                nefeded, or incidental to, performing and completing the RD oversight.
         .0.3,5 A list of primary guidance and reference material is attached.  See Attachment 2.  In all
                cases, the contractor shall use the most recently issued guidance.
         .0.3.6 tlys contractor shall maintain oversight files as specified in the contract and by the Work
                Assignment Manager or Remedial Project Manager (WAM/RPM).  The WAM/RPM may
                periodically audit the site files and record-keeping procedures.
         .0.3.7 The contractor shall communicate at least weekly with the WAM/RPM, either in person or
                through conference calling, to report on oversight progress.
         .0.3.8 The contractor shall notify the WAM/RPM when 75 percent and when 95 percent of the
                approved work assignment budget has  been expended.
         .0.3.9 The contractor shall document all decisions that are made in meetings and conversations
                With EPA or the PRP.  The contractor shall forward this documentation to the WAM/RPM
                within 2 working days of the meeting or conversation.
It is the WAM's responsibility to document fully all decisions made. The contractor's documentation is
used for confirmation only.
                                                                         Model RD Oversight SOW (6/95)

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            .0.3.10      EPA will provide oversight of contractor activities throughout the RD oversight efforts.
                        EPA review and approval of the contractor's deliverables is a tool to assist this process
                        and to satisfy, in part, EPA's responsibility to provide effective protection of public
                        health, welfare, and the environment during the Contractor's oversight of the PRP's
                        remedial activities.  EPA will review the deliverables prepared during the oversight to
                        assess the likelihood that the RD will achieve its remediation goals and that all
                        performance requirements applicable to the
                   RD have been correctly identified and implemented.  However, acceptance of deliverables
                   by EPA does not relieve the contractor of responsibility for the adequacy of the deliverable.

      .0.4   Oversight Official
            The contractor shall designate one or more Oversight Officials to work directly with the
            WAM/RPM during the RD oversight. The Oversight Official(s) is (are) the individual(s)
            responsible under this Statement of Work for providing technical support in monitoring PRP
            compliance with the Settlement Agreement.
      .0.5   Equipment Transfer
            At the completion of the work assignment, the contractor shall transfer all equipment purchased with
            contract funds to the EPA Equipment Coordinator in accordance with the contract.
      .0.6   Project Closeout
            At the completion of the work assignment, the contractor shall perform all necessary  project
            closeout activities as specified in the Contract.  These activities may include closing out any
            subcontracts, indexing and consolidating project records and files  as required in 6.0.3.6 above, and
            providing a technical and financial closeout report to EPA.
  The task structure that follows has been drafted to support the development of a comprehensive RD
  Oversight SOW to execute a well-defined RD, but can be tailored to support a phased RD SOW to which
  amendments will be made over the project life cycle as more specific requirements for RD oversight
  activities are determined.
6.1  Project Planning and Support

      .1.1   Project Planning.  This task includes efforts related to project initiation.
            .1.1.1  Attend Scoping Meeting. The contractor shall attend a scoping meeting to be held at the
                   EPA Regional Office before or concurrent with developing the oversight Work Plan.
  The location of meetings (and approximate number of contractor attendees) should be specified for cost-
  estimating purposes.
            . 1.1.2  Conduct Site Visit.  The contractor shall conduct a 1-day site visit with the EPA
                   WAM/RPM during the project planning phase to develop a conceptual understanding of the
                   site and the RD scope and requirements.  A Health and Safety Plan (HASP) is required for
                   the site visit.  The contractor shall prepare a letter report that documents all EPA,
                   contractor, and site personnel present at the visit; all decisions made during the visit; any
                   action items assigned, including person responsible and due date; any unusual occurrences
                   during the visit; and any portions of the site that were not accessible to the contractor and
                   the impact of this on oversight of the remedial design.  This report  shall be submitted to the
                   EPA WAM/RPM within 10 calendar days of the site  visit.
                                                                             Model RD Oversight SOW (6/95)

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         kl.1.3  Evaluate Existing Information.  The contractor shall obtain, copy (if necessary),  and review
                 available information pertaining to the site from EPA. The contractor shall evaluate the
                 existing data and documents, including the Record of Decision (ROD), the Consent Decree
                 (CD), the PRP Work Plan for the RD/RA, and other data and documents as directed by
                 EPA.  The specific documents to be reviewed are listed in Attachment 3.
The RPM will create an attachment to this SOW that lists site-specific information that the contractor may
use in oversight of the remedial design (see Chapter 3 of the Guidance for Scoping the Remedial Design).
To  streamline this task and control expenses, limit the review to documents that help the contractor to scope
the project accurately and optimize oversight tasking. Specify reports and other documentation that
establish the nature and extent of contamination: a summary of risk(s), a list of cleanup targets, and the
basis  for design.  At a minimum, this should include the ROD, the CD, and the PRP work plan.
Additional documents that may be appropriate include the Remedial Investigation/Feasibility Study (RI/FS),
Focused Feasibility Studies (FFS),  State documentation, applicable or relevant and appropriate requirements
(ARARs), evaluations, hydrogeological information, and other material located in the site file.
         .1.1.4  (Not Used)
         .1.1.5  Develop RD Oversight Work Plan
                 (1)  Develop Draft Oversight Work Plan. The contractor shall prepare and submit a Draft
                     RD Oversight Work Plan within 30 calendar days after initiation of the work
                     assignment (WA).  The contractor shall use information from the EPA-approved PRP
                     Work Plan, appropriate guidance, and direction provided by the EPA WAM/RPM as
                     the basis for preparing the RD Oversight Work Plan.  RD oversight work must be
                     coordinated and properly sequenced with EPA and PRP RD activities.  Submit the
                     Original to the Contracting Officer (CO), one copy to the Project Officer (PO), and one
                     copy to the WAM/RPM.
1. The RPM/WAM should verify the draft and final work plan submittal timeframes with the PO.

2. Additional copies of the work plan can be submitted to the WAM/RPM, if specified, for distribution to
other technical staff.
                     (a)  Develop Narrative. The RD Oversight Work Plan shall include a comprehensive
                          description of project tasks, the procedures to accomplish them, quality
                          assurance/quality control (QA/QC) systems and project-specific QA/QC
                          procedures to be followed, project documentation, and project schedule.
                          Specifically,  the Work Plan shall include the following:
                          -   Identification of RD project elements and the associated oversight tasking
                             including review of PRP planning, design, and activity reporting
                             documentation; field sampling and analysis activities, and treatability study
                             activities. Output of this task will be a detailed work breakdown structure of
                             the RD oversight project.
                          -   The contractor's technical and management approach to each task to be
                             performed, including a detailed description of each task; the assumptions used;
                             the identification of any technical uncertainties (with a proposal for the
                             resolution of those uncertainties); the information needed for each task; any
                             information to be produced during and at the conclusion of each task;  and a
                             description of the work products that will be submitted to EPA.  Information
                                                                          Model RD Oversight SOW (6/95)

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                             shall be presented in a sequence consistent with the work breakdown structure
                             format defined in the standard WBS.  See Attachment	.
                             A schedule with specific dates for the start and completion of each required
                             activity and submission of each deliverable required by this SOW.  (See
                             Attachment 1 for format.)  This schedule shall also include information
                             regarding timing, initiation, and completion of all critical path milestones for
                             each activity and deliverable and the expected review time for EPA.
                             A project communications and management plan, including a data management
                             plan and contractor reporting requirements, such as meetings and presentations
                             to EPA at the conclusion of major phases of the project.  The data
                             management plan shall address the requirements for project management
                             systems including tracking, storing, and retrieving data and also shall identify
                             software to be used, minimum data requirements, data format, and backup data
                             management.  The plan shall address both data management and document
                             control for all oversight activities conducted during the RD.
The WAM/RPM should consider issuing the RD oversight WA in phases and modifying the SOW for
funding as more information is available.  This will enable the WAM/RPM to prepare a more detailed and
accurate SOW and IGCE for each tasked phase.

The oversight contractor may be tasked to conduct oversight activities in the following steps:

1.  Review documents, including the PRP work plan, to develop the oversight work plan.  If the PRP work
plan is unavailable, then the WAM/RPM may want to task the contractor to review background information
and to provide general startup support.

2.  Develop the oversight work plan.

3.  Modify the scope of work for funding to include RA oversight activities.
                     (b) Develop Cost Estimate.  The contractor's estimated cost to complete the work
                         shall be broken down into the Level of Effort (by P-level) and cost for each
                         element of the Work Breakdown Structure (Attachment 2) and submitted to EPA
                         on disk.
                     (c) Perform Internal QA and Submit Draft Oversight Work Plan
                 (2)  Prepare Final Oversight Work Plan
                     (a) Attend Negotiation Meeting. The contractor shall attend  a Work Plan negotiation
                         meeting at the Region	office.  EPA and the Oversight Contractor will refine
                         the SOW requirements and funding issues related to the Oversight Work Plan.
                     (b) Modify Draft Oversight Work Plan and Cost Estimate
                                                                         Model RD Oversight SOW (6/95)

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If the RD project is implemented using a phased approach to develop additional information throughout the
RD phase, the WAM/RPM should specify the anticipated number of modifications and, to the extent
possible, the scope of the modification(s).

Examples:
1. If the extent of contamination is not fully defined, indicate that the length of field work is not fully
delineated and a modification may be required to accommodate this unqualified field element.

2. If treatability testing is ongoing and may significantly affect RD  activities, but oversight is required for
treatability activities, specify that the  RD Oversight Work Plan will be completed in multiple phases
                     (c) Perform Internal QA and Submit Final Oversight Work Plan within 15 days after
                         receipt of EPA comments on the draft work plan.
         .1.1.6  Review PRP Plans.  The contractor shall review the following PRP-developed work plans
                 for conformance with applicable EPA standards and guidance (see also Task 6.7 for review
                 instructions) and provide written review comments to the WAM/RPM.
                 (1)  Review PRP Site Management Plan
                     (a) Review PRP Pollution Control & Mitigation Plan
                     (b) Review PRP Transportation and Disposal (of site-derived wastes) Plan
                 (2)  Review PRP Health and Safety Plan
                 (3)  Review PRP Sampling and Analysis Plan (Chemical Data Acquisition Plan)
                     (a) Review PRP Quality Assurance Project Plan (QAPP)
                     (b) Review PRP Field Sampling Plan (FSP)
                     (c) Review PRP Data Management Plan
                 (4)  Review Other PRP Plan(s)
    .1.2  Preparation of Site-Specific Plans
         .1.2,1  (l|otused)
         .1,2.2  Develop Health and Safety Plan.  Prepare a site-specific HASP that specifies employee
                 training, protective equipment, medical surveillance requirements, standard operating
                 procedures, and a contingency plan in accordance with 29 CFR 1910.120 1(1) and (1)(2).
                 Whenever possible, use the HASP developed for the Remedial Investigation/Feasibility
                 Study (RI/FS) in preparing the HASP for the RD.
1. The HASP may not constitute an Emergency Response Plan. Site conditions may warrant a separate
deliverable.

2. EPA does not approve the contractor's HASP, but reviews it to ensure that it is complete and adequately
protective.
         .1.2.3  Envelop Sampling and Analysis Plan (Chemical Data Acquisition Plan).  Prepare an FSP
              :   that defines the oversight sampling and information-collection methods that shall be used for
                 the project.  It shall include sampling objectives; sample locations and frequency; sampling
                 equipment and procedures; sample handling and analysis; and which samples are to be
                 Analyzed through the Contract Laboratory Program (CLP), which through other sources,
                 arid the justification for those decisions.  The FSP shall be written so that a field sampling
                 team unfamiliar with the site would be able to gather the samples and field information
                 required. The FSP developed for the RI/FS should be used whenever possible in preparing
                 the FSP for the  RD  oversight activities.
                                                                          Model RD Oversight SOW (6/95)

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1. Depending on the complexity of the sampling effort needed to support the RD, the FSP and QAPP can
be combined into a single Sampling and Analysis Plan (SAP).

2. Minimize FSP preparation costs by requiring the oversight contractor to utilize the RI/FS FSP as a
reference during the development of its sampling plan.
                 (1)  Quality Assurance Project Plan.  Prepare a QAPP in accordance with QAMS-005/80
                     (December 29, 1980).  The QAPP shall describe the project objectives and
                     organization, functional activities, and QA/QC protocols that shall be used to achieve
                     the desired Data Quality Objectives (DQOs).  The DQOs shall, at a minimum, reflect
                     use of analytical methods for identifying contamination and addressing contamination
                     consistent with the levels for remedial action objectives  identified in the National
                     Contingency Plan.
                 (2)  Field Sampling Plan.  The contractor shall prepare an FSP that defines the oversight
                     sampling and information-collection methods that shall be  used for the project.  It shall
                     include sampling objectives; sample locations and frequency; sampling equipment and
                     procedures; sample handling and analysis; and description of which samples  are to be
                     analyzed through the CLP, which through other sources,  and  the justification for those
                     decisions.  The FSP shall be written so that a field sampling team unfamiliar with the
                     site would be able to gather the samples and field information  required.  The FSP
                     developed for the RI/FS should be used whenever possible in preparing the FSP for the
                     RD/RA Oversight activities.
                 (3)  Data Management Plan
          1.2.4   Other Plan(s)
    .1.3   Project Management
          The contractor shall perform general work assignment management including management and
          tracking of costs, preparation of Monthly Progress Reports, attendance at project meetings,  and
          preparation and submittal of invoices.

          If the contractor finds that the RA being designed differs significantly from the ROD, the
          construction or implementation is not consistent with the design, requirements delineated within the
          Consent Decree are not being met, or that there are  compliance issues with applicable or relevant
          and appropriate requirements (ARARs) at any point hi the process, the contractor shall notify the
          WAM/RPM immediately to describe the issue.  The contractor shall  then recommend technical
          solutions in a memorandum ASAP.
          .1.3.1  Prepare Periodic Status Reports.  The contractor shall prepare monthly progress reports.
                 (1)  Document Cost and Performance Status. The contractor shall  document the status of
                     each task and report costs and  Level of Effort (by P-level) expended to date.
                 (2)  Prepare and Submit Invoices
          .1.3.2  Participate hi Meetings and  Communicate Routinely.  The contractor shall attend project
                 meetings, provide documentation of meeting results, and shall contact the WAM/RPM by
                 telephone on a weekly basis to report project status.
          .1.3.3  (Not used)
          .1.3.4  (Not used)
          .1.3.5  (Not used)
          .1.3.6  Manage,  Track,  and Report Equipment  Status
          .1.3.7  Work Assignment Closeout
    . 1.4   Subcontract Procurement and Support Activities
          .1.4.1  Identify and Procure Subcontractors
                 (1)  (Not used)—Drilling Subcontractor
                 (2)  (Not used)—Surveying Subcontractor

                                                  7                       Model RD Oversight SOW (6/95)

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                   (3)   (Not used)—Geophysical Subcontractor
                   (4)   (Not used)—Site Preparation Subcontractor
                   (5)   Analytical Services Subcontractor(s)
                   (6)   (Not used)—Waste Disposal Subcontractor
                   (7)   (Not used)—Treatability Subcontractor(s)
                   (8)   Other(s)
           .1.4.2  Develop Subcontractor QA Program
           .1.4,3  Perform Subcontract Management
   :•            !<'.   :-i          •                                      ,"   ••          j
6.2  Community Relations

     This task includes efforts related to the update and implementation of the Community Relations Plan
     (CRP) for the site. The contractor shall provide community relations support to EPA throughout the RD
     in accordance with Community Relations in Superfund — A Handbook, June 1988. Community relations
     shall encompass the following subtasks:
  Listed below are a number of possible community relations activities the WAM/RPM may require. The
  WAM/RPM should determine the community relations activities the PRP is conducting and coordinate to
  the extent practical to avoid duplication of effort.
     .2.1  Develop Community Relations Plan
           .2.1.1  Conduct Community Interviews
           .2.1.2  Update CRP.  The contractor shall update the RI/FS CRP to address community relations
                   requirements during the RD.
                   (1)  Draft CRP
                   (2)  Final CRP                                                  '
     .2.2  Prepare Fact Sheets
           The contractor shall prepare a fact sheet to inform the public about activities related to the final
           design, a schedule for the RD and later for the RA, activities to be expected during construction,
           provisions for responding to emergency releases and spills, and any potential inconveniences such as
           excess traffic and noise that may affect the community during onsite activities.
     .2.3  Public Hearing, Meetings, and Availability Support
           The contractor shall prepare presentation materials and provide support as needed for public
           meetings. The contractor shall assist in communication and coordination with local agencies. The
           contractor shall attend citizen advisory group meetings
  The number and location of anticipated public meetings should be identified in the SOW for cost estimating
  purposes.
           .2.3.1  Technical Support.  The contractor shall prepare technical input to news releases, briefing
                  materials, and other community relations vehicles.
           .2.3.2  Logistical and Presentation Support
           .2.3.3  Writing and Placement of Public Notice Support
     .2.4  Maintain Information Repository/Mailing List
           The contractor shall maintain a repository of information on activities related to the RD as described
           in Appendix A.8, page A-19, of Community Relations in Superfund—A Handbook, June 1988.  The
           contractor shall also maintain and update mailing lists to ensure that all companies, persons, and/or
           agencies are notified of site activities and scheduled public meetings as required.
                                                                            Model RD Oversight SOW (6/95)

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  The WAM/RPM should specify the format for submissions if there are Region-specific or other
  requirements.
6.3  Data Acquisition Oversight

     This task involves oversight of work efforts related to sampling during both RD and RA. The purpose of
     the sampling is to compare results with PRP data.  The planning for this task is accomplished in Task 6.1,
     Project Planning, whereby all of the necessary plans required to collect the field data are determined and
     arranged.  This task begins with EPA's approval of the FSP prior to RD and ends with the demobilization
     of field personnel and equipment from the site after RA is complete.

     The contractor shall perform the following field activities or a combination of activities for the data
     acquisition effort in accordance with the EPA-approved FSP and QAPP developed in Task 6.1:
  Before beginning field activities, consider specifying a kickoff meeting with all principal personnel to clarify
  objectives and communication channels to ensure the efficient use of available funds.
      .3.1  Mobilization and Demobilization Oversight
           The contractor shall oversee procurement of the necessary personnel, equipment, and materials for
           efficient mobilization and demobilization to and from the site.
           .3.1.1  (Not used)                                                                        ;
           .3.1.2  Mobilization Oversight
                   (1)   (Not used)
                   (2)   Installation of Utilities
                   (3)   Construction of Temporary Facilities
                        (a)   Construct Decontamination Facilities
                        (b)   Construct Sample or Derived Waste Storage Facility
                        (c)   Construct Field Offices
                        (d)   Construct Mobile Laboratory
                        (e)   Construct Other Temporary Facilities
           .3.1.3  Demobilization Oversight
                   (1)   Removal of Temporary Facilities
                   (2)   Site Restoration
      .3.2  Perform Field Investigation Oversight
           The contractor shall collect a percentage of split samples for analysis during RD. Split sampling
           during RD is required for comparison with the remediation contractor's data.
  The WAM/RPM should specify the expected written and/or photographic documentation to be recorded in
  the field as well as the type of field activity reports expected by the RPM, the frequency, and the required
  distribution (RPM, State representative, etc.).
           Ensure the proper management of samples by the PRP, including accurate chain-of-custody
           procedures for sample tracking, protective sample-packing techniques, and proper sample-
           preservation techniques.  Ensure that the PRP characterizes and disposes of investigation-derived
           wastes in accordance with local,  State and Federal regulations as specified in the FSP (see the Fact
           Sheet Guide to Management of Investigation-Derived Wastes, 9345.3-03FS, January 1992).
           .3.2.1 Perform Site Reconnaissance Oversight
                  (1)  Ecological Resources Reconnaissance
                                                                            Model RD Oversight SOW (6/95)

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                  (2)  Well Inventory
                  (3)  Residential Well Sampling
                  (4)  Land Survey
                  (5)  Topographic Mapping
                  (6)  Field Screening
           .3.2.2 Perform Geological Investigations Oversight (Soils and Sediments)
           .3.2.3 Perform Air Investigations Oversight
           .3.2.4 Perform Hydrogeological Investigations Oversight—Ground Water
                  (1)  Well Systems Installation
                  (2)  Sample Collection
                  (3)  Samples collected during drilling (e.g., hydro punch or equivalent)
                  (4)  Tidal Influence Study
                  (5)  Hydraulic Tests (Pump Tests)
                  (6)  Ground-Water Elevation Measurement
           .3.2.5 Perform Hydrogeological Investigations Oversight—Surface Water
           .3.2.6 Perform Waste Investigation Oversight
           .3.2.7 Perform Geophysical Investigation Oversight
           .3.2.8 Perform Ecological Investigation Oversight
           .3.2.9 Perform Contaminated Building Samples Oversight
           .3.2.10     Perform Disposal of Investigation-Derived Waste Oversight
           .3.2.11     Perform Prepare Data Acquisition Oversight Reports
   I             :   ' •: •                 ,                               •   .. .        I
                 111                                                  '  "         i
6.4  Analysis of Split Samples

     .4.1  Perform Screening-Type Laboratory Sample Analysis
           ,4.1.1 Analyze Air and Gas Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.2 Analyze Ground-Water Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.3 An&lyze Surface-Water Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.4 Analyze Soil and Sediment Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.5 Analyze Waste (Gas) Samples
                  (1|  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.6 Analyze Waste (Liquid) Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.7 Analyze Waste (Solid) Samples
                  (1)  Organic
                  (2)  Inorganic
                                                   10                       Model to Oversight SOW (6/95)

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                  (3)  Radiochemistry
           .4.1.8  Analyze Biota Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.1.9  Analyze Bioassay Samples
           .4.1.10     Perform Bioaccumulation Studies
     .4.2  CLP-Type Laboratory Sample Analysis
           The contractor shall request CLP analytical services in accordance with procedures outlined in the
           User's Guide to the Contract Laboratory Program, EPA, December 1986.
           .4.2.1  Analyze Air/Gas Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.2  Analyze Ground-Water Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.3  Analyze Surface-Water Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.4  Analyze Soil and Sediment Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.5  Analyze Waste (Gas) Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.6  Analyze Waste (Liquid) Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.7  Analyze Waste (Solid) Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.8  Analyze Biota Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
           .4.2.9  Analyze Bioassay Samples
           .4.2.10     Perform Bioaccumulation Studies

6.5  Analytical Support and Data Validation of Split Samples

     The contractor shall arrange for the analysis and validation of environmental split samples collected.  The
     sample analysis and validation task begins with reserving sample slots in the CLP and the completion of
     the RD field sampling program.  This task ends with contractor validation of the analytical data received
     from the laboratory.  The contractor shall perform the following activities or combination of activities to
     analyze and validate test results:

                                                   11                       Model RD Oversight SOW (6/95)

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      .5.1  Prepare and Ship Environmental Samples
           .5.1.1  Ground-Water Samples
           .5.1.2  Surface and Subsurface Soil Samples
           .5.1.3  Surface-Water and Sediment Samples
           .5.1.4  Air Samples
           ,5.1.5  Biota Samples
           .5.1.6  Other Types of Media Sampling and Screening
      .5.2  Coordinate With Appropriate Sample Management Personnel
      .5.3  Implement EPA-Approved Laboratory QA Program
      .5.4  Provide Sample Management (chain of custody, sample retention, and data storage)
      ,5.5  Perform Data Validation
           The contractor shall perform appropriate data validation to ensure that the data are accurate and
           defensible. Complete the necessary summary tables, validation worksheets, and DQO summary
           forms,   ''                             ,                 	  '.,..!.
  For the RD, full data validation procedures are usually not necessary.  The WAM/RPM may want to
  specify the level of data validation required.
           .5.5.1  Review Analysis Results Against Validation Criteria
           .5.5.2  Provide Written Documentation of Validation Efforts
                   Implement quality control procedures to ensure the quality of all reports and submittals to
                   EPA.
  The WAM/RPM should specify the format for submissions if there are Region-specific or other specific
  requirements.
6.6  Data Evaluation of Split Samples

     This task involves comparison of the PRP's data that will be used in the remedial design effort with data
     resulting from the analysis of split samples.  Data evaluation begins with the receipt of analytical data
     from the data acquisition task and ends with  the submittal of a Data Evaluation Summary Report.
     Specifically,  the contractor shall compare, evaluate, interpret, and tabulate data in an appropriate
     presentation format for final data tables.
     .6.1  Data Useability Evaluation and Field QA/QC
     .6.2  Data Reduction, Tabulation, and Evaluation
           .6.2.1  Evaluate Geological Data (Soils and Sediments)
           .6.2.2  Evaluate Air Data
           .6.2.3  Evaluate Hydrogeological Data—Ground Water
           .6.2.4  Evaluate Hydrogeological Data—Surface Water
           .6.2.5  Evaluate Waste Data                                             I
           .6.2.6  Evaluate Geophysical  Data
           .6.2.7  Evaluate Ecological Data
     .6.3  Modeling
           .6.3.1  Contaminant Fate and Transport
           .6.3.2  Water Quality
           .6.3.3  Ground Water
           .6.3.4  Air                                                             '
           .6.3.5  Otfjer Modeling
     .6.4  Develop Data Evaluation Report
                                                   12
Model RD Oversight SOW (6/95)

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           The contractor shall evaluate and present results in a Data Evaluation Summary Report to .submit to
           the WAM/RPM for review and approval. The report will include a comparison of the split sample
           data collected with PRP data. After the WAM/RPM's review, attend a meeting with EPA to
           discuss data evaluation results and next steps.
           Implement quality control procedures to ensure the quality of all reports and submittals to EPA.
           These procedures shall include, but are not limited to, internal technical and editorial review; and
           the documentation of all reviews, the problems identified, and corrective actions taken.
  The WAM/RPM should specify that the contractor prepare and submit a Technical Memorandum to the
  WAM/RPM if new analytical data needs or significant data problems are identified during the evaluation.
6.7  Review of PRP Remedial Design Documents

     This task involves work efforts to review PRP RD submittals.  The contractor shall perform reviews to
     focus on the technical and engineering merit.  Letter reports will be submitted upon the completion of
     each
     review by the oversight contractor within 21 calendar days of the start of the review, identifying specific
     issues and suggested corrective action.  The following factors are to be considered during the review of all
     PRP submittals:

     •     Technical requirements of the ROD, Unilateral Administrative Order (UAO), Administrative Order
           of Consent (AOC), CD, and compliance with ARARs
     •     Standard professional engineering practices
     •     Applicable statutes, EPA policies, directives, and regulations (see Attachment 3)
     •     Spot checking design calculations to assess accuracy and quality of design activities
     •     Examination of planning and construction schedules for meeting project completion goals

     The oversight contractor shall review the PRP-prepared planning, predesign, and design project
     documentation to ensure professional quality, technical accuracy, compliance with the PRP RD Work
     Plan, the ROD and Consent Decree, CERCLA, and all ARARs.
     .7.1  Review PRP Remedial Design Documents
           .7.1.1  Review Preliminary Design
                   (1)  Project Delivery Strategy and Scheduling
                   (2)  Preliminary Construction Schedule
                   (3)  Specifications Outline
                   (4)  Preliminary Drawings
                   (5)  Basis of Design Report/Design Analysis
                   (6)  Preliminary Cost Estimate
                   (7)  PRP Description of Variances with ROD
                   (8)  PRP Response to Design Review Comments
                   (9)  Participate in Preliminary Design Review/Briefing
           .7.1.2  Review (PRP Remedial)  Intermediate Design Documents
                   (1)  Construction Schedule
                   (2)  Preliminary Specifications
                   (3)  Intermediate  Drawings
                   (4)  Basis of Design Report/Design Analysis
                   (5)  Revised Cost Estimate
                   (6)  PRP Description of Variances with ROD
                   (7)  PRP Response to Design Review Comments
                   (8)  Participate in Intermediate Design Review/Briefing

                                                   13                       Model RD Oversight SOW (6/95)

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      .7.2
.7.1.3  Review Prefinal/Final Design
       (1)  Prefmal Design Specifications
       (2)  Prefinal Drawings
       (3)  Basis of Design Report/Design Analysis
       (4)  Revised Cost Estimate
       (5)  Final Design Submittal
       (6)  Participate in Prefinal/Final Design Review
       (7)  Subcontract Award Document(s)
       (8)  Biddability (Offerability) and Constructability Reviews
       (9)  Revised Project Delivery Strategy
(Not used)
6.8  Technical Meeting Support
                ."   '        '      '               '   •        •            .'•     '  •  |	:
     This task includes work efforts related to attendance at and documentation of meetings with EPA, PRPs,
     the PRP contractor, and the State Agency.  The contractor shall attend meetings and provide
     documentation of meeting results.  Within	days after a meeting, the contractor will submit to the
     WAM/RPMa written report summarizing the meeting results.  Meetings may be scheduled to coincide
     With the following specific milestones during the RD/RA:
   '" '      '     '' '•• I  ' :	"! '     ,'.!.,    I?"          1  ,
     •     At PRP RD Work Plan Review
     •     At Design Submittal Reviews
     •     Before initiating onsite field sampling and treatability study during design
     •     At completion of all sampling during design

6.9  Work Assignment Closeout
                                                                                   ii

     .9.1  Return Documents to Government
     .9.2  Duplicate, Distribute, and Store Files
     .9.3  Archive Files
                V il; j1  , Hull   j        III'            I     '  i               'i1         I ,     ,
     .9.4  Prepare Microfiche,  Microfilm, and/or Optical Disk
     ,9.5  Prepare Closeout Report.  The contractor shall include a breakdown on disk of final costs and Level
           of Effort (by P-level) in the  same detail and format as the Work Breakdown Structure
           (Attachment 2).
                                                   14
                                                                Model RD Oversight SOW (6/95)
                ;:il

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                        Attachment 1
Summary of Major Submittals for the Remedial Design Oversight at
                 	(Site)
TASK
6.1.1.2
6.1.1.5
6.1.1.5
6.1.1.6
6.1.2.2
6.1.2.3(1)
6.1.2.3(2)
6.1.2.2
6.1.2.3(1)
6.1.2.3(2)
6.2.1
6.2.1
DELIVERABLE
Site Visit Report
Draft RD Oversight Work Plan
Final RD Oversight Work Plan
Comments on Reviews of PRP
Plans
Draft HASP
Draft QAPP
Draft FSP
Final HASP
Final QAPP
Final FSP
Draft Revised CRP
Final Revised CRP
REF
NO.*



5
8
19
21
36
36
19
21
8
5
36
19
21
8
5
4
4
NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
10 days after site visit
30 days after initiation of work
assignment (WA)
15 days after receipt of EPA
comments
21 days after receipt of work plans
from EPA
30 days after initiation of WA
30 days after initiation of WA
30 days after initiation of WA
15 days after receipt of EPA
comments
15 days after receipt of EPA
comments
15 days after receipt of EPA
comments
(#) days after initiation of WA
(#) days after receipt of EPA
comments
EPA REVIEW
PERIOD
7 days- after receipt of report
21 days after receipt of Work Plan
NA
NA
21 days after receipt of HASP
21 days after receipt of QAPP
21 days after receipt of FSP
NA
NA
NA
14 days after receipt of revised
CRP
NA

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                                                         Attachment 1
                               Summary of Major Stibmittals for the Remedial IJesign Oversight at
                                            	(Site) (continued)
lift
TASK
6.2.2
6.6.4
6.7
DELIVERABLE
Fact Sheets
Data Evaluation Summary
Report
Letter Reports
REF
NO.*



NO. OF
COPIES
3
3
3
DUE DATE
(calendar days)
As needed
10 days after receipt of analytical
results from laboratory
21 days after receipt of PRP
design submittal
EPA REVIEW
PERIOD
10 days after receipt of fact sheet
15 days after receipt of report
14 days after receipt of letter
report
             *See Attachment 3 for list of references

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                                         Attachment 2
                          Work Breakdown Structure (WBS) for
                             Remedial Design Oversight (RDO)
6.0 Remedial Design Oversight
    .01 Project Planning and Support
        .01 Project Planning
            .01  Attend Scoping Meeting
            .02  Conduct Site Visit
            .03  Evaluate Existing Information
            .04  Oversight Work Plan Development
                 .01  Draft  Oversight Work Plan Development
                     .01 Develop Narrative
                     .02 Develop Cost Estimate
                     .03 Internal QA & Submission
                 .02  Final Oversight Work Plan Preparation
                     .01 Attend Negotiation Meeting
                     .02 Modify Draft Work Plan and Cost Estimate
                     .03 Internal QA & Submission
            .05  Review PRP Plans
                 .01  Review PRP Site Management Plan
                     .01 Review PRP Pollution Control & Mitigation Plan
                     .02 Review PRP T&D Plan
                 .02  Review PRP Health & Safety Plan
                 .03  Review PRP Sampling & Analysis Plan (Chemical Data Acquisition Plan)
                     .01 Review PRP Quality Assurance Project Plan
                     .02 Review PRP Field Sampling Plan
                     .03 Review PRP Data Management Plan
                 .04  Other  PRP Plan(s)
        .02 Preparation of Site-Specific Plans
            .01  Not used
            .02  Develop Health  & Safety Plan
            .03  Sampling & Analysis Plan (Chemical Data Acquisition Plan)
                 .01  Quality Assurance Project Plan
                 .02  Field Sampling Plan
                 .03  Data Management Plan
            .04  Other Plan(s)
        .03 Project Management
            .01  Prepare  Periodic Status Reports
                 .01  Document Cost and Performance  Status
                 .02  Prepare/Submit  Invoices
            .02  Meeting Participation/Routine  Communications
            .03  Maintain Cost/Schedule Control System
            .04  Perform Value Engineering
            .05  Perform Engineering Network Analysis
            .06  Manage, Track, and Report Equipment  Status
            .07  Work Assignment Closeout
        .04 Subcontract Procurement/Support  Activities
            .01  ID and Procurement of Subcontractors
                 .01  Not used —Drilling Subcontractor
                 .02  Not used -Surveying Subcontractor

                                                 17                   Model RD Oversight SOW (6/95)

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             .03  Not used -Geophysical Subcontractor
             .04  Not used-Site Preparation Subcontractor
             .05  Analytical Services Subcontractor(s)
             .06  Not used—Waste Disposal Subcontractor
             .07  Not used—Treatability Subcontractor(s)
             .08  Other(s)
         .02 Contractor QA Program
         .03 Perform Subcontract Management
.02 Community Relations
    .01  Community  Relations Plan (CRP)  Development
         .01 Conduct Community Interviews
         .02 Update  CRP
             .01  Draft CRP
             .02  Final CRP
    .02  Prepare Fact Sheets
    .03  Public Hearing, Meetings, & Availability Support
         .01 Technical Support
         .02 Logistical & Presentation  Support
         .03 Public Notice  Support  (writing, or placement of)
    .04  Maintain Information Repository/Mailing  List
.03 Data Acquisition Oversight
    .01  Mobilization/Demobilization  Oversight
         .01 Not used-ID field support equipment/supplies/facilities
         .02 Mobilization Oversight
             .01  Site Preparation
                  .01 Perform Demolition
                  .02 Clearing and Grubbing
                  .03 Perform Earthwork
                      .01  Provide Borrow Pit
                      .02 Construct Haul  Roads
                  .04 Construct  Roads/Parking/Curbs/Walks
                  .05 Install Storm Drainage/Subdrainage
                  .06 Install Fencing/Site Security
             .02  Installation of Utilities
                  .01 Install Electrical Distribution
                  .02 Install Telephone/Communication  System(s)
                  .03 Install Water/Sewer/Gas  Distribution
                  .04 Install Fuel Line Distribution
             .03  Construction of Temporary Facilities
                  .01 Construct  Decontamination Facilities
                  .02 Construct  Sample/Derived  Waste Storage Facility
                  .03 Construct  Field  Offices
                  .04 Construct Mobile Laboratory
                  .05 Construct Other Temporary Facilities
         .03 Demobilization  Oversight
             .01  Removal  of Temporary Facilities
             .02  She Restoration
    .02  Field  Investigation
         .01 Site Reconnaissance  Oversight
             .01  Ecological Resources Reconnaissance
             .02  Well Inventory
             .03  Residential Well Sampling
             .04  Land Survey
             .05  Topographic Mapping
             .06  Field Screening
                                               18                   Model RD Oversight SOW (6/95)

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         .02 Geological Investigations Oversight (Soils/Sediments)
             .01 Surface Soil Sample Collection
         .03 Air Investigations Oversight
         .04 Hydrogeological Investigations Oversight-Ground Water
             .01 Well Systems Installation
             .02 Collect Samples
             .03 Hydro Punch
             .04 Tidal Influence Study
             .05 Hydraulic Tests (Pump Tests)
             .06 Ground-Water  Elevation Measurement
         .05 Hydrogeological Investigations Oversight-Surface Water
         .06 Waste Investigation Oversight
         .07 Geophysical Investigation Oversight
         .08 Ecological Investigation Oversight
         .09 Contaminated  Building Samples Oversight
         . 10 Disposal of Investigation-Derived Waste Oversight
         .11 Prepare  Data Acquisition Oversight  Reports
.04 Sample Analysis of Splits
    .01  Screening-Type Laboratory  Sample Analysis
         .01 Analyze Air/Gas Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .02 Analyze Ground-Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .03 Analyze Surface Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .04 Analyze Soil/Sediment  Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .05 Analyze Waste  (Gas) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .06 Analyze Waste  (Liquid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .07 Analyze Waste  (Solid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .08 Analyze Biota Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .09 Analyze Bioassay Samples
         .10 Perform Bioaccumulation Studies
    .02  CLP-Type Laboratory Sample Analysis
         .01 Analyze Air/Gas Samples
                                              19                   Model RD Oversight SOW (6/95)

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             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .02  Analyze Ground-Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .03  Analyze Surface Water Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .04  Analyze Soil/Sediment  Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .05  Analyze Waste (Gas) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .06  Analyze Waste (Liquid) Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .07  Analyze Waste (Solid)  Samples
             .0.1 Organic
             .02 Inorganic
             .03 Radiochemistry
         .08  Analyze Biota Samples
             .01 Organic
             .02 Inorganic
             .03 Radiochemistry
         .09  Analyze Bioassay  Samples
         .10  Perform Bioaccumulation Studies
.05 Analytical Support and Data Validation of Split Samples
    .01  Prepare and Ship  Environmental  Samples
         .01  Ground-Water Samples
           " "M!   ; iiil'Wi           ' Li   •"•              •                      i         I
         .02  Surface and Subsurface Soil Samples
         .0$  Surface Water &  Sediment Samples
         .04  Air Samples
         .05  Biota  Samples
         .06  Other types of media sampling and screening
    .02  Coordinate with appropriate Sample Management personnel
    .03  Implement  EPA-approved  Laboratory QA program
    .04  Provide Sample Management  (Chain of Custody, sample retention, & data storage)
    .05  Perform Data Validation
         .01  Review analysis results against validation criteria
         .02  Provide written Documentation  of validation efforts
.06 Data Evaluation of Split Samples
    .01  Data Useability Evaluation/Field  QA/QC
    .02  Data Reduction, Tabulation and Evaluation
         .01  Evaluate Geological Data (Soils/Sediments)
         .02  Evaluate Air  Data
         .03  Evaluate Hydrogeological Data-Ground Water
         .04  Evaluate Hydrogeological Data-Surface Water
         .05  Evaluate Waste Data

                                              20                    Model RD Oversight SOW (6/95)

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         .06 Evaluate Geophysical Data
         .07 Evaluate Ecological Data
     .03  Modeling
         .01 Contaminant Fate and Transport
         .02 Water Quality
         .03 Ground Water
         .04 Air
         .05 Other Modeling
     .04  Develop  Data Evaluation Report
.07  Review PRP Remedial Design Documents
     .01  Review Preliminary  Design
         .01 Project Delivery Strategy and Scheduling
         .02 Preliminary Construction Schedule
         .03 Specifications Outline
         .04 Preliminary Drawings
         .05 Basis of Design Report/Design  Analysis
         .06 Preliminary Cost  Estimate
         .07 PRP Description  of Variances with ROD
         .08 PRP Response  to Design Review Comments
         .09 Participate  in Preliminary Design Review/Briefing
     .02  Review Intermediate Design
         .01 Construction Schedule
         .02 Preliminary Specifications
         .03 Intermediate Drawings
         .04 Basis of Design Report/Design  Analysis
         .05 Revised Cost Estimate
         .06 PRP Description  of Variances with ROD
         .07 PRP Response  to Design Review Comments
         .08 Participate  in Intermediate  Design Review/Briefing
     .03  Review Prefinal/Final  Design
         .01  Prefinal Design Specifications
         .02 Prefinal Drawings
         .03  Basis of Design Report/Design  Analysis
         .04  Revised Cost Estimate
         .05  Final Design Submittal
         .06  Participate  in Prefinal/Final  Design Review
         .07  Subcontract Award Document(s)
         .08  Biddability  (offerability) and Constructability Reviews
         .09  Revised Project Delivery Strategy
         .10  Document  VE Modifications
.07.02   (Not Used)
.08 Technical Meeting Support
.09 Work Assignment Close  Out
     .01  Return Documents  to  Government
     .02  File Duplication/Distribution/Storage
     .03  File Archiving
     .04  Microfiche/Microfilm/Optical  Disk
     .05  Prepare Closeout Report
                                             21                    Model RD Oversight SOW (6/95)

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                                                     Attachment 3
                                       Regulations and Guidance Documents

            Th? following list, although not comprehensive, comprises many of the regulations  and guidance documents
            that apply to the RD process:

            1.   American National Standards Practices for Respiratory Protection.  American  National Standards
                Institute Z88,2-1980,March 11,1981.
            2.   ARCS Construction Contract Modification Procedures September 89, OERR Directive 9355.5-01/FS.
            3.   CERCLA Compliance with Other Laws Manual, Two Volumes, U.S. EPA, Office of Emergency  and
                Remedial Response, August 1988 (DRAFT), OSWER Directive No. 923471-01 and -02.
            4.   Community Relations in Superfund-A Handbook, U.S. EPA, Office of Emergency and Remedial
                Response, June 1988, OSWER Directive No. 9230.0-3B.
            5.   A Compendium of Superfund Field Operations Methods, Two Volumes, U.S. EPA, Office of Emergency
                and Remedial Response, EPA/540/P-87/001a,  August 1987, OSWER Directive No. 9355.0-14.
            6.   Construction Quality Assurance for Hazardous  Waste Land Disposal  Facilities, U.S. EPA, Office of
                Solid Waste and Emergency Response, October 1986, OSWER Directive No. 9472.003.
            7.   Contractor  Requirements  for the Control and Security of RCRA Confidential  Business Information,
                March  1984.
            8.   The  Data Quality Objectives Process for Superfund:   Interim  Final Guidance, U.S. EPA, EPA/540/R-
                93/071, September 1993.
            9.   Engineering Support Branch Standard Operating Procedures  and Quality Assurance Manual,  U.S. EPA
                Region IV, Environmental  Services  Division, April 1, 1986 (revised periodically).
            10. EPA NEIC Policies and Procedures Manual, EPA-330/9-78-001-R, May 1978, revised November 1984.
            11. Federal Acquisition Regulation, Washington, DC: U.S. Government  Printing Office (revised
                periodically).
            12. Guidance for Conducting Remedial  Investigations and Feasibility Studies Under CERCLA, Interim
                Final, U.S.  EPA, Office of Emergency and Remedial  Response, October 1988, OSWER Directive NO.
                9355.3-01.
            13. Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed  by Potential
                Responsible Parties, U.S. EPA Office of Emergency and Remedial Response,  EPA/540/G-90/001,  April
                1990.
            14. Guidance on Expediting Remedial  Design  and  Remedial Actions, EPA/540/G-90/006,  August 1990.
            15. Guidance on Remedial  Actions for  Contaminated Ground Water at Superfund  Sites, U.S. EPA Office of
                Emergency  and Remedial Response  (DRAFT), OSWER Directive No. 9283.1-2.
            16. Guide for Conducting Treatability Studies  Under CERCLA, U.S. EPA, Office of Emergency  and
                Remedial Response, Prepublication version.
            17, Guide to Management of Investigation-Derived Wastes, U.S. EPA, Office of Solid Waste and
                Emergency  Response,  Publication 9345.3-03FS,January 1992.
            18, Guidelines  and Specifications for Preparing Quality Assurance Project Plans, U.S. EPA, Office of
                Research and Development, Cincinnati, OH, QAMS-004/80,  December 29,1980.
            19. Health and Safety Requirements  of Employees Employed  in  Field Activities, U.S. EPA, Office of
                Emergency and Remedial Response, July 12,1982, EPA Order No. 1440.2.
            20. Interim Guidance on Compliance with Applicable of Relevant and Appropriate Requirements, U.S.
                EPA, Office of Emergency  and Remedial Response, July 9, 1987, OSWER Directive No. 9234.0-05.
            21. Interim Guidelines and Specifications for Preparing  Quality Assurance Project Plans, U.S. EPA,  Office
                of Emergency and Remedial Response,  QAMS-005/80, December  1980.         "
            22. Methods  for Evaluating the Attainment  of Cleanup Standards: Vol.  1, Soils and Solid Media, February
                1989, EPA  23/02-^89-042; vol. 2, Ground water (Jul 1992).
            23. National Oil and  Hazardous Substances Pollution Contingency Plan;  Final  Rule, Federal Register 40
                CFR Part 300, March 8, 1990.
            24. NIOSH Manual of Analytical Methods, 2nd edition.  Volumes I-VII for the 3rd edition, Volumes I and
                II, National Institute of Occupational  Safety and Health.
                                                             22                   Model RD Oversight SOW (6/95)
I|lI it ! .,M	,i,iiiiiiii-i, ,-i.i	 Illlllill^^^^^      	In.-I	11^^ Jiliillllli	I,	I	iiii!llB,iiaiai jj.iJill^^^^   ., i.Ji „,!'!:' ...In .„	MuJ.i: '	LU	 ',11,1,	ll	i	I	if J	•. a.	..	..	..i,; Jill..1,1 	t , ,:...l	i	,  I	:..:,	i, ,t:J.l

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25. Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities, National
    Institute  of Occupational  Safety and Health/Occupational  Health and Safety Administration/United
    States Coast Guard/Environmental  Protection Agency, October 1985.
26. Permits and Permit Equivalency Processes for CERCLA On-Site Response Actions, February 19,1992,
    OSWER Directive 9355.7-03.

27. Procedure  for Planning and Implementing Off-Site Response Actions, Federal Register, Volume 50,
    Number  214, November 1985, pages 45933-45937.
28. Procedures for Completion and Deletion of NPL Sites, U.S. EPA, Office of Emergency and Remedial
    Response,  April 1989, OSWER  Directive No. 9320.2-3A.
29. Quality hi the Constructed Project: A Guideline  for Owners, Designers  and Constructors, Volume 1,
    Preliminary Edition for Trial Use  and Comment,  American Society of Civil Engineers, May 1988.
30. Remedial Design/Remedial Action (RD/RA)  Handbook, U.S. EPA, Office  of Solid Waste and
    Emergency Response (OSWER), 9355.0-04B,EPA 540/R-95/059, June 1995.
31. Revision of Policy Regarding Superfund Project Assignments, OSWER  Directive No. 9242.3-08,
    December  10,1991.  [Guidance, p. 2-2]
32. Scoping the Remedial Design (Fact Sheet), February 1995, OSWER  9355-5-21FS.
33. Standard Operating Safety Guides, U.S. EPA,  Office of Emergency and Remedial Response,  November
    1984.
34. Standards for the Construction  Industry, Code of Federal Regulations,  Title 29, Part 1926, Occupational
    Health and Safety Administration.
35. Standards for General Industry, Code of Federal Regulations, Title 29, Part  1910, Occupational  Health
    and Safety  Administration.
36. Structure and Components of 5-Year Reviews, OSWER Directive No. 9355.7-02,May 23,1991.
    [Guidance,  p. 3-5]
37. Superfund  Guidance  on EPA Oversight of Remedial  Designs and Remedial Actions Performed  by
    Potentially  Responsible Parties,  April 1990,EPA/540/G-90/001.
38. Superfund  Remedial  Design and Remedial Action Guidance, U.S. EPA, Office of Emergency  and
    Remedial Response,  June  1986, OSWER Directive No. 9355.0-4A.
39. Superfund  Response  Action Contracts (Fact  Sheet), May 1993, OSWER Publ. 9242.2-08FS.
40. TLVs-Threshold Limit Values and Biological Exposure Indices for 1987-88, American Conference of
    Governmental  Industrial Hygienists.
41. Treatability Studies Under CERCLA, Final.  U.S. EPA, Office of Solid Waste and Emergency
    Response, EPA/540/R-92/071a,  October 1992.
42. USEPA Contract Laboratory Program  Statement  of Work for Inorganic Analysis, U.S. EPA,  Office of
    Emergency and Remedial Response, July 1988. •
43. USEPA Contract Laboratory Program  Statement  of Work for Organic  Analysis, U.S. EPA, Office of
    Emergency and Remedial Response, February  1988.
44. User 's Guide to the EPA Contract Laboratory Program, U.S. EPA, Sample Management  Office,
    August 1982.
45. Value Engineering (Fact Sheet), U.S. EPA, Office of Solid Waste and Emergency Response,  Publication
    9355.5-03FS,May 1990.
                                                 23                   Model RD Oversight SOW (6/95)

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Attachment 4


TRANSMITTAL OF DOCUMENTS FOR ACCEPTANCE BY EPA
TO:
SUBTASK NO.











DATE:
FROM:
DELIVERABLE











NO. OF
COPIES











TRANSMITTAL NO.
1 	 1 New Transmittal
1 	 1 Resubmittal of
Transmictal No.

REMARKS











ACCEPTANCE ACTION
DOCUMENTS FOUND ACCEPTABLE (LIST BY SUBTASK NO.)
NAME/TITLE/SIGNATURE OF REVIEWER
DATE


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Attachment 5
TRANSMITTAL REGISTER
PROJECT TITLE AND LOCATION
d
£
•«
1














DELIVERABLE














0 3
6 &
Z U














u a
3 a
0 Q














CONTRACT NO.
Transmittal
No.














Date
Received














Date Comments
Sent to
Contractor














WORK ASSIGNMENT NO.
EPA
Acceptance
Date














REMARKS















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                                                                                            (Date)

           MODEL STATEMENT OF WORK FOR REMEDIAL ACTION

          	SITE,	COUNTY,	STATE
ATTACHMENTS
Attachment 1.  Summary of Major Submittals for the Remedial Action at	(Site)	   22
Attachment 2.  Work Breakdown Structure   	   24
Attachment 3.  Regulation and Guidance Documents   	   30
Attachment 4.  Transmittal of Documents for Acceptance by EPA	   32
Attachment 5.  Transmittal Register	33
  1.    To tell the contractor what EPA wants done.  The WAM/RPM should be as specific as possible in
       describing what you want the contractor to do.  The contractor will write a work plan and budget
       describing how and at what cost the requirements will be met and ultimately will be responsible for
       performing to those requirements.  Whenever there is an absolute requirement (e.g., prepare the
       QAPP in accordance with QAMS-005/80 (December 29, 1980 or prepare the Remedial Action Report
       in accordance with OSWER Publication 9355.0-39FS (June 1992)), state it.

  2.    To give the contractor a structure for recording costs.  Work plan costs and final costs of different
       remedial action projects can be compared and analyzed.

  Use of a Work Breakdown Structure (WBS)

  1.    A WBS has been developed for this model work assignment in order for EPA to track the initial and
       final costs of each element used and share this data with other Federal agencies.  The WBS is,
       essentially, the outline for this work assignment and is included as Attachment 2  to this SOW.

  2.    If an element is not to be used, do not change the numbering system: instead, insert "not used"  or
       "N/A"  after the element number and then delete the text for that element.

  3.    For the items used for a given project,  additional descriptions (e.g., type of samples and estimated
       number) should be added hi order for the contractor and RPM/WAM to develop  estimated costs on a
       common basis.
7.0  Introduction

     .0.1  Site Description
  Provide a brief site description and site history.
      .0.2  Purpose

      The purpose of this Statement of Work (SOW) is to set forth the framework and requirements for
      implementing the Remedial Action (RA) at	(site) in accordance with the objectives of the
      Remedial Design (RD). The Record of Decision (ROD) issued on	(date) defines the selected
      remedy.  The RA is the implementation phase of site remediation or construction of the remedy, including

                                                 1                           Model RA SOW (6/95)

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    necessary operation and maintenance, performance monitoring, and special requirements.  The RA is
    based on t% RE) to achieve the remediation goals specified in the ROD.  The goal for completion of this
    RA is	._ months after work plan approval.  The estimated completion date for this work assignment
    is
For the purposes of this model SOW, the RA contractor, also referred to as  "the contractor", is defined
as the firm responsible for performing the SOW. The RA contractor is under contract to EPA through the
Alternate Remedial Contracting Strategy (ARCS) or Remedial Action Contractor (RAC) contracting
vehicles. The construction contractor, also referred to as the "constructor" is responsible for planning
and managing the construction activities hi accordance with the contract documents.  In most cases, the
constructor is a subcontractor to the RA contractor and will utilize the services of specialty subcontractors
in order to accomplish the RA.

During the RA, there are many participating team members that will have specific roles and responsibilities
throughout the RA.  Up front in the SOW, the RPM may  consider defining the nomenclature used to refer
to the different participants. Defining the RA contractor, the construction contractor, and other
subcontractors will ensure that the terms are used consistently throughout the SOW and Work Plan and will
facilitate a clear understanding of whom is expected to do  what parts of the SOW.  The RPM may consider
adding appropriate definitions to section 0.2.
    .0.3   General Requirements
          .0.3.1
          .0.3.2

          -0.3.3

          .0.3^4


          .0.3.5

          .0.3.<5
          .0.3.7
        The contractor shall conduct the RA in accordance with this SOW and the final plans and
        specifications developed during the RD.  The RA shall also be consistent with the ROD
        issued on	(date), the Remedial Design/Remedial Action (RD/RA) Handbook
        (U.S. EPA Office of Solid Waste and Emergency Response (OSWER) 9355.0-04B, EPA
        540/R-95/059, June 1995), and all other guidance used by EPA in conducting an RA.  The
        primary contact for this work assignment is	, tel. (	_)	; the
        secondary contact is	, tel. (__)	.
        A summary of the major deliverables and a suggested schedule for submittals is attached.
        See Attachment 1.                                            :  '
        Specifically, the RA involves the construction and implementation of
        Jj	,^___ (briefly explain the major components of the RA).
        The contractor shall furnish all necessary and appropriate personnel, including
        subcontractors, materials, and services needed for, or incidental to, performing and
        completing the RA.
        A list of primary guidance and reference  material is attached. See Attachment 2. In all
        cases, the contractor shall use the most recently issued guidance.
        Ifhe estimated cost of the RA, as outlined in the RD cost  estimate, is $	.
        The contractor shall communicate at least weekly with the Work Assignment Manager or
        Remedial Project Manager (WAM/RPM), either in face-to-face meetings or through
        conference calls.
.0.3.8   flie contractor shall notify the WAM/RPM when 75 percent of the approved work
        assignment budget has been expended and when 95 percent has been expended.
.0.3.9   The contractor shall document all decisions that are made in meetings and conversations
        v^ith EPA.  The contractor shall forward this documentation to the 'Vy'AM/RPM within two
        working days of the meeting or conversation.
.0.3.10  EPA will provide oversight of contractor activities throughout the RA.  EPA review and
        approval of deliverables is a tool to assist this process and to satisfy, in part, EPA's
        responsibility to provide effective protection of public health, welfare, and the
        environment. EPA will review deliverables, including specific deiiverables  from the
        constructor to the RA contractor, to assess the likelihood that the constructed remedy will
                                                                               Model RA SOW (6/95)
                                                                             	II;	

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                    achieve its remediation goals and that its performance and operations requirements have
                    been met. Acceptance of plans and design-required submittals (i.e., shop drawings, design
                    details) by EPA does not relieve the RA contractor, the constructor, or any subcontractors
                    from their professional responsibilities.

      .0.4   Record-Keeping Requirements

      The contractor shall maintain all technical and financial records for the RA in accordance with the
      contract.  At the completion of the RA, the contractor shall submit	copies of the official record
      of the RA in	(format) to the WAM/RPM.
  1.   Technical and financial records must support decisions made during the RA as well as to support cost
       recovery.

  2.   The WAM/RPM should check with the Regional Records Manager and with Regional Counsel
       regarding the distribution, number of copies, and preferred format (i.e., hard copy, microfilm,
       microfiche, CD-ROM) for the official records of the RA.
      .0.5   Equipment Transfer

      At the completion of the RA work assignment or when government personal property is no longer
      required at the site, the contractor shall arrange for the proper disposition of government-furnished or
      contract-acquired property (purchased with contract funds) in accordance with the contract requirements.
      The disposition (transfer, sale, or abandonment) of government personal property and the tracking of such
      equipment (see item . 1.2.4) shall be coordinated with the Contract Property Administrator. For additional
      information, refer to Contractor's Guide for Control of Government Property, Office of Administration
      and Resources Management, December 1988.

      .0.6   Project Closeout

      At the completion of the RA work assignment, the contractor shall perform all necessary project closeout
      activities as specified in the contract.  These activities may include closing out any subcontracts, indexing
      and consolidating project records and  files as required in Paragraph 0.4 above, and providing a technical
      and financial closeout report to EPA.  Final  costs  shall be reported to EPA (on disk) broken down into the
      cost for each element of the WBS for this work assignment (see item .1.2.5, Project Management, Work
      Assignment Closeout).

7.1 Project Planning and Support

      .1.1   Project Planning

      The purpose of this task is to plan for the execution and overall management of this work  assignment.
      The technical and managerial activities required to implement the RA and the associated costs are
      developed during the planning phase and are detailed in the RA Work Plan. Activities required for
      general work assignment management that will occur throughout the duration of the project are included in
      this task. This task may begin before or after the approval of the final design package and will continue
      through work assignment closeout.  The following activities shall be performed as part of the project
      planning and support task:
                                                                                 Model RA SOW (6/95)

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1.    Depending on project status and if the designer will continue as the RA contractor, the WAM/RPM
      may not need to task some of the following tasks (e.g. conduct site visit [1.1.2] or evaluate existing
      information [1.1.3]) that are needed to familiarize a new contractor with the site.

2.    Before developing the RA SOW, the WAM/RPM should review the RD SOW or RD work plan to
      confirm  if any RA planning or pre-construction activities were tasked during the RD work
      assignment.  Some activities may have been conducted by the RD contractor in Task 12, Post RD
      Support)

3.    In order to expedite the RA,  initial planning for the RA may start before final approval of the design
      package  and therefore, overlap with RD or post-RD activities tasked to the designer.  This is possible
      when the designer will oversee the construction as the RA contractor.
          .1.1.1   Attend Scoping Meeting. Before or concurrent with developing the RA Work Plan, the
                  contractor shall attend a scoping meeting to be held at the EPA Regional Office.
The meeting location and the RPM's expectations for the number of contractor personnel to attend should
be specified for cost estimation purposes.  Consider having the designer, if different than the RA
contractor, attend the meeting to present any special considerations and to facilitate the transfer of site and
design information prior to work plan development.
          .1.1.2  Conduct Site Visit.  The contractor shall conduct a site visit with the EPA WAM/RPM and
              :   designer's representative (if appropriate) during the RA planning phase to assist in
                  developing an understanding of the site and any construction logistics.  Information
                  gathered during the visit shall be used to better scope the project and to implement the RA.
                  A Health and Safety Plan (HASP) is required for the site visit.  The contractor shall
                  prepare a report that documents the site visit and any required action items or decisions.
                  This report shall be submitted to the EPA WAM/RPM within 10 calendar days of the site
                  visit.
          .1.1.3  Evaluate Existing Information.  The contractor shall obtain, copy (if necessary), and
                  evaluate existing data and documents, including the final  Design Package, the RD Work
                  Plan, the ROD, Remedial Investigation/Feasibility Study  (Sl/FS), ancl other data and
                  documents as directed by WAM/RPM. This information shall be used to determine if any
                  additional data are needed prior to procuring the constructor.  The documents available for
                  review are listed hi Attachment 3.
The WAM/RPM should specify the following key documents for the RA contractor to review:
   Final Drawings and Specifications
      (100% Design)
   Final Basis of Design and
      Design Analysis
   RA Cost Estimate
   Construction Quality Assurance Plan
• Project Delivery Strategy

• VE Modifications

• Draft O&M Manual
• Quality Assurance Plan for O&M
Additional documents to list in Attachment 3 could include the summary of the "Predesign Information
Collection" Effort (see Chapter 3 of the Guidance for Scoping the Remedial Design), Focused Feasibility
Studies (FFS), State documentation, hydrogeological information, and RPM file data.  However, to control
expenses, limit review to pertinent documents specific to the site and construction of the remedy.
                                                                                Ipdel RA SOW (6/95)

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          .1.1.4   Develop Work Plan.  The contractor shall prepare and submit a RA Work Plan which
                  includes a detailed description of construction activities, operations and maintenance,
                  performance monitoring, and an overall management strategy for the RA.  The contractor
                  shall present the general approach that will be used for the RA at a Work Plan scoping
                  meeting with the WAM/RPM.  This meeting will be held at the Region	office.
If the RA will be complex, consider modifying subtask 3.1.1.4 (1) to include an additional scoping meeting
to be held before the contractor finalizes the technical approach. This will ensure that the WAM/RPM and
the contractor are in agreement as to the approach to be taken and  that the agreed-upon approach is
reflected in the Work Plan.  The contractor may not have to rewrite the Work Plan if this is done.
          . 1.1.4   Develop Work Plan (continued)
                  (1) Develop Draft Work Plan.  The contractor shall prepare and submit a draft RA Work
                     Plan within 30 calendar days after initiation of the work assignment (WA).  Submit the
                     original to the Contracting Officer (CO), one copy to the Project Officer (PO),  and one
                     copy to the WAM/RPM or hi accordance with contract requirements. The Work Plan
                     shall include a detailed description of the technical approach for the remediation and
                     construction activities in accordance with the final design and ROD.  The necessary
                     procedures, inspections, deliverables, and schedules shall be specified. A
                     comprehensive construction management schedule for completion of each major activity
                     and submittal shall also be included.
1.    The WAM/RPM should verify the work plan submittal timeframe with the PO.  Additional copies of
      the work plan can be submitted to the WAM/RPM, if specified, for distribution to other technical
      staff.

2.    The WAM/RPM should ensure that the submittal requirements in this SOW are in accordance with
      the submittal requirements for the RA contract as specified in the plans and specifications.

3.    The WAM/RPM must prepare an Independent Government Cost Estimate (IGCE) for the RA before
      the WA is issued to the contractor.  The WAM/RPM should use the designer's final RA cost
      estimate, prepared as part of the final design (RD SOW, Task 11) as a starting point and add the costs
      associated with the construction management and oversight activities performed by the RA contractor,
      as specified in this SOW.  Contact Regional IGCE Coordinators for assistance.
                      (a)  Develop Narrative. Specifically, the Work Plan shall present the following:

                          -   A statement of the problem(s) and potential problem(s) posed by the site and
                             how the objectives of the completed RA will address the problem(s).
                             The contractor's technical approach to each task to be performed, including a
                             detailed description of each task; the assumptions used; the information needed
                             for each task;  any information to be produced during and at the conclusion of
                             each task; and a description of the work products that will be submitted to
                             EPA.  Tasks and subtasks shall be presented hi the same WBS format as
                             provided in this work assignment-SOW. The technical descriptions shall
                             include enough detail to back up the costs and level of effort presented in
                             A schedule for specific dates for completion of each required activity and
                             submission of each deliverable required by this SOW.  (See Attachment 1).
                             This schedule shall also include information about timing, initiation, and
                             completion of all critical path milestones for each activity and deliverable and
                             the expected review time for EPA.

                                                  5                            Model RA SOW (6/95)

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                          -   An organizational structure which outlines the responsibilities and authority of
                             all organizations and key personnel involved in the RA.  A description of key
                             project personnel's qualifications (project manager, resident engineer, quality
                             assurance official, etc.) shall be provided.
                      (b)  Develop Cost Estimate.  The contractor's estimated cost to complete the work
                          assignment, including subcontractors' costs,  shall be prepared for each element of
                          the WBS (Attachment 2) and submitted to EPA on disk [specify format].  The
                          contractor shall provide a breakdown of the cost and Level of Effort (LOE),  by
                          professional levels, for each subtask of the Work Assignment.
                      (c)  Internal QA and Submission of Work Plan.
                  (2) Prepare Final Work Plan
                      (a)  Attend Negotiation Meeting.  The contractor shall attend a Work Plan negotiation
                          meeting at the Region	office.  Any technical issues and possible solutions
                          shall be discussed at this meeting. The contractor shall confirm these discussions
                          and suggested plan of action in a  memorandum  to "the WAM/RPM within 2 days
                          of the meeting.
                      (b)  Modify Draft Work Plan and Cost Estimate.  The contractor shall make revisions
                          to the Work Plan as a result of EPA's comments and/or negotiation agreements.
                      (c)  Internal QA and Submission of Final Work Plan within 15 days after receipt  of
                          EPA comments on  the draft Work Plan.
    . 1.2   Project Management
1.   The WAM/RPM should specify the format for submissions (e.g., Monthly Progress Reports) if there
     are Region-specific or other requirements.

2,   During construction, there may be especially active periods. The WAM/RPM should specify
     additional communication requirements or status reports from the RA contractor.  Also, the
     WAM/RPM should arrange for personal visits to the site during these times.
          .1.2.1   Prepare Periodic Status Reports.  The contractor shall prepare Monthly Progress Reports.
                  (1) Document Cost and Performance Status.  The contractor shall document the technical
                     progress and status of each task in the WBS for the reporting period in accordance
                     with contract requirements.  The contractor shall report costs and level of effort (by P-
                     level) for the reporting period as well as cumulative amounts expended to date.
                  (2) Prepare and Submit Invoices.  Monthly invoices will be prepared and submitted in
                     accordance with the level of detail as specified in the contract.
          .1.2.2   Nfeeting Participation and Routine Communications.  The contractor shall attend project
                  meetings, provide documentation of meeting results,  and shall contact the RPM by
                  telephone on a weekly basis to report project status.
          .1.2.3   Maintain Cost/Schedule Control System. The contractor shall develop and maintain a
                  system to monitor and control the costs and schedule of the Work Assignment.  The
                  contractor shall specify the process to continuously update the information in the system as
                  a result of engineering network analyses and changing field conditions.  The system shall
                  have the capability to compare technical progress with expenditures and predict completion
                  dates and cost to complete information. In addition to reporting cost and progress of the
                  elements of this SOW, the cost/schedule control system must report and control costs
                  within Task  8, RA Implementation, in sufficient detail to control construction costs.
          .1.2.4   Manage, Track, and  Report Equipment Status. The contractor shall manage,  track, and
                  report the  status of all government-furnished equipment and contract-acquired property in
                  a^pordance with contract requirements.  Labelling  and record keeping requirements for
                  government personal property are outlined in the Contractor's Guide for Control of
                                                                               Model RA SOW (6/95)

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                    Government Property,  Office of Administration and Resources Management, December
                    1988.
            .1.2.5   Work Assignment Closeout.  The contractor shall perform the necessary activities to
                    closeout the work assignment in accordance with contract requirements.
            .1.2.6   Coordinate with Local  Emergency Response Teams.  The contractor shall coordinate with
                    local emergency responders to ensure the proper implementation of the HASP and
                    specifically the Emergency Response Plan.  The contractor shall review and complete the
                    emergency responder agreement, if necessary, conduct a kickoff meeting at the site with
                    all local emergency responders, and notify the responders of any changes to the
                    Emergency Response Plan throughout the RA.  [For more information, refer to Emergency
                    Responders Agreements for Fund-Lead Remedial Actions, publication 9285.6-04FS, March
                    1994]

7.2  Community Relations

The contractor shall provide  community relations support to EPA throughout the RA.  The contractor shall
provide community relations support in accordance with Community Relations in Superfund: A Handbook, June
1988.  This task begins with the approval of the RA Work Plan and  continues throughout the duration of the
work assignment. Community relations shall include the  following subtasks:
  1.   Listed below are a number of possible community relations activities the WAM/RPM may require,
       depending on the specific situation.  Refer to the Community Relations in Superfund: A Handbook,
       Chapter 7 and Appendix A, for suggested community relations activities during RA.

  2.   With implementation of the remedy, site activity increases and so does the likelihood of community
       concerns and questions. In addition to the community relations activities listed below in the WBS, the
       WAM/RPM may consider the following activities to communicate progress during construction:
       arranging site tours and workshops;  establishing observation decks; and videotaping cleanup activities.
       These activities may be tasked in items .2.3.1. Technical Support, or added to the WBS under as a
       separate item and numbered accordingly (i.e., .2.3.5).  The WAM/RPM should plan for and develop
       a proactive and effective program with the assistance of the Regional Community Relations Specialist.

  3.   The WAM/RPM should review the current community relations plan, if one exists, and direct the RA
       contractor to update the existing CRP to address activities and concerns specific to the RA.

  4.   The WAM/RPM should specify the  format for Community Relations submissions (e.g., fact sheets,
       news releases) if there are Region-specific or other requirements.
      .2.1   Develop Community Relations Plan (CRP)
            .2.1.1   Conduct Community Interviews. The contractor shall assist the WAM/RPM in conducting
                    community interviews to identify community concerns associated with the RA.  The
                    contractor shall assist the WAM/RPM in identifying key community members, establishing
                    an interview schedule,  conducting interviews, and summarizing the results.

            .2.1.2   Prepare the CRP. The contractor shall update the existing CRP to address community
                    relations requirements and community concerns during the RA.
                    (1) Draft CRP. The contractor shall update the CRP and  submit a draft version within 14
                       days after completion of the community interviews.
                    (2) Final CRP. Within 7 days of receipt of EPA comments, the contractor shall submit a
                       final CRP.

      .2.2   Prepare Fact Sheets



                                                   7                            Model RA SOW (6/95)

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        This subtask may have been completed during the RD. In that case, the WAM/RPM may task the
        RA contractor to revise the fact sheet before construction begins with the current schedule, expected
        conditions, and relevant points of contact.

        Depending on the complexity of the RA, the WAM/RPM should consider communicating construction
        progress by sending out regular fact sheets.  Specify to the contractor the anticipated number of fact
        sheets, topics, and number of copies  required.
            The contractor shall assist the WAM/RPM in preparing a fact sheet that informs the public about
            activities related to the final design, the schedule for the RA, activities to be expected during
            construction, measures to be taken to protect the community, provisions for responding to
            emergency releases and spills, and any potential inconveniences such as excess traffic and noise
            that may affect the community during the RA.
                    :  .,                                                            ,  j
                , i!	i";                                                    -, .        "
      .2.3   Public Meetings and Availability Support
  The number and location of anticipated public meetings should be identified hi the SOW for cost estimation
  purposes.  Similarly, the RPM should specify the number of contractor personnel expected to be in
  attendance at the public meetings.
            .2.3.1  Technical Support. The contractor shall assist the WAM/RPM in providing technical
                    support for community meetings that may be held during the RA.  This support may
                    include preparing technical input to news releases, briefing materials, arranging other
                    community relations vehicles (i.e., site tours), and helping the WAM/RPM to coordinate
                    with local agencies.
            .2.3.2  Logistical and Presentation Support.  The contractor shall assist the WAM/RPM in
                    p'reparing technical briefing materials and in arranging for the logistical details for the
                    riieeting(s).
            .2.3.3  Public Notice Support.  The contractor shall assist the WAM/RPM hi drafting public
                    notices, announcing the public meetings and placing the notice in a local paper of general
                    circulation.

      .2.4   Maintain Information Repository and Mailing Lists

            The contractor shall assist the WAM/RPM in developing or  revising site mailing lists and
            maintaining a repository of information on activities related to  the site-specific remedial action as
            described in Appendix A.8, page A-19, of Community Relations in Superfund: A Handbook, June
            1988.
   i.'             ','   "''             ,         '                               I"  '
7.3   Site Specific Plans

The purpose of this task is to review the existing site-specific plans that were prepared during RD,  and update,
as n'ecessary, for the RA contractor to implement the RA. Typical plans  include a health and safety plan,
sanjpling and analysis plan, and construction quality assurance plan.  This task begins with approval of the RA
Work Plan and will occur throughout the duration of the work assignment.  The RA contractor has the overall
responsibility to prepare, update, and/or maintain the necessary site-specific plans for implementation of the
RA.  Since the constructor and any subcontractors will prepare their own RA plans, the RA contractor will
incorporate the plans and procedures received from any subcontractors into the overall site plans. Construction
plans and procedures are living documents and the contractor shall update the appropriate plans,  as necessary,
throughout the RA.
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1.    The RPM/WAM should check to see if the update and/or preparation of RA site specific plans were
     tasked during the RD (Task 12, Post Remedial Design Support).

2.    The RA Contractor is tasked in this section to update any necessary plans for RA implementation.  It
     should be noted that the Constructor and any subcontractors will prepare their own plans. The
     WAM/RPM should budget for the RA contractor to modify site plans to incorporate plans and
     procedures received from any subcontractors and to account for changing field conditions.

3.    Typical sampling and analysis activities by the RA contractor include confirmatory sampling (i.e.,
     take split samples with the constructor) to ensure cleanup standards have been met; air sampling and
     analysis to monitor air quality around the site perimeter; and wastewater discharge sampling to
     monitor National Pollutant Discharge Elimination System (NPDES) requirements.
    .3.1   Update Site Management Plan.  After EPA approval of the RA Work Plan (see Item 3.1.1.4), the
          contractor shall update the Site Management  Plan (SMP) that was prepared during RD.  This plan
          provides EPA with a written understanding of how access, security, health and safety, contingency
          procedures, management responsibilities, and waste disposal are to be handled during construction.
          The contractor shall update the plan, as necessary,  to incorporate any subcontractors' plans.

          .3.1.1   Update Health and Safety Plan.  Prepare a site-specific HASP that addresses overall health
                  and safety considerations for all personnel onsite.  The contractor shall incorporate the
                  constructor's and any subcontractors' HASPs into the overall site plan.  The RA contractor
                  shall provide the overall framework  for site safety and ensure that adequate warning
                  systems and notifications are understood by all parties.  The HASP shall specify employee
                  training, protective equipment, medical surveillance requirements,  standard operating
                  procedures,  and a contingency plan in accordance with [40 CFR 300.150 of the NCP and]
                  29 CFR 1910.120  1(1) and (1)(2). Whenever possible, refer to the HASP developed for
                  the RI/FS or RD when preparing the HASP for the RA. For any site visits, a task-specific
                  HASP must also be prepared to address health and safety requirements.

          .3.1.2  Update Sampling and Analysis Plan (Chemical Data Acquisition Plan).  Prepare  a sampling
                  and analysis plan to reflect the specific objectives of any data acquisition conducted during
                  construction.  The SAP will outline  the data collection and quality assurance requirements
                  of any sampling and analysis conducted by the contractor.
                  (1) Quality Assurance Project Plan.  The  contractor shall prepare a Quality Assurance
                     Project Plan (QAPP) in accordance with EPA QA/R-5 (latest draft or revision).  The
                     QAPP shall describe the project objectives and organization, functional activities, and
                     quality assurance/quality control (QA/QC) protocols that shall be used to achieve the
                     desired data quality objectives (DQOs). The DQOs shall, at a minimum, reflect use of
                     analytical methods for identifying contamination and addressing contamination
                     consistent with the levels for remedial action objectives identified in the National
                     Contingency Plan.  The QAPP developed for the RD and/or RI/FS should be
                     referenced or adapted whenever possible when preparing the QAPP for the RA.
                  (2) Field Sampling Plan.  Prepare a Field Sampling  Plan (FSP) that defines the sampling
                     and data collection methods that shall be used for the project.  The FSP shall include
                     sampling objectives; sample locations and frequency; sampling equipment and
                     procedures; sample handling and analysis; and a breakdown of samples to be analyzed
                     through the Contract Lab Program (CLP) and through other sources, as well as the
                     justification for those decisions.  The  FSP shall consider the use of all existing data and
                      shall justify the need for additional data whenever existing data will meet the same
                     objective.  The FSP shall be written so that a field sampling team unfamiliar with the
                      site would be able to gather the  samples and field information required. The FSP
                      developed for the RD  and/or RI/FS must be referenced or adapted whenever possible;


                                                  9                             Model RA SOW  (6/95)

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                      the contractor shall document any required changes to the FSP in a memorandum to
                      the WAM/RPM.
1.    The Sampling and Analysis Plan (SAP) may be optional during certain RAs. It is prepared and
      updated from the SAP prepared during RD if the RA contractor has sampling and analysis
      responsibilities outside of those required of the constructor.  In most cases, the RA contractor will
      split samples with the constructor to confirm and validate cleanup actions.  These samples will be
      analyzed through the CLP (Level 4 data are required).

2.    The WAM/RPM should reduce time and costs by using an onsite laboratory to analyze routine
      samples as construction proceeds (i.e., to delineate excavation limits) rather than going through the
      CLP.  This is usually the constructor's responsibility and is included in the contract documents.

3.    The WAM/RPM may consider requesting a plan for acquiring permits throughout the construction
      process. This plan could be part of the Construction Management Plan, and may avoid timely and
      costly construction delays.

4.    The WAM/RPM should identify whether audits will be performed and specify contractor response
      items.
          .3.1.2  Update Sampling and Analysis Plan (continued)
                  (3) Data Management Plan.  Prepare a Data Management Plan that outlines the procedures
                     for storing, handling, accessing, and securing data collected during the RA.
                  (4) Develop Other Plan(s)
    .3.2   Update Pollution Control & Mitigation Plan. Prepare a Pollution Control & Mitigation Plan that
          outlines the process,  procedures, and safeguards that will be used to ensure contaminants or
          pollutants are not released off-site during the implementation of the RA. Any plans and procedures
          prepared during the RD should be referenced or adapted whenever possible (ile, sediment and
          erosion control plan and air monitoring plan).
          .3.2.1  Update Transportation & Disposal Plan (Waste Management Plan).  Prepare a
                  Transportation & Disposal Plan that outlines how wastes that are encountered during the
                  RA will be managed and disposed of.  The contractor shall specify the procedures that will
                  be, followed when wastes will be transported off-site for storage, treatment, and/or
                  disposal.
    .3.3   Update Construction Quality Assurance (CQA) Plan.  The contractor shall review and update the
          final Construction Quality Assurance (CQA) Plan as submitted as part of the final design
          documents, The CQA Plan shall outline the necessary steps to inspect and sample construction
          materials (i.e., membranes, concrete) and to ensure the overall quality of the constructed project.
          The CQA Plan shall be in accordance with "Construction Quality Assurance  for Hazardous Waste
          Land Disposal Facilities" (EPA,  October, 1986) and will include the following elements:
                  Responsibility and authority of all organization and key  personnel involved in the
                  remediation action construction.
                  CQA Personnel Qualifications.  The contractor shall establish the minimum qualifications
                  of the CQA Officer and supporting inspection personnel.
                  Inspection Activities.  The contractor shall establish the  observations and tests that will be
                  re'quired to monitor the construction and/or installation of the components of the RA(s).
                  The plan shall include the scope and frequency of each type of inspection to be conducted.
                  Inspections shall be required to verify compliance with environmental requirements and
                  include, but not be limited to, air quality and emissions  monitoring records, waste disposal
                  records (e.g., RCRA transportation manifests), etc. Inspections shall also ensure
                  compliance with all health and safety procedures.
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Model RA SOW (6/95)

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                    Sampling requirements. The contractor shall establish the requirements for sampling
                    activities, sample size, sample locations, frequency of testing, criteria for acceptance and
                    rejection, and plans for correcting problems as addressed in the project specifications.
                    Documentation. The contractor shall describe the reporting requirements for CQA
                    activities. This shall include such items as daily summary reports and inspection data
                    sheets.

7.4  Procurement of Subcontract

The purpose of this task is to solicit, evaluate, select, and award the necessary subcontracts to construct and
implement the RA. This task begins with the approval of the RA Work Plan and review and modification of the
contract documents prepared during the RD.  After advertising and evaluating bids, this task ends with the
award of one or more construction contracts to implement the RA. The contractor shall perform the following
procurement activities:
  1.    The prebid and preaward activities may have been tasked to the RD contractor during Task 12, Post
        Remedial Design Support. The RA contractor will need to update the general conditions and dates
        prior to printing and distribution.

  2.    The WAM/RPM should consider having a project meeting with the RA contractor early in this task to
        review procedures and schedules for evaluating bids.  It is important for the WAM/RPM to be
        involved during this process to ensure that the Contracting Officer's requirements for consent are met.
        This will help ensure that construction proceeds on schedule.

  3.    The WAM/RPM's role during this task is to oversee the technical information that is provided to
        bidders, monitor the overall procurement process and schedule, review written questions and
        responses, and attend any prebid and preconstruction conferences.

  4.    In an Invitation for Bid (IFB) or low bid procurement, the successful bidder is referred to as the
        lowest responsible bidder (offerer).  If a request for cost and technical proposal (RFP) is used instead
        of the IFB, the procurement process and associated terminology for successful bidders are different
        (i.e., proposals in the competitive  range versus lowest responsible bidder).  The WAM/RPM should
        refer to the Remedial Design/Remedial Action (RD/RA) Handbook (U.S. EPA Office of Solid  Waste
        and Emergency Response (OSWER) 9355.0-04B, EPA 540/R-95/059, June 1995) for more
        information on the different types  of procurement.
      .4.1   Prebid (Pre-Solicitation) Activities
            .4.1.1  Printing & Distribution of Contract Documents.  Print and distribute to prospective bidders
                    the contract documents that were finalized during RD.
            .4.1.2  Advertising/Soliciting of Bids.  Advertise and solicit bids for construction services.  An
                    advertisement shall be prepared and published in	.
                    (1) Prebid (pre-solicitation) Meetings.  The contractor shall arrange and attend prebid
                        meetings to provide clarification on plans, specifications, and contract documents to all
                        bidders.
                    (2) Resolution of Inquiries/Issuing Addenda.  The contractor shall resolve bidder inquires
                        and document all contact with potential bidders, and issue amendments to contract
                        documents if additional information becomes available that all bidders should be made
                        aware of after solicitation.
                    (3) On-site Visits. The contractor shall participate in onsite visits that may be required to
                        further clarify the services required.
            .4.1.3  Readvertise/Resolicit Bids, if necessary.  The contractor shall readvertise and resolicit bids
                    hi accordance with the Federal Acquisition Regulations (FAR) requirements.
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      .4.2   PreAward Activities
            .4.2.1  Receipt of Bids (offers).  After receipt of all bids within the solicitation period, the
                    contractor shall perform the necessary activities to review, compile, and evaluate all bids
                    received.  The contractor shall conduct any necessary reference checks to ensure
                    qualifications of responsible bidders.
                    (1) Determination of Responsive, Responsible Bidders (offerers) or proposals in the
                        competitive range.
                    (2) Perform Reference Checks
                    (3) Bid (offer) Tabulation
                    (4) Bid (offer) Analysis
            .4.2.2  Receipt of Follow-up Items from Responsible Bidder(s) (offerers).  The contractor shall
                ""!'.',  request the necessary follow-up items (i.e., subcontracting plan), from the responsible
                .   bidder(s), if the  follow-up items are evaluated as part of the selection criteria.
            .4.2.3  Review of Equal Employment Opportunities (EEO), MBE Requirements,  Small
                    Disadvantaged Business (SDB) Subcontracting Plans. The contractor shall review the
                    bidder(s) plans to ensure that the successful bidder meets the requirements set forth in the
                    bidding documents.
            .4.2.4  Request for Consent from EPA. After a comprehensive review of the lowest responsible
                    bidder's submittals, the contractor shall request EPA's consent to award.
                                                                                   ,|

      .4.3   Post Award Activities
            .4.3.1  Attend Post Award Meetings/Preconstruction Conference.  The contractor shall arrange
                    and conduct the  necessary post award meetings with the successful bidder, including the
                    preconstruction conference.  The purpose of the preconstruction meeting(s) is to develop
                    common goals, lines of communication, and construction-specific procedures. The
                    contractor shall prepare a meeting agenda, invite key personnel, and prepare  minutes of the
                    meeting.
            .4.3.2  Review Permits, Insurance,  Bonds.  The contractor shall review the successful bidder's
                    permit plan, insurance  coverage, warranties, and bond to minimize site risks  and potential
                    financial damages.
            .4.3.3  Review and Approve RA Subcontractor's Schedule.  The contractor shall  review the
                    successful bidder's schedule and evaluate that schedule in regards to the overall project
                    schedule.
            .4.3.4  Review and Approve RA Subcontractor's Measurement and Payment Schedule
            .4.3.5  Review RA Subcontractor's Submittals - Issue Notice to Proceed (NTP)
            .4.3.6  Review Revisions/Addendum of RA Subcontractor's Submittals
7.5  Subcontract Management Support

The, purpose of this task is to provide management and oversight of the subcontractor(s) responsible for remedial
construction.  This task begins with the RA contractor issuing a Notice to Proceed to the constructor and ends
With the completion of the RA and final payment to the constructor.  The contractor shall institute procedures,
monitor progress, and maintain systems and records to ensure that the work proceeds according to requirements
specified in the contract documents.  The contractor shall perform the following subtasks:
                                                    12
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odel RA SOW (6/95)

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1.   EPA is required to perform technical and cost analyses for any changes to the construction contracts.
     Refer to ARCS Construction Contract Modification Procedures, OSWER Directive 9355.5001/FS,
     September 1989

2.   The WAM/RPM may specify EPA review of any non-conformance reports to assess the status of
     construction activities.

3.   The WAM/RPM should evaluate if value engineering support is required (see items .5.4.2 and .6.3.2)
     and then consult with the Project Officer or Contracting Officer for the latest guidance regarding
     value engineering proposals under  the RAC contracts.
    .5.1   Financial Management.
          .5.1.1   Review/Approve Invoices. The contractor shall promptly review and approve progress
                  payments as determined prior to construction in the Measurement and Payment Schedule
                  (see item .4.3.4).
          .5.1.2   Review/Approve Subcontract Modifications.  The contractor shall promptly review any
                  necessary subcontract modifications, confer with the WAM/RPM, and approve appropriate
                  changes.
          .5.1.3   Maintain Tracking Systems.  The contractor shall maintain the necessary tracking systems
                  to monitor quality of work, resource requirements, and cost and schedule status.
                  (1) Construction Codes of Accounts
                  (2) Work Breakdown Structure (WBS)
                  (3) Schedule (CPM, PERT)

    .5.2   Cost Monitoring.
          .5.2.1   Weekly/Monthly Tracking
          .5.2.2   Analyze Progress Payments.  The contractor shall monitor costs of the constructor and all
                  subcontractor(s) in relation to the status of construction or percentage of work completed.
                  The contractor shall track and project progress payments to ensure the overall financial
                  progress of the RA.
          .5.2.3   Monitor RA Subcontractor for Compliance with Davis-Bacon Act

    .5.3   Engineering Support
          .5.3.1   Review Field Logs.  On a weekly basis, the contractor's design team shall review field
                  logs that document the daily activities and inspections.  The contractor shall provide
                  recommendations to improve site operations and inspections, if required.
          .5.3.2   Periodic Attendance at Meetings. At the subcontractor's request, the RA contractor shall
                  attend any construction-related meetings to provide design clarification and technical
                  support.

    .5.4   Engineering Support Option
          .5.4.1   Review Field Change Requests. The contractor's design team shall review any changes to
                  the construction documents and specifications due to actual  field conditions and submit to
                  EPA for review and approval.
          .5.4.2   Review VE Proposals.  The contractor shall review any VE proposal submitted by the RA
                  subcontractor.
          .5.4.3   Review Non-Conformance Reports
          .5.4.4   Review Re-Design Proposals
                                                 13                            Model RA SOW (6/95)

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7.6  Detailed Resident Inspection (Resident Engineer)
This task includes the field supervision and documentation of the RA constructor's work as
The task begins with the constructor's mobilization to the site and ends with the final inspection
Will provide the necessary personnel to observe the constructor's daily activities, procedures
behalf of EPA.
   it proceeds onsite.
         The contractor
   , and inspections on
  1.   The WAM/RPM must carefully review the design package to assure coordination and compatibility of
       Resident Engineer's inspection activities with construction contract documents.

  2.   The WAM/RPM should specify the expected written and/or photographic documentation to be
       recorded in the field.

  3.   The WAM/RPM should specify the required frequency and distribution for any field activity reports
       (RPM, State representative, etc.).
      .6.1   Attend Periodic Meetings.  The contractor shall attend any meetings, at the request of the
            constructor, to provide clarification on contract documents and specifications.
      .6.2   Provide Field Presence and Oversight.  The contractor shall provide a Resident Engineer to observe
            and document the daily field activities of the constructor.  Specific subtasks may include:
            .6.2.1   Maintain Field Logs and Daily Diaries
            .6.2.2   Interpret Subcontract Documents
            .6.2.3   Develop Sketches Reflecting Field Conditions
            .6.2.4   Review Submitted Construction Drawings
            .6.2.5   Prepare Reports on Inspections
            .6.2:6   Monitor, Update, and Report Construction Progress
            .6.2,7   Review/Recommend Time Extensions
            .6.2.8   Coordinate with Home Office/Management Support
            .6.2.9   Perform Davis-Bacon Act Inspections
            .6.2.10 Conduct Final Inspection
                    (1) Conduct Site Walkover
                    (2) Prepare Draft Final Inspection Report
                    (3) Respond to Comments
                    (4) Prepare Final Inspection Report

      .6.3   Provide Engineering Support to Design Team
            .6.3.1   Recommend Actions on Health and Safety Considerations
            .6.3.2   Provide Support on VE Proposals.
            .6.313   Review/Recommend Design Changes
            .6.3.4   Provide Support on Change Order Requests.  The Resident Engineer shall assist in the
                    evaluation and processing of change order requests.
            .6.3.5   Provide Support in Claims Resolution.  The Resident Engineer shall maintain records to
                    support the resolution of any claims filed by the constructor.
            .6.3.6   Provide Support for Construction Schedule Changes
      .6.4   Perform Field Testing.  The contractor shall provide the necessary personnel and equipment to
            collect any confirmatory samples, perform any necessary field testing, and conduct inspections of
   '.         work.   '"                 ,                                  '          !
      .6.5   Monitor Quality Assurance/Quality Control Procedures
   ii i            i, in    	                                                           ,  ij
7tf  Cleanup Validation
               -	                              .                               i
The purpose of this task is for the RA  contractor to perform confirmatory sampling of any  data collected by  the
constructor during construction and to verify that final cleanup levels or standards, as specified in the ROD,
                                                   14
Model RA SOW (6/95)

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have been achieved.  This task may also include regular confirmatory testing of materials used during
construction to determine if they are consistent with the requirements of the construction contract documents
(i.e., soils testing, materials testing, chemical or biochemical testing of water). Analyses of confirmatory
samples, validation of data, and evaluation of results are included in this task.  This task may begin during the
early stages of construction, continue throughout construction, and end with the final inspection to ensure
cleanup levels have been met.
  1.   The Work Breakdown Structure for field investigations, sampling, and analyses presented below was
       compiled for all phases of a remedial project from Remedial Investigation through final construction
       of the remedy.  The detailed list is included to preserve the WBS.  The WAM/RPM should specify in
       the SOW only the investigations that are required for RA.

  2.   Confirmatory sampling is usually quite focused and limited depending on the site and remedy-specific
       conditions. The WAM/RPM, in conference with the Technical Review Team, should determine the
       level of confirmatory sampling and specify the number of samples so both the contractor and the
       WAM/RPM can develop accurate  cost estimates.  The actual numbers may be refined upon
       negotiation with the contractor.

  3.   The cleanup validation activities may serve as the basis for site delisting and therefore, it is critical
       that the data quality objectives defined in the RA Work Plan and Sampling and Analysis Plan are met.
       In order to document construction procedures and results, which are defensible, Contract Laboratory
       Program data (level 4) are required.
      .7.1   Mobilization/Demobilization
            .7.1.1   Mobilize.  The contractor shall acquire all necessary equipment, supplies, and personnel to
                    set up onsite operations for confirmatory sampling and analyses.
            .7.1.2   Demobilize. The contractor shall dismantle and pack up all equipment associated with the
                    confirmatory sampling activities.
      .7.2   Field Investigation
            .7.2.1   Conduct Geological Investigations (Soils/Sediments)
                    (1) Surface Soil Sample Collection
                    (2) Subsurface Soil Sample Collection
                    (3) Soil Boring/Permeability Sampling
                    (4) Sediments Sample Collection
                    (5) Soil Gas Survey          0
                    (6) Test Pit.
            .7.2.2   Conduct Air Investigations
                    (1) Sample collection
                    (2) Air Monitoring Station
            .7.2.3   Conduct Hydrogeological Investigations:  Groundwater
                    (1) Well Systems Installation
                           (A)  Accomplish  Mobilization
                           (B)  Develop Wells
                           (C)  Conduct Downhole Geophysics
                           (D)  Install Monitoring Wells
                           (E)  Install Test Wells
                           (F)  Install Gas Wells.
                    (2) Collect Samples
                    (3) Collect Samples during Drilling (e.g.  Hydro Punch or equivalent)
                    (4)     Conduct Tidal Influence Study
                    (5) Perform Hydraulic Tests (pump tests)
                    (6) Measure Groundwater Elevation
            .7.2.4   Conduct Hydrogeological Investigations:  Surface Water


                                                   15                            Model RA SOW (6/95)

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              (1) Collect Samples
              |2) Study Tidal Influence
              (3) Measure Surface Water Elevation
      .7.2.,5  Conduct Waste Investigation
              (1) Collect Samples (Gas, Liquid, Solid)
              (2) Dispose of Derived Waste (Gas, Liquid, Solid)
      .7.2.6  Conduct Geophysical Investigation
              (1) Surface Geophysical Activity
              (2) Magnetometer
              (3) Electromagnetics
              (4) Ground Penetrating Radar
              {5) Seismic Refraction
              (6) Resistivity
              (7) Site Meteorology
              (8) Cone Penetrometer Survey
              JJ9) Remote Sensor Survey
              (10)    Radiological Investigation
      .7.2.7  Conduct Ecolpgical Investigation
              |l) Wetland and Habitat Delineation                            '[
              (2) Wildlife Observations
              (3) Community Characterization
              (4) Identification of Endangered Species
              |5) Biota Sampling and Population Studies
      .7.2^8  Collect Contaminated Building Samples.
      .7.2.9  Dispose of Investigation-Derived Waste.  Characterize and dispose of investigation-derived
              wastes in accordance with local, State, and Federal regulations as specified in the FSP and
              the Waste Management Plan (For more information, refer to the Fact Sheet entitled, Guide
              • lo Management of Investigation-Derived Wastes, 9345.3 -03FS [January 1992]).
.7.3  Sample Analysis
  Analyses of soil and sediment samples (physical properties), surface and ground water samples, waste
  samples, discharge samples, and air samples are the most likely types of confirmatory samples taken
  during RA.  However, additional analyses are presented below to preserve the WBS and to provide
  the WAM/RPM consideration with a comprehensive listing for consideration.

  The WAM/RPM should consider adding a subtask for onsite laboratory analysis, if required.  The
  constructor will usually provide this service through the construction contract and there may be no
  reason for the contractor to provide an independent onsite laboratory.

  For cleanup validation and to ensure that the cleanup  standards have  been met, CLP analyses are
  more likely to be performed than screening analyses.  Some screening analyses in combination with
  CLP may be required as construction proceeds.  The  WAM/RPM should specify the types of sample
  analyses required at specific milestones during construction.
       .7.3.1  Screening Type Laboratory Sample Analysis.  The contractor shall arrange for and conduct
              tlie appropriate combination of screening analytical tests for any materials and/or
              confirmatory samples taken at the site:

              (1) Analyze Air and Gas Samples
                      (A)  Organic
                                              16
Model RA SOW (6/95)

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               (B) Inorganic
               (C) Radiochemistry
        (2) Analyze Ground Water Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (3) Analyze Surface Water Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (4) Analyze Soil and Sediment Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (5) Analyze Waste (Gas) Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (6) Analyze Waste (Liquid) Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (7) Analyze Waste (Solid) Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (8) Analyze Biota Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (9) Analyze Bioassay  Samples
        (10)    Perform Bioaccumulation Studies

.7.3.2   CLP Type Laboratory Sample Analysis.  The contractor shall arrange for and conduct the
        appropriate combination of CLP analytical tests for any materials and/or confirmatory
        samples taken at the site:

        (1) Analyze Air and Gas Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (2) Analyze Ground Water Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (3) Analyze Surface Water Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (4) Analyze Soil and Sediment Samples
               (A) Organic
               (B) Inorganic
               (C) Radiochemistry
        (5) Analyze Waste (Gas) Samples
               (A) Organic

                                      17                           Model RA SOW (6/95)

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       -K'K!  !!'*Hf  aiBIB
                         (B) Inorganic
                         (C) Radiochemistry
                  (6) Analyze Waste (Liquid) Samples
                         (A) Organic
                         (B) Inorganic
                         (C) Radiochemistry
                  (7) Analyze Waste (Solid) Samples
                         (A) Organic
                         (B) Inorganic
                         (C) Radiochemistry
                  (8) Analyze Biota Samples
                         (A) Organic
                         (B) Inorganic
                         (C) Radiochemistry
                  (9) Analyze Bioassay Samples
                  (10)    Perform Bioaccumulation Studies

    .7.4   Analytical Support and Data Validation
1.   For RA, full data validation procedures are usually not necessary.  The WAM/RPM may specify the
     level of data validation required.

2.   The WAM/RPM should specify the format for submissions if there are Region-specific or other
     requirements.
          .7.4.1   Prepare and Ship Environmental Samples. The contractor shall ensure the proper
                  management of samples in the field and arrange for shipment to the designated laboratory.
                  Accurate chain-of-custody procedures for sample tracking, protective sample packing
                  techniques, and proper sample-preservation techniques will be used.
                  (1) Ground Water Samples
                  (2) Surface and Subsurface Soil Samples
                  (3) Surface Water and Sediment Samples
                  (4) Air Samples
                  (5) Biota Samples
                  (6) Other Types of Media Sampling and Screening
          .7.4.2   Coordinate with Appropriate Sample Management Personnel
          .7.4.3   Implement EPA-Approved Laboratory QA Program.
          .7.4,4   Provide Sample Management (Chain of Custody, Sample Retention, and Data Storage)
          .7.4.5   Perform Data Validation. The contractor shall validate appropriate data to ensure that the
                  confirmatory data are accurate and defensible.
                  (1) Review Analysis Results against Validation Criteria
                  (2) Provide Written Documentation of Validation Efforts

    .7.5   Data Evaluation
 1.    The WAM/RPM should specify the format for submissions if there are Region-specific or other
      requirements.

 2.    The WAM/RPM should require the contractor to prepare and submit a Technical Memorandum to the
      WAM/RPM summarizing the quality of data, preliminary results of evaluation, and if significant data
      problems are identified early in the evaluation.
                                                 18
Model RA SOW (6/95)

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            .7.5.1   Data Useability Evaluation/Field QA/AC
            .7.5.2   Data Reduction, Tabulation, and Evaluation. The contractor shall evaluate, interpret, and
                    tabulate data in an appropriate presentation format for final data tables.  The contractor
                    shall design and set up an appropriate database for pertinent information collected that will
                    be used to validate the RA.
                    (1) Evaluate Geological Data (Soils and Sediments)
                    (2) Evaluate Air Data
                    (3) Evaluate Hydrogeological Data:  Ground Water
                    (4) Evaluate Hydrogeological Data:  Surface Water
                    (5) Evaluate Waste Data
                    (6) Evaluate Geophysical Data
                    (7) Evaluate Ecological Data
            .7.5.3   Modeling.  The contractor shall perform limited and focused computer modeling of data
                    (i.e., air monitoring data) to facilitate data evaluation and interpretation.
                    (1) Contaminant Fate  and Transport
                    (2) Water Quality
                    (3) Ground Water
                    (4) Air
                    (5) Other Modeling
            .7.5.4   Develop Data Evaluation/Cleanup Status Report.  Evaluate and present the sampling and
                    analytical results in a summary report and submit to the WAM/RPM for review and
                    approval.  The report  will  assess the progress of the RA based on these results and identify
                    any actions required.  After the WAM/RPM's review,  the contractor shall attend a meeting
                    with EPA to discuss data evaluation results and next steps.

7.8  Remedial Action Implementation (Subpool Activities)

The purpose of this task is to provide the contractor with a structure for recording the activities performed and
costs incurred by the constructor and any subcontractors during RA implementation. A funding reserve is
allocated in this task to account for unforeseen site conditions and associated adjustments (i.e., change orders.
  The use of MCACES Gold for construction cost estimates and the USAGE WBS will provide consistency
  for construction cost estimates so that costs for similar RAs can be compared.
      .8.1   Remedial Action Subcontract Cost.  The contractor shall monitor and track the costs associated
            with the constructor's implementation of the remedy.
      .8.2   Remedial Action Reserve (15% of Remedial Action Subcontract).  The contractor shall monitor and
            track the reserve in relation to any approved change orders and notify the WAM/RPM when 75 %
            of the reserve has been expended.

7.9  Project Performance (Operation and Maintenance [O&M])

The purpose of this task is to perform the activities necessary to protect the integrity of the remedy and to
evaluate system performance.  This task begins during the later stages of construction with the revision of the
O&M manual and ends with submittal of final technical memoranda summarizing project performance.
  The services provided here must be integrated with design document requirements.  Design decisions will
  dictate the level of effort required of the RA contractor versus the constructor.
      .9.1   Operation and Maintenance (O&M)
                                                   19                             Model RA SOW (6/95)

-------
               •."    •:                                        .           •	         I
               .;;    J    ,          .                            •     ,    .. .    ;  .   }
            .9.1.1  Review O&M Manual.  The contractor shall review and update the O&M Manual, as
                    necessary, to include as-built drawings and equipment data sheets.  The revised manual
                    shall be submitted to the WAM/RPM 30 days prior to the start of operation.
                    (1) Describe/Analyze Potential Operating Problems
                    (2) Review Conformity to Applicable Performance and Operations Requirements
            .9.1.2  Ensure Adequate Training for O&M Staff.  The contractor shall support all necessary
                    training of the O&M staff, including State personnel and contractors.
            .9.1.3  Develop Corrective Action Plans.  The contractor shall identify any potential system
                    failures and develop corrective action plans, if necessary.
            .9.1.4  Review Records/Reporting Requirements
            .9.1.5  Review Laboratory  Procedures
            .9.1.6  Review Process Systems
            .9.1.7  Review Safety and Emergency Systems.  The contractor shall perform the necessary
                    reviews of safety and emergency systems
            .9.1.8  Review Warranty Information and Files

      .9.2   System Performance
            .9.2.1  Evaluate Equipment including operating parameters and performance.  At a minimum, the
                    performance data to be collected shall be as needed to satisfy the requirements for
                    greparing the Cost and Performance Reports required under Section 7.9.3"
            .9.2.2  Performance Tests Oversight.  The contractor shall oversee any performance tests
                    conducted by the constructor and document procedures and results.
            .9.2.3  Gather and Test Samples (see task 7 for details).
                                                                                  :|
                                                                                  i
      .9.3   Report Project Performance
            .9.3.1  The contractor shall prepare a technical memorandum to summarize the system's
                    performance and required O&M procedures.  The contractor also shall prepare a Cost and
                    Performance Report in accordance with the guidance document entitled Guide to
                    Documenting Cost and Performance for Remediation Projects. Publication EPA-542-B-95-
                    002, March 1995.  The report shall summarize the performance data collected under
                    section .9.2.1 as well as project costs.  The Draft Technical Memoranda and Draft Cost
                    and Performance Report shall be submitted to the WAM/RPM 30 days prior to the final
                    inspection.
            .9.3.2  Respond to Comments
            .9.3.3  The contractor shall respond  to any comments from EPA and prepare the Final Technical
                    ^lemoranda and Cost and Perforrnance Report within 10 days of receipt of comments.
7.10  Project Completion and Close Out

The purpose of the project completion and close-out activities is for the RA contractor to conduct the necessary
inspections to verify completed work, make final payments, close out subcontracts, and prepare a Remedial
Action Report.
  ••'•!i           i     '   '              •.           ..       .         .        ••'     .    I
  1.   The RPM/WAM should identify when government accepts transfer of the constructed facilities at the
       completion of the work assignment.

  2,   It is important for the WAM/RPM to consider the nature of any site improvements that will be funded
       with Superfund monies.  Often reasonable activities that restore the physical appearance of the site
       and result in the long-term effectiveness of the remedy are included in the construction contract (i.e.,
       road improvements).  If not, the WAM/RPM may task  the RA contractor to complete these activities.
                                                  20
Model RA SOW (6/95)

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     .10.1  Demobilization
            .10.1.1 Removal of Temporary facilities. The contractor shall dismantle, pack up, and move off-
                   site any temporary facilities (i.e., trailers) or equipment used during the course of the RA.

            .10.1.2 Site Restoration.  At the direction of the WAM/RPM, the contractor shall conduct
                   reasonable activities that restore the physical appearance of the site (i.e., road restoration,
                   fence removal, limited landscaping).
            .10.1.3 Termination of Engineering Support Activities.
     .10.2  Pre-fmal/Final Activities
            .10.2.1 Make  pre-final/final inspection.  The contractor shall conduct the prefinal inspection with
                   the constructor and develop a punch list of deficiencies.  The contractor shall prepare and
                   submit a prefinal inspection report which includes the list of deficiencies, completion dates
                   for outstanding items, and the date for a final inspection.
            .10.2.2 Make  Lockout Inspection.  The contractor shall arrange for the final lockout inspection and
                   determine if all terms of the contract have been satisfied.
     .10.3  Final Payment/Punch List
            . 10.3.1 As-built resolution/certification
            .10.3.2 Trial Period Oversight
     . 10.4  Remedial Action Report
            .10.4.1 Prepare draft Remedial Action Report. The contractor shall prepare and submit to the
                   WAM/RPM the Remedial Action Report, in accordance with the fact sheet entitled,
                   Remedial Action Report, Documentation for Operable Unit Completion, Publication
                   9355.0-39FS, June 1992. The report shall summarize RA events,  performance standards
                   and construction quality control, construction activities, final inspection, certification that
                   the remedy is operational and  functional, O&M, and RA costs.
            .10.4.2 Respond to Comments
            .10.4.3 Prepare/Issue Final Remedial Action Report.  After receipt of EPA comments,  the
                   contractor shall prepare and submit the final Remedial Action Report to the WAM/RPM.

7.11 Work Assignment Closeout

     .11.1  Return Documents  to Government
     .11.2  Duplicate, Distribute, and Store Files
     .11.3  Archive Files
     .11.4  Prepare Microfiche, Microfilm, and Optical Disk
     .11.5  Prepare Closeout Report. The contractor shall include a breakdown on disk of final costs and level
            of effort (by P-level) in the same detail and  format as  the Work Breakdown Structure (Attachment
            2).
                                                   21                            Model RA SOW (6/95)

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                   Attachment 1
rSummary of Major; Srabmittals fbrtbesRemedial Action at
                                 (Site)
TASK
1.1.2
1.1.4
1.1.4
1.2.1
2.1.2
2.1.2
3.1
3.1
3.1.1
3.1.1
3.1.2
3.1.2
3.2
DELIVERABLE
Site Trip Visit Report
RA Work Plan
Final RA Work Plan
Status Reports
Draft Community Relations
Plan (CRP)
Final CRP
Draft Revised Site
Management Plan (SMP)
Final Revised SMP
Draft Revised Health and
Safety Plan (HASP)
Final Revised HASP
Draft Revised Sampling and
Analysis Plan (SAP)
Final Revised SAP
Draft Revised Pollution
Control & Mitigation Plan
REF
NO.













NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
10 days after site visit
30 days after initiation of work
assignment (WA)
15 days after receipt of EPA
comments
Monthly and as directed by
WAM/RPM
14 days after completion of
community interviews
7 days after receipt of EPA
comments
21 days after approval of RA
Work Plan
10 days after receipt of EPA
comments
21 days after approval of RA
Work Plan
10 days after receipt of EPA
comments
21 days after approval of RA
Work Plan
10 days after receipt of EPA
comments
21 days after approval of RA
Work Plan
EPA REVIEW
PERIOD
7 days after receipt of report
21 days after receipt of Work
Plan
NA
NA
7 days after receipt of draft CRP
NA
14 days after receipt of SMP
NA
14 days after receipt of plan
NA
14 days after receipt of plan
NA
14 days after receipt of plan

-------
TASK
3.2
3.3
3.3
6.2.10
6.2.10
7.5.4
7.5.4
9.1.1
9.3
9.3
10.4
10.4
11.5
11.5
11.6
DELIVERABLE
Final Revised Pollution Control
& Mitigation Plan
Draft Revised Construction
Management Plan
Final Revised Construction
Management Plan
Draft Final Inspection Report
Final Inspection Report
Draft Data Evaluation
Summary Report
Final Data Evaluation
Summary Report
Draft Revised Operations and
Maintenance (O&M) Manual
Draft Technical Memorandum
Final Technical Memorandum
Draft Remedial Action Report
Final Remedial Action Report
Draft Closeout Report
Final Closeout Report
Final Costs
REF
NO.















NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(calendar days)
10 days after receipt of EPA
comments
21 days after approval of RA
Work Plan
10 days after receipt of EPA
comments
10 days after Final Inspection
7 days after receipt of EPA
comments
14 days after receipt of analytical
results from laboratory
7 days after receipt of EPA
comments
30 days before Final Inspection
10 days after completion of
performance tests
10 days after receipt of EPA
comments
30 days after Final Inspection
14 days after receipt of EPA
comments
30 days after final RA Report
submitted
14 days after receipt of EPA
comments
90 days after WA closeout
EPA REVIEW
PERIOD
NA
14 days after receipt of plan
NA
NA
NA
14 days after receipt of report
NA
21 days after receipt of report
21 days after receipt of
memorandum
NA
21 days after receipt of report
NA
21 days after receipt of report
NA
NA

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                                           Attachment 2
                               Work Breakdown Structure (WBS) for
                                       Remedial Action (RA)

TASK 1    PROJECT PLANNING AND SUPPORT

l.Q  Project Planning and Support
     .01   Project Planning
           .01     Attend Scoping Meeting
           .02     Conduct Site Visit (if necessary)
           .03     Evaluate Existing Information (if necessary)
           .04     Work Plan Development
                   .01     Draft Work Plan Development
                      .01  Develop Narrative
                      .02  Develop Cost Estimate
                      .03  Internal QA & Submission
                   .02     Final Work Plan Preparation
                          .01     Attend Negotiation Meeting
                          .02     Modify Draft Work Plan/Cost Estimate
                          .03     Internal QA & Submission
     .02   Project Management
           .01     Prepare Periodic Status Reports
                   .01     Document Cost and Performance Status
                   .02     Prepare/Submit Invoices
           .02     Meeting Participation/Routine Communications
           .03     Maintain Cost/Schedule Control System
           .04     Manage, Track, and Report Equipment Status
           .05     Project  Closeout
           .06     Coordinate with Local Emergency Response Teams
   ;;;:•:,  .  "     : :|,   ify  ;  ,       •:   . :            ;"      '              :!',     -   ;j
TASK 2    COMMUNITY RELATIONS
   :     .  • ,    	K  ;i:	I                                         .                . I
2.Q  Community Relations
     .01   Community Relations Plan (CRP) Development
           .01     Conduct Community Interviews
           .02     Prepare CRP
                   .01     Draft CRP
                   .02     Final CRP
     .02   Prepare  Fact Sheets
     .03   Public Hearing,  Meetings, & Availability Support
           .01     Technical  Support
           .02     Logistical & Presentation Support
           .03     Public Notice Support (writing, or placement of)
     .04   Maintain Information Repository/Mailing List
   11,  :        ':!:'  !!!  •  •  .    .";:i:   ;:    ,  '     • '   ;  :            '    i         II
TASK 3    DEVELOPMENT AND UPDATE OF SITE SPECIFIC PLANS
   J	,"•  '       „  li  Jl'lij           .';  :        I                           '.'"      '   I
3.Q  Development and Update of Site Specific Plans
     .pi   Update Site Management Plan
           .01     Update  Health & Safety Plan
           .02     Update  Sampling & Analysis Plan (Chemical Data Acquisition Plan)
                   ,01     Quality Assurance Project Plan
                   .02     Field Sampling Plan
                   ,03     Data Management Plan
     .02   Update Pollution Control & Mitigation Plan
           .01     Transportation & Disposal Plan (Waste Management Plan)
     .03   Update Construction Quality Assurance Plan
   N"'' '         '  ii:   '''Mi           :  ,  i
TASK 4    PROCUREMENT OF SUBCONTRACT
                                                24
Model RA SOW (6/95)

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4.0  Procurement of Subcontract
     .01   Prebid (Pre-Solicitation) Activities
           .01     Printing & Distribution of Contract Documents
           .02     Advertising/Soliciting of Bids
                   .01    Prebid (pre-solicitation) meetings
                   .02    Resolution of inquiries/Issuing Addenda
                   .03    On-site Visits
           .03     Readvertise/Resolicit bids if necessary
     .02   Pre-Award Activities
           .01     Receipt of Bids (offers)
                   .01    Determination of responsive, responsible bidders (offerers)
                   .02    Perform Reference checks
                   .03    Bid (offer) Tabulation
                   .04    Bid (offer) Analysis
           .02     Receipt of follow-up items from lowest responsible bidder (offerer)
           .03     Review of EEO, MBE requirements, SDB subcontracting plans
           .04     Request for Consent from EPA
     .03   Post-Award Activities
           .01     Attend Post Award Meetings/Preconstruction Conference
           .02     Review permits, insurance, bonds, etc.
           .03     Review & approve RA subcontractor schedule
           .04     Review & approve RA subcontractor measurement and payment schedule
           .05     Perform RA subcontractor Submittal Review - Issue Notice to Proceed (NTP)
           .06     Review Revisions/Addendum of RA subcontractor Submittals

TASK 5    MANAGEMENT SUPPORT

5.0  Management Support
     .01   Financial Management
           .01     Review & approve Invoices
           .02     Review & approve Subcontract Modifications
           .03     Maintain Tracking Systems
                   .01    Construction Codes of Accounts
                   .02    Work Breakdown Structure (WBS)
                   .03    Schedule (CPM, PERT, etc.)
     .02   Cost Monitoring
           .01     Weekly/Monthly Tracking
           .02     Analyze Progress  Payments
           .03     Monitor RA Subcontractor for Compliance with Davis-Bacon Act
     .03   Engineering Support
           .01     Review Field Logs
           .02     Periodic Attendance at Meetings
     .04   Engineering Support Option
           .01     Review Field Change Requests
           .02     Review VE Proposals
           .03     Review Non-Conformance Reports
           .04     Review Re-Design Proposals

TASK 6    DETAILED RESIDENT INSPECTION (Resident Engineer)

6.0  Detailed Resident Inspection
     .01   Attend Periodic Meetings
     .02   Provide Field Presence and Oversight
            .01     Maintain Field Logs and Daily Diaries
            .02     Interpret Subcontract Documents
            .03     Develop Sketches Reflecting Field Conditions
            .04     Review Submitted Construction Drawings
            .05     Prepare Reports on Inspections
            .06     Monitor^ Update, & Report Construction Progress
            .07     Review/Recommend Time Extensions

                                                  25                            Model RA SOW (6/95)

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            .08     Coordinate with Home Office/Management Support
            .09     Perform Davis-Bacon Act Inspections
            .10     Final Inspection
                   .01     Conduct Site Walkover
                   ,02     Prepare draft Final Inspection Report
                   .03     Respond to Comments
                   .04     Prepare Final Inspection Report
      .03    Provide Engineering Support to Design Team
            .01     Recommend Actions on H&S Considerations
            .02     Review/Recommend Action on VE Proposals
            .03     Review/Recommend Design Changes
            .04     Provide Support on Change Order Requests
            .05     frovide Support in Claims Reduction
            .06     Provide Support for Construction Schedule Changes
      .04    Perform Field Testing
      .05    Monitor Quality Assurance/Quality Control Procedures

TASK?     CLEANUP VALIDATION

7.0t   Cleanup Validation
      ,01    Mobilization/Demobilization
            .01     Mobilize (acquire equipment/supplies/personnel)
            .02     Demobilize
      .02    Field Investigation
            .01     Conduct Geological Investigations (Soils/Sediments)
                   .01     Surface Soil Sample Collection
                   .02     Subsurface Soil Sample Collection
                   .03     Soil Boring/Permeability Sampling
                   .04     Sediments Sample Collection
                   .05     Soil Gas Survey
                   .06     Test Pit
            .02     Conduct Air Investigations
                   ',,01     Sample Collections
                   .02     Air Monitoring Station
            .03     Conduct Hydrogeological Investigations - Groundwater
                   .01     Well Systems Installation
                      .01  Accomplish Mobilization
                      .02  Perform Well Development
                      .03  Conduct Dpwnhole Geophysics
                      .04  Install Monitoring Wells
                      .05  Install Test Wells
                      .06  Install Gas Wells
                   .02     Sample Collection
                   .03     Hydro Punch
                   .04     Tidal Influence Study
                   .05     Hydraulic Tests (Pump Tests)
                   .06     Groundwater Elevation Measurement
            .04     Conduct Hydrogeological Investigations—Surface Water
                   .01     Sample Collection
                   .02     Tidal Influence Study
                   .03     Surface Water Elevation Measurement
            .05     Conduct Waste Investigation
                   .01     Sample Collection (Gas, Liquid, Solid)
                   ",(fe     Derived Waste Disposal (Gas, Liquid, Solid)
            .06     Conduct Geophysical Investigation
                   ,01     Surface Geophysical Activity
                   .02     Magnetometer
                   ,03     Electromagnetics
                   .04     Ground Penetrating Radar
                   .05     Seismic Refraction
                                                 26
Model RA SOW (6/95)

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              .06    Resistivity
              .07    Site Meteorology
              .08    Cone Penetrometer Survey
              .09    Remote Sensor Survey
              . 10    Radiological Investigation
      .07     Conduct Ecological Investigation
              .01    Wetland and Habitat Delineation
              .02    Wildlife Observations
              .03    Community Characterization
              .04    Identification of Endangered Species
              .05    Biota Sampling/Population Studies
      .08     Collect Contaminated Building Samples
      .09     Dispose of Investigation Derived Waste
.03   Sample Analysis
      .01     Screening Type Laboratory Sample Analysis
              .01    Analyze Air/Gas Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .02    Analyze Groundwater Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .03    Analyze Surface Water Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .04    Analyze Soil/Sediment Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .05    Analyze Waste (Gas) Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .06    Analyze Waste (Liquid) Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .07    Analyze Waste (Solid) Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .08    Analyze Biota Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .09    Analyze Bioassay Samples
              . 10    Perform Bioaccumulation Studies
      .02     CLP-Type Laboratory Sample Analysis
              .01    Analyze Air/Gas Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .02    Analyze Groundwater Samples
                 .01 Organic
                 .02 Inorganic
                 .03 Radiochemistry
              .03    Analyze Surface Water Samples
                 .01 Organic
                                             27                            Model RA SOW (6/95)

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                       .02 Inorganic
                       .03 Radiochemistry
                   .04    Analyze Soil/Sediment Samples
                       .01 Organic
                       .02 Inorganic
                       .03 Radiochemistry
                   .05    Analyze Waste (Gas) Samples
                       .01 Organic
                       .02 Inorganic
                       .03 Radiochemistry
                   .06    Analyze Waste (Liquid) Samples
                       .01 Organic
                       .02 Inorganic
                       .03 Radiochemistry
                   .07    Analyze Waste (Solid) Samples
                       .01 Organic
                       .02 Inorganic
                       .03 Radiochemistry
                   .08    Analyze Biota Samples
                       .01 Organic
                       .02 Inorganic
                       .03 Radiochemistry
                   .09    Analyze Bioassay Samples
                   .10    Perform Bipaccumulation Studies
     .04   Analytical Support and Data Validation
           .01     Prepare and Ship Environmental Samples
                    01    Groundwater Samples
                   .02    Surface and Subsurface Soil Samples
                   .03    Surface Water & Sediment  Samples
                   ,Q4    Air Samples
                   .05    Biota Samples
                   .06    Other Types of Media Sampling and Screening
           .02     Coordinate with Appropriate Sample Management Personnel
           .03     Implement EPA-Approved Laboratory QA Program
           .04     Provide Sample Management (Chain of Custody, Sample Retention, & Data Storage)
           .05     Perform Data Validation
                   .01    Review Analysis Results Against Validation Criteria
                   .02    Provide Written Documentation of Validation Efforts
           Data Evaluation
.06
            .01     Data Useability Evaluation/Field QA/QC
            .02     Data Reduction, Tabulation and Evaluation
                   .01    Evaluate Geological Data (Soils/Sediments)
                   .02    Evaluate Air Data
                   .03    Evaluate Hydrogeological Data—Groundwater
                   .04    Evaluate Hydrogeological Data—Surface Water
                   .05    Evaluate Waste Data
                   .06    Evaluate Geophysical Data
                   .07    Evaluate Ecological Data
            .03     Modeling
                   .51    Contaminant Fate and Transport
                   .02    Water Quality
                   .03    Groundwater
                   •04    Air
                   .05    Other Modeling
            .04     Document Data Evaluation Efforts

TASK 8     REMEDIAL ACTION IMPLEMENTATION (SUBPOOL ACTIVITIES)
   ':  ' '        • • 3";   ,;:;.;!  '                         '                ••,      t •
8.Q  Remedial Actiqn Implementation
     .01    Remedia] Action Subcontract Cost

                                                28
                                                                         Model RA SOW (6/95)

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      .02    Remedial Action Reserve (15% of Remedial Action Subcontract)

TASK 9    PROJECT PERFORMANCE

9.0   Project Performance (O&M)
      .01    Operation & Maintenance (O&M)
            .01     Review O&M Manual
                   .01    Describe/Analyze Potential Operating Problems
                   .02    Review Conformity to Applicable Performance & Operations Performance
            .02     Ensure Adequate Training for O&M Staff
            .03     Develop Corrective Action Plans (if necessary)
            .04     Review Records/Reporting Requirements
            .05     Review Laboratory Procedures
            .06     Review Process Systems
            .07     Review Safety and Emergency Systems
            .08     Review Warranty Information and Files
      .02    System Performance
            .01     Evaluate Equipment
            .02     Site Restoration
            .03     Gather and Test Samples  (see Task 7 for details)
      .03    Report Project Performance
            .01     Develop Draft Technical Memoranda and Cost and Performance Report
            .02     Respond to Comments
            .03     Prepare Final Technical Memoranda and Cost and Performance Report

TASK 10    PROJECT COMPLETION AND CLOSE OUT

10.0  Project Completion and Close Out
      .01    Demobilization
            .01     Removal of Temporary Facilities
            .02     Site Restoration
            .03     Termination of Engineering Support Activities
      .02    Pre-Final/Final Activities
            .01     Make Pre-Final/Final  Inspection
            .02     Make Lockout Inspection
      .03    Final Payment/Punch List
            .01     As-built Resolution/Certification
            .02     Trial Period Oversight
      .04    Remedial Action Report
            .01     Prepare Draft Remedial Action Report
            .02     Respond to Comments
            .03     Prepare/Issue Final Remedial Action Report

TASK 11    WORK ASSIGNMENT CLOSE OUT

11.0 Work Assignment Close Out
      .01    Return Documents to Government
      .02    File Duplication/Distribution/Storage
      .03    File Archiving
      .04    Microfiche/Microfilm/Optical Disk
      .05    Prepare Closeout Report
                                                29                            Model RA SOW (6/95)

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                                                     Attachment 3
                                       Regulations and Guidance Documents

            The following list, although not comprehensive, comprises many of the regulations and guidance documents that
            apply to the RD process:
            1.  American National Standards Practices for Respiratory Protection.  American National Standards Institute
                Z88.2-1980,March 11, 1981.
            2.  ARCS Construction Contract Modification Procedures September 89, OERR Directive 9355.5-01/FS.
            3.  CERCLA Compliance with Other Laws Manual, Two Volumes, U.S. EPA, Office of Emergency and
                Remedial Response, August 1988 (DRAFT), OSWER Directive No. 9234.1-01 and -02.
            4.  Community Relations hi Superfund — A Handbook, U.S. EPA, Office of Emergency and Remedial
                Response, June 1988, OSWER Directive No. 9230.0-3B.
            5.  A Compendium of Superfund Field Operations Methods, Two Volumes, U.S.  EPA, Office of Emergency
                and Remedial Response, EPA/540/P-87/001a, August 1987, OSWER Directive No. 9355.0-14.
            6.  Construction Quality Assurance for Hazardous Waste Land Disposal Facilities, U.S. EPA, Office of Solid
                Waste and Emergency Response, October 1986, OSWER Directive No. 9472.003.
            7.  Contractor Requirements for the Control and Security of RCRA Confidential Business Information, March
              ""  1984.    	              "                         	
            8.  Data Quality Objectives for Remedial Response Activities, U.S. EPA, Office of Emergency and Remedial
                Response and Office of Waste Programs Enforcement, EPA/540/G-87/003, March 1987, OSWER
                Directive No:  9335.0-7B.
            9.  Engineering Support Branch Standard Operating Procedures and Quality Assurance Manual, U.S.  EPA
              	Region IV, Environmental Services Division, April 1, 1986 (revised periodically).
            10. EPA NEIC Policies and Procedures Manual, EPA-330/9-78-001-R, May 1978, revised November 1984.
            1L Federal Acquisition Regulation, Washington, DC:  U.S. Government Printing Office  (revised periodically).
            12". Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA, Interim Final,
                U.S. EPA, Office of Emergency and Remedial Response, October 1988, OSWER Directive NO.
•	   •     '     !": 9355.3-01.                                                                !
            13. Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed by Potential
                Responsible Parties,  U.S. EPA Office of Emergency and Remedial Response,  EPA/540/G-90/001, April
                 1990.
            14. Guidance on Expediting Remedial Design and Remedial Actions, EPA/540/G-90/006, August 1990.
            15^ Guidance on Remedial Actions for Contaminated Ground Water at Superfund Sites, U.S. EPA Office of
                Emergency and Remedial Response (DRAFT), OSWER Directive No. 9283.1-2.
            16,  Guide for Conducting Treatability Studies Under CERCLA, U.S. EPA, Office of Emergency and Remedial
                 Response, Prepublication version.
            17.  Guide to Management of Investigation-Derived Wastes, U.S. EPA, Office of Solid Waste and Emergency
                 Response, Publication 9345.3-03FS, January 1992.
            18.  Guidelines and Specifications for Preparing Quality Assurance Project Plans, U.S. EPA, Office of Research
                 and Development, Cincinnati, OH, QAMS-004/80, December 29, 1980.
            19.  Health and Safety Requirements of Employees Employed in Field Activities, U.S. EPA, Office of
                 Emergency and Remedial Response,  July 12, 1982, EPA Order No.  1440.2.
            20.  Interim Guidance on Compliance with Applicable of Relevant and Appropriate Requirements, U.S. EPA,
                 Office of Emergency and Remedial Response, July 9, 1987,  OSWER Directive No. 9234.0-05.
            21.  Interim GuiSelines and  Specifications for Preparing Quality Assurance Project Plans, U.S. EPA, Office of
                 Emergency and Remedial Response, QAMS-005/80, December 1980.
            22.  Methods for Evaluating the Attainment of Cleanup Standards: Vol. 1, Soils and Solid Media, February
                 1989, EPA 23/02-89-042; vol. 2, Ground water (Jul 1992).
            23.  National Oil and Hazardous Substances Pollution Contingency Plan; Final Rule, Federal Register 40 CFR
                 Part 300, March 8, 1990.
            24.  NIOSH Manual of Analytical Methods, 2nd edition. Volumes I-VII  for the 3rd edition, Volumes I and II,
                 National Institute of Occupational Safety and Health.
            251  Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities, National Institute of
                 Occupational Safety and Health/Occupational Health and Safety Administration/United States Coast
                 Guard/Environmental Protection Agency, October 1985.
            26.  Permits and Permit Equivalency Processes for CERCLA On-Site Response Actions, February 19, 1992,
                 OSWER Directive 9355.7-03.
            27.  Procedure for Planning and Implementing Off-Site Response Actions, Federal Register, Volume 50,
                 Number 214, November 1985, pages 45933-45937.


                                                             30                            Model RA SOW (6/95)

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28. Procedures for Completion and Deletion of NPL Sites, U.S. EPA, Office of Emergency and Remedial
    Response, April 1989, OSWER Directive No. 9320.2-3A.
29. Quality in the Constructed Project: A Guideline for Owners, Designers and Constructors, Volume 1,
    Preliminary Edition for Trial Use and Comment, American Society of Civil Engineers, May 1988.
30. Remedial Design/Remedial Action (RD/RA) Handbook, U.S. EPA, Office of Solid Waste and Emergency
    Response (OSWER) 9355.0-04B, EPA 540/R-95/059, June 1995.
31. Revision of Policy Regarding Superfund Project Assignments, OSWER Directive No. 9242.3-08,
    December 10,  1991.  [Guidance, p. 2-2]
32. Scoping the Remedial Design (Fact Sheet),  February 1995, OSWER Publ. 9355-5-21 FS.
33. Standard Operating Safety Guides, U.S. EPA, Office of Emergency and Remedial Response, November
    1984.
34. Standards for the Construction Industry, Code of Federal Regulations, Title 29, Part 1926, Occupational
    Health and Safety Administration.
35. Standards for General Industry,  Code of Federal Regulations, Title 29, Part 1910, Occupational Health and
    Safety Administration.
36. Structure and Components of 5-Year Reviews,  OSWER Directive No. 9355.7-02, May 23,  1991.
    [Guidance, p. 3-5]
37. Superfund Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed by
    Potentially Responsible Parties,  April 1990, EPA/540/G-90/001.
38. Superfund Remedial Design and Remedial Action Guidance, U.S. EPA, Office of Emergency and Remedial
    Response, June 1986, OSWER Directive No. 9355.0-4A.
39. Superfund Response Action Contracts (Fact Sheet), May 1993, OSWER Publ. 9242.2-08FS.
40. TLVs-Threshold Limit Values and Biological Exposure Indices for 1987-88, American Conference of
    Governmental Industrial Hygienists.
41. Treatability Studies Under CERCLA, Final. U.S. EPA, Office of Solid Waste and Emergency Response,
    EPA/540/R-92/071a, October 1992.
42. USEPA Contract Laboratory Program Statement of Work for Inorganic Analysis, U.S. EPA, Office of
    Emergency and Remedial Response,  July 1988.
43. USEPA Contract Laboratory Program Statement of Work for Organic Analysis, U.S.  EPA, Office of
    Emergency and Remedial Response,  February 1988.
44. User's Guide to the EPA Contract Laboratory Program, U.S. EPA, Sample Management Office, August
    1982.
45. Value Engineering (Fact Sheet), U.S. EPA, Office of Solid Waste and Emergency Response, Publication
    9355.5-03FS, May 1990.
                                                 31                            Model RA SOW (6/95)

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Attachment 4
TRANSMITTAL OF DOCUMENTS FOR ACCEPTANCE BY EPA
TO:
SUBTASK NO.












DATE:
FROM:
DELIVERABLE












NO. OF
COPIES












TRANSMITTAL NO.
1 	 1 New Transmittal
1 — 1 Resubmittal of
Transmittal No.

REMARKS












ACCEPTANCE ACTION
DOCUMENTS FOUND ACCEPTABLE (LIST BY SUBTASK NO.)
NAME/TITLE/SIGNATURE OF REVIEWER
DATE
                                                            II I si  -,f-

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Attachment 5
TRANSMITTAL REGISTER
PROJECT TITLE AND LOCATION
Subtask No.














DELIVERABLE














•g $
d'S1
2 U














§1
Q Q














CONTRACT NO.
Transmittal
No.














Date
Received














Date Comments
Sent to
Contractor














WORK ASSIGNMENT NO.
EPA
Acceptance
Date














REMARKS















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<.    ' t

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                                                                                              (Date)
                            MODEL STATEMENT OF WORK
                        FOR REMEDIAL ACTION OVERSIGHT

                       	SITE,	COUNTY,	STATE
ATTACHMENTS
Attachment 1.  Summary of Major Submittals for the Remedial Action Oversight at	(Site)  	   21
Attachment 2.  Work Breakdown Structure  	   23
Attachment 3.  Regulation and Guidance Documents  	   28
Attachment 4.  Transmittal of Documents for Acceptance by EPA	   30
Attachment 5.  Transmittal Register	_-.	31
  Purpose of RA Oversight Model SOW

  1.    To tell the contractor what EPA wants done. This model SOW is for contractors to provide
       oversight of RAs being conducted by Potentially Responsible Parties (PRPs).  Be as specific as
       possible in describing what the RA oversight contractor is required to do.  In that way, the contractor
       will understand the requirements, will write a RA Oversight Work Plan and associated budget to meet
       those requirements, and will be ultimately responsible for satisfying those requirements.  Whenever
       there is an absolute requirement (e.g., that the contractor prepare the Quality Assurance Project Plan
       (QAPP) hi accordance with QAMS-005/80, December 29, 1980), state that requirement.

  2.    To give the contractor a structure  for recording costs.  A structured cost schedule will simplify
       cost comparisons of specific tasks being performed at similar RA oversight projects.

  Use of Work Breakdown Structure (WBS)

  1.    A WBS was developed for this model SOW for the WAM/RPM to track the initial and final costs of
       each element and to share these data with other Federal agencies.  The WBS is, essentially, the
       outline for this model SOW and is included as Attachment 2 to this document.

  2.    If an element is not to be used, do not change the numbering system, instead, insert "Not used" for
       that element number after deleting the text for that element.

  3.    For elements in the SOW for a given project, additional descriptions (e.g., type of samples and
       estimated number) should be added to the SOW for the contractor and WAM/RPM to develop
       estimated costs on a common basis.
8.0  Introduction

     .0.1  Site Description
  Provide a brief site description that contains information relative to RA oversight planning and
  implementation such as location, operational history, remedial response history, waste types, quantities, and
  milestones specified in the Record of Decision (ROD) and Remedial Design (RD) documents.
     .0.2  Purpose
                                                                     Model RA Oversight SOW (6/95)

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                       The purpose of this SOW is to provide the framework and requirements for the contractor to
                       provide oversight of the construction and implementation of the RA, including system start-up and
                       diagnostic testing, operation and maintenance, and performance monitoring, at	(site).
                       Actual construction and implementation of the RA shall be performed by the PRP's constructor.
                       The ROD issued on	(date) describes the RA selected for this sitej and the RD
                       documents provide the construction and implementation detail required to achieve the selected RA.
                       The goal is to complete the RA by	.  The estimated completion date for this work
                       assignment is	.
              Many contractors, subcontractors, and other participating team members will be involved hi the completion
              of the RA. The WAM/RPM may consider identifying and defining each team member to avoid potential
              confusion. Upfront definitions will ensure that the names and titles of team members are used consistently
              throughout the completion of the RA, and that the roles and responsibilities of each team member are clear
              in the SOWs, project plans, and other critical project and contract documents.

              For the purposes of this model SOW, the "contractor" is defined as the firm responsible for performing the
              SOW.  The contractor is under contract with EPA to provide oversight of the "RA constructor," who is
              under contract with the PRPs.  The contractor may be contracted through the Alternate  Remedial
              Contracting Strategy (ARCS) or Remedial Action Contractor (RAC) contracting vehicles, but will not be
              performing RA construction or implementation tasks.

              For a PRP-lead remediation project, it is likely that RD and RA would be performed by  PRP constructors
              and contractors, with oversight provided by EPA contractors.  This model SOW is written with the
              assumption that the contractor (providing RA oversight) is not the same as the contractor that provided RD
              oversight.  If the same contractor is used, some of the tasks described in this model SOW could be
              modified or "Not used."
                        .0.2.1  Description of the RA
               A brief description should include a summary of the general response objectives for the subject site, the
               selected RA described hi the ROD to achieve those objectives, and a description of subsequent RD
               documents required for construction and implementation of the RA.
                        .0.2.2  Objectives of Oversight. The primary objective of PRP oversight is to ensure that the RA,
                               as specified in the ROD and the RD documents, is accurately interpreted and adhered to
                               during construction and implementation. The RA must protect public health and the
                               environment during the life of the project and must comply with the terms of the Settlement
                               Agreement or Consent Decree (CD). Successful RA oversight is accomplished by observing
                               and documenting that the PRP has complied with all applicable laws, regulations, and
                               requirements, and has met all performance standards specified hi the CD.

                  .0.3  General Requirements

                        .0.3.1  The contractor shall perform RA oversight in accordance with this SC)W and shall ensure
                               consistency with the ROD, RD documents produced for the site, the CD, the Remedial
                               Design and Remedial Action Handbook (U.S. EPA Office of Solid Waste and Emergency
                               Response (OSWER) 9355.0-04B, EPA 540/R-95/059, June 1995) and other relevant
                               guidance used by EPA  in conducting RAs.  The primary contact for this work assignment is
                               	, Tel. (___)	; the secondary contact is	, Tel.
I	I.
id]!!.
                                                                                    Model RA Oversight SOW (6/95)
Uti:. ,;>, iii h.iin.., Ad: ..... ''_*! ..... '.;'.,'>.'• ..... -i; ...... i kdJIIII:' fi

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          .0.3.2  A summary of the major deliverables and the schedule for submittal is attached.  See
                 Attachment 1.

          .0.3.3  Specifically, the RA involves the construction and implementation of
                 	(briefly describe the major components of the RA).

          .0.3.4  The contractor shall furnish all necessary and appropriate personnel, materials, and services
                 needed, or incidental to, performing and completing the RA oversight.

          .0.3.5  A list of primary guidance and reference material is listed in Attachment 2:  In all cases, the
                 contractor shall use the most recently issued guidance.

          .0.3.6  The contractor shall maintain RA oversight files as specified in the contract and by the
                 WAM/RPM.

          .0.3.7  The contractor shall communicate at least weekly  with the WAM/RPM, either iri person or
                 through conference calls, to report on RA oversight progress.

          .0.3.8  The contractor shall notify the WAM/RPM when  75 percent and when 95 percent of the
                 approved work assignment budget has been expended.

          .0.3.9  The contractor shall document all decisions that are made hi meetings and conversations
                 with EPA or the PRP.  The contractor shall forward this documentation to the WAM/RPM
                 within 2 working days of the meeting or conversation.
Although the contractor is being tasked to document decisions made in meetings and conversations with
EPA or the PRP, the WAM/RPM is ultimately responsible for documenting the decisions and should not
solely rely on the contractor to do this.
         .0.3.10     EPA will provide oversight of contractor activities throughout the RA oversight efforts.
                     EPA review and approval of the contractor's deliverables is a tool to assist this process
                     and to satisfy, in part, EPA's responsibility to provide effective protection of public
                     health, welfare, and the environment during the contractor's oversight of the PRP's
                     remedial activities.  EPA will review the deliverables prepared during the oversight to
                     assess the likelihood that the RA will achieve its remediation goals and that all
                     performance requirements applicable to the RA have been correctly identified and
                     implemented.  However, acceptance of deliverables by EPA does not relieve the
                     contractor of responsibility for the adequacy of the deliverable.

    .0.4  Oversight Official

         The contractor shall designate an Oversight Official (i.e., the contractor's site manager responsible
         for the work assignment) to report directly to the WAM/RPM during RA oversight.  The Oversight
         Official is the point-of-contact (POC) from the contractor, who acts as a liaison between the
         WAM/RPM, the PRP, the PRP's RA constructor, and the PRP's Independent QA Team.  The
         Oversight Official is responsible for providing technical support in monitoring PRP compliance with
         the CD.  Specific responsibilities of the Oversight Official include  ensuring that the PRP is working
         with an Independent QA Team, assisting in the review of professional qualifications, reviewing RA
         submittals, and providing summary and activity reports  to the WAM/RPM.

    .0.5  Equipment Transfer
                                                                       Model RA Oversight SOW (6/95)

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                                                                                   I
           At the completion of the RA, or when government property is no longer required at the site, the
           contractor shall arrange for the proper disposition of government-furnished or contract-acquired
           property (purchased with contract funds) in accordance with the contract requirements.  The
           disposition (transfer, sale, or abandonment) of government personal property and the tracking of
           such equipment shall be coordinated with the Contract Property Administrator.  For additional
           mformatiqn, refer to Contractor's Guide for Control of Government Property, Office of
           Administration and Resources  Management, December 1988.
               1 !'!            '                       '           .            i,'       '  ''
     .0.6  Project Closeout

           At the completion of the RA, the contractor shall perform all  necessary project closeout activities as
           specified in the contract.  These activities may include closing out any subcontracts, indexing and
           consolidating project records and files, and providing a technical and financial closeout report to
           EPA.  Final costs shall be reported to EPA electronically, categorized by each cost element in the
           WBS.

8.1  Project Planning and Support

     The purpose of this task is to plan for the execution and overall management of this SOW. Technical and
     management activities required to oversee the PRP's implementation of the RA, along with associated
     costs, are developed during the planning phase and are detailed in the contractor's RA Oversight Work
     Plan.  Activities required for general work assignment management, including preparation of monthly
     progress report and invoices, that will occur throughout the duration of the project are  included in this
     task. This task may begin before or after approval of the final RD  and will continue through the RA
     oversight work assignment closeout.

     .1.1  Project Planning

           .1.1.1  Attend Scoping Meeting. The contractor shall attend  a scoping meeting to be held at the
                   EPA Regional Office before or concurrent with developing the contractor's RA Oversight
                   Work Plan.
  Location of meetings and the WAM/RPM's expectations for the number of contractor personnel to attend
  should be specified for cost estimation purposes.  Consider having the RD oversight contractor, if different
  than the RA oversight contractor, attend initial meetings and site visits to present any special considerations
  and to facilitate the transfer of site and design information prior to the development of the RA Oversight
  Work Plan.
            .1.1.2  Conduct Site Visit. The contractor shall conduct a one-day site visit with the WAM/RPM
                   during the project planning phase to develop a conceptual understanding of the site and the
                   RA scope and requirements.  A Health and Safety Plan (HASP) is required for the site visit.
                   The contractor shall prepare a letter report that documents all EPA, RA constructor, RA
                   oversight contractor, and site personnel  present at the visit, all decisions made during the
                   visit, any action items assigned, including person responsible and due date, any unusual
                   occurrences during the visit, and any portions of the site that were not accessible to the
                   contractor and die impact of this on oversight of the RA.  This report shall be submitted to
                   the WAM/RPM within 10 calendar days of the site visit.
                                                       •    •   "	- •    "•*    •  •  !••     '
            .1.1.3  Evaluate Existing Information. The contractor shall obtain, copy (if necessary), and review
                   available information pertaining to the site from EPA.  The contractor shall evaluate the
                   existing data and documents, including the ROD, the CD, and the PRP's  RA Work Plan, if
                   available.  The specific reference documents to be  reviewed are listed in Attachment 3.
                                                                          Model RA Oversight SOW (6/95)

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 The WAM/RPM may want to specify that the contractor focus on the review of RD documents submitted
 by the PRP's RD contractor.  The contractor should perform a relatively thorough review of final design
 documents to gain an understanding of the RA to be constructed and implemented at the subject site.  A
 detailed review of earlier stages of design (i.e., review of preliminary and intermediate design documents,
 described under Task 6.7.1 in the WBS) would not likely be required of the RA oversight contractor.

 In addition to providing the contractor with final design documents, the WAM/RPM may want to compile
 summaries contained in project reports to describe the nature and extent of contamination, cleanup goals and
 objectives, the selected RA,  and critical aspects of the ongoing community relations program.  The
 WAM/RPM could also provide reference documents for the selected RA, such as technology summaries
 and fact sheets.
          .1.1.4  Develop Technical Project Goals and Objectives. The contractor shall prepare data needs
                 and data quality objectives (DQOs) for analytical sampling to be performed during
                 oversight.  The goals and objectives should be used to define the analytical methods and
                 protocols, decontamination procedures, and EPA reporting levels (e.g., I, II, III, IV)
                 required to match those used by the PRP's RA constructor.

                 (1)  Not used - Develop Conceptual Site Model

                 (2)  Identify Preliminary Project Requirements
                     (a) Data Needs and Data Quality Objectives
                     (b) Not used - RA Objectives and Potential Alternatives
                     (c) Not used - Possible Treatability Studies
                     (d) Not used - ARARs and/or Standards
                     (e) Not used - NEPA Requirements
                     (f) Not used - Other Regulatory Requirements/Restrictions
The WAM/RPM should require the contractor to identify DQOs for the collection of samples during RA
oversight.  Other requirements and standards that may be applicable to the contractor's SOW should also be
identified.
         .1.1.5 Develop RA Oversight Work Plan
                (1)  Develop Draft RA Oversight Work Plan.  The contractor shall prepare and submit a
                     Draft RA Oversight Work Plan within 45  calendar days after initiation of the work
                     assignment.  The contractor shall use information from the EPA-approved PRP's RA
                     Work Plan, if available, appropriate guidance, and direction provided by the
                     WAM/RPM as the basis for preparing the RA Oversight Work Plan.  RA oversight
                     work must be coordinated and properly sequenced with EPA and PRP RA activities.
                     Submit the original to the Contracting Officer, one copy to the Project Officer, and one
                     copy to the WAM/RPM.
1.   The WAM/RPM should verify the work plan submittal timeframe with the PO.

2.   Additional copies of the work plan can be submitted to the WAM/RPM if specified, for distribution to
     other technical staff.
                     (a)  Develop Narrative.  The RA Oversight Work Plan shall include a comprehensive
                         description of project tasks, the procedures to accomplish them, quality
                         assurance/quality control (QA/QC) systems and project-specific QA/QC
                                                                      Model RA Oversight SOW (6/95)

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                         procedures to be followed, project documentation, and project schedule.
                         Specifically,  the RA Oversight Work Plan shall include the following:
                             Identification of RA project elements and the associated oversight tasks
                             including review of PRP planning, construction, and implementation
                             documentation. This task will result in a detailed breakdown of subtasks
                             within the WBS tasks.
                         -   The contractor's  technical approach to each task to be performed, including a
                             detailed description of each  task, the assumptions used, the information needed
                             for each task, any information to be produced during and at the conclusion of
                             each task, and a description of the work products that will be submitted to
                             EPA. Information shall be presented in a sequence consistent with the work
                             breakdown structure format defined in the standard WBS.
                         -   A schedule with specific dates for completion of each required activity and
                             submission of each deliverable required by this SOW. This schedule shall also
                             include information regarding tuning, initiation, and completion of all critical
                             path milestones for each activity and deliverable and the expected review time
                             for EPA.                                           ;
                         -   A project communications and management plan and contractor reporting
                             requirements, such as meetings and presentations to EPA at the conclusion of
                             major phases of the project.
                     (b) Develop Cost Estimate. The contractor's estimated cost to complete  the work
                         shall be broken into Level of Effort (by P-level) and cost  for each  element of the
                         Work Breakdown Structure (Attachment 2) and submitted to EPA on disk.
                     (c) Perform Internal QA and Submit Draft RA Oversight Work Plan
                 (2)  Prepare Final RA Oversight Work Plan. The contractor shall prepare a Final RA
                     Oversight Work Plan 15 days after receipt of EPA comments on the  draft,  this final
                     version shall incorporate comments on the draft version as directed by  the
                     WAM/RPM.
                     (a) Attend Negotiation Meeting. The contractor shall attend a Work Plan negotiation
                         meeting  at the EPA Regional Office. EPA and the contractor will refine the SOW
                         requirements and funding issues'related to the RA Oversight Work Plan.
                     (b) Modify Draft RA Oversight Work Plan and Cost Estimate.
                     (c) Perform Internal QA and Submit Final RA Oversight Work Plan.
         .1.1.6  Review PRP Plans.  Tjie contractor shall review upfront plans prepared by the PRP's RA
                 constructor.  These plans should constitute a complete set of construction-related work plans
                 and project plans, based on generic guide specifications for construction.
                  1                '        '                     •  '      '
The review of PRP plans under this task includes those plans which can be prepared prior to the preparation
of detailed construction plans.  The review of detailed construction plans is described hi Task 6.7, "Review
of PRP Documents."  Generic guide specifications for construction may be used by the PRP's RA
constructor to prepare these upfront PRP plans.  The RA oversight contractor should recognize the
preliminary level of detail that can be expected during their review of upfront plans.
                 (1)  Review PRP Site Management Plan
                     (a) Review PRP Pollution Control & Mitigation Plan
                     (b) Review PRP Transportation and Disposal (of site-derived wastes) Plan
                 (2)  Review PRP Health and Safety Plan
                 (3)  Review PRP Sampling and Analysis Plan
                     (a) Review PRP Quality Assurance Project Plan
                     (b) Review PRP Field Sampling Plan
                     (c) Review PRP Data Management Plan
                 (4)  Review Other PRP Plan(s)
                                                                       Model RA
Oversight SOW (6/95)

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    . 1.2  Preparation of Site-Specific Plans
 The site-specific plans to be prepared by the contractor may consist of revisions or modifications to existing
 plans.  If the RA oversight contractor was also the RD oversight contractor, this task should be abbreviated
 to reflect only revisions to existing plans.  Similarly, if a new RA oversight contractor is being used,
 previous site plans can be provided by the WAM/RPM as examples to streamline this task.
          .1.2.1  Not used
          .1.2.2  Develop Health and Safety Plan (HASP) that specifies employee training, protective
                 equipment, medical surveillance requirements,  standard operating procedures, and a
                 contingency plan in accordance with 29 CFR 1910.120.  Whenever possible, use the HASP
                 developed for the RI/FS and/or RD oversight work assignments in preparing the HASP for
                 RA oversight.  Provisions hi the RA constructor's HASP may also be incorporated into the
                 contractor's HASP.
 1.    The HASP may not constitute an Emergency Response Plan. Site conditions may warrant the
      preparation of a separate Emergency Response Plan.

 2.    EPA does not approve the contractor's HASP, but reviews it to ensure that it is complete and
      adequately protective.
          .1.2.3  Develop Sampling and Analysis Plan (SAP) or Chemical Data Acquisition Plan to reflect the
                 specific objectives of data acquisition to be conducted during RA construction oversight.
                 The SAP will outline the data collection and QA/QC requirements of sampling and analysis
                 to be conducted by the contractor. The SAP may be composed of the Field Sampling Plan
                 (FSP) and Quality Assurance Project Plan (QAPP) under separate covers, or it may be a
                 single document, containing the essential elements of both the FSP and QAPP. The
                 contractor shall use the SAPs prepared  for the RI/FS and/or RD oversight portions of the
                 project, whenever possible.
The Sampling and Analysis Plan (SAP) may not be required for certain RA oversight WAs. If required,
the SAP can be prepared by updating the SAP prepared for the RD.  The contractor may collect split (or
duplicate) samples for laboratory analysis as samples are collected by the PRP's RA constructor.  These
split samples  are collected under Task 6.5 to assess the quality of analytical results provided by the PRP.
For a direct comparison, samples should be analyzed using the same analytical methods and EPA reporting
levels as those used by the PRP's RA constructor.
                (1)  Develop Quality Assurance Project Plan hi accordance with QAMS-005/80 (December
                     29, 1980).  The QAPP shall  describe the project objectives and QA/QC protocols to be
                     used in achieving the desired DQOs.  The DQOs shall, at a minimum, reflect use of
                     analytical methods for identifying contamination and addressing contamination
                     consistent with the levels for RA objectives identified hi the National Contingency Plan
                     (NCP). The selected analytical methods and reporting levels shall parallel those being
                     used by the PRP's RA constructor.
                (2)  Develop Field Sampling Plan to define the  oversight sampling and information-
                     collection methods that shall be used for the project.  It shall include sampling
                     objectives, sample locations and frequency, sampling equipment and procedures,
                     sample handling and analysis, and  description of which samples are to be analyzed
                     through the Contract Laboratory Program (CLP),  which through other sources,  and


                                                 7                    Model RA Oversight SOW (6/95)

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                  the justification for those decisions. The FSP shall be written so that a field sampling
                  team unfamiliar with the site would be able to gather the samples and field information
                  required. The FSP developed for the RI/FS or RD oversight should be used whenever
                  possible in preparing the FSP for the RA oversight activities.
             (3)   Develop Data Management Plan to address requirements for project management
                  systems including tracking, storing, and retrieving data.  The plan shall also identify
                  software to be used, minimum data requirements, data format, arid backup data
                  management.   The plan shall address both data management and document control for
                  all RA oversight  activities.
      1.2.4  Other Plan(s)
         , •(:•  ,'ii'l   •  .  ;
.1.3   Project Management
  The WAM/RPM should specify the format for submissions; e.g., Monthly Progress Reports, if there
  are Region-specific requirements or if you have specific requirements.

  During construction, there may be especially active periods and the WAM/RPM should specify
  additional communication requirements or status reports from the contractor. Also, the WAM/RPM
  should arrange for personal visits to the site during these times.
      .1.3.1  Prepare Periodic Status Reports. The contractor shall prepare Monthly Progress Reports.
             (1)  Document Cost and Performance Status. The contractor shall document the technical
                  progress and status of each task in the WBS for the reporting period in accordance
                  with contract requirements. The contractor shall report costs and level of effort (by P-
                  level)  for the reporting period as well as cumulative amounts expended to date.
             (2)  Prepare and Submit Invoices.  Monthly invoices will be  prepared and submitted in
                  accordance with the level of detail as specified in the contract.
          • ',•    ,:;!ilnj         • ,      ,,,   '       	 '                ,' '„  ,   ',!;,! ," ,       j|      !
      .1.3.2  Meeting Participation and Routine Communications.  The contractor shall attend project
             meetings, provide documentation of meeting results,  and shall contact the WAM/RPM by
             telephone on a weekly basis to report project status.  The contractor shall notify the
             WAM/RPM immediately if inconsistencies with the design or non-compliance with the CD
             or applicable or relevant and appropriate requirements (ARARs) are apparent.  The
             contractor shall describe the problem and provide recommended solutions in a technical
             memorandum to the WAM/RPM.

      ,1.3.3  Not Used - Maintain Cost/Schedule Control System.

      .1.3.4  Not used -  Perform Value Engineering

      .1.3.5  Not used -  Perform Engineering Network Analysis

      ,1.3.6  Not used -  Manage, Track, and Report Equipment Status.

      .1.3.7  Work Assignment Closeout.   The contractor shall perform the necessary activities to
             closeout the work assignment in accordance with contract  requirements.

.1.4  Subcontract Procurement and Support Activities
                                                                    Model RA Oversight SOW (6/95)

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   Other than a CLP laboratory, it is unlikely that the contractor will require subcontractors for RA oversight
   activities.  A special laboratory may be desired in addition to a CLP laboratory to perform geotechnical
   testing or biologic parameter testing for certain sites.  Using non-CLP laboratories should be considered on
   a case-by-case basis.
            .1.4.1  Identify and Procure Subcontractors. The contractor shall identify, solicit, and award any
                   subcontracts that are required to complete the RA oversight activities.
                   (1)   Not used - Drilling Subcontractor
                   (2)   Not used - Surveying Subcontractor
                   (3)   Not used - Geophysical Subcontractor
                   (4)   Not used - Site Preparation Subcontractor
                   (5)   Analytical Services Subcontractors)
                   (6)   Not used - Waste Disposal Subcontractor
                   (7)   Not used - Treatability Subcontractor(s)
                   (8)   Other(s)

            .1.4.2  Develop Subcontractor QA/QC Program. The contractor shall review, approve, and
                   monitor the subcontractor's QA/QC program and conduct audits, as required.

            .1.4.3  Perform Subcontract Management.  The contractor shall perform the necessary management
                   and oversight of any subcontractor(s) needed for RA oversight. The contractor shall
                   institute procedures, monitor progress, and maintain systems and records to ensure that the
                   work proceeds according to contract requirements.  The contractor shall review and approve
                   subcontractors' invoices and issue any necessary contract modifications.

8.2  Community Relations

     The contractor shall provide community relations  support to EPA throughout the RA.  The contractor shall
     provide community relations support in accordance with Community Relations in Superfund: A Handbook,
     June 1988.  This task begins with the approval of the contractor's RA Oversight Work Plan and continues
     throughout the duration of the work assignment.
                                                                         Model RA Oversight SOW (6/95)

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  Generally, EPA retains responsibility for community relations during a PRP-lead RA.  The CD may
  specify the level of PRP participation in these activities and the WAM/RPM should define the role of
  the contractor and the level of interaction with the PRP.

  A variety of possible community relations activities may be appropriate during the RA, based on the
  characteristics and specific circumstances at your site. Refer to the Community Relations in
  Super/and: A Handbook,  Chapters 6 and 7 and Appendix A, for suggested community relations
  activities during RA activities.

  With implementation of the remedy, site activity increases and so does the likelihood of community
  concerns and questions. In addition to the  community relations activities listed below in the WBS, the
  WAM/RPM may consider the following activities to communicate progress during construction:
  arranging site tours and workshops,  establishing observation decks,  and videotaping cleanup
  activities.  These activities may be covered under Task 6.2.3.1, "Technical Support," or added to the
  WBS as a separate item and numbered accordingly (i.e., 6.2.3.5).  The WAM/RPM should plan for
  and develop a proactive and effective program with the assistance of the Regional Community
  Relations Specialist.

  The WAM/RPM should review the current community relations plan, if one exists, and direct the
  contractor to update the existing CRP to address activities  and concerns specific to the RA.

  The WAM/RPM should specify the format for Community Relations submissions (e.g., fact sheets,
  news releases) if there are EPA Region-specific or other requirements.
                                                                            II
.2.1   Develop Community Relations Plan
      .2.1.1  Conduct Community Interviews.  The contractor shall assist the WAM/RPM in conducting
             community interviews to identify community concerns associated with the RA.  The
             contractor shall assist the WAM/RPM in identifying key community members, establishing
             an interview schedule, conducting interviews, and summarizing the results.
                                                                            1
      .2.1.2  Update the CRP.  The contractor shall update the existing CRP to address community
             relations requirements and community concerns during the RA.
             (1)  Draft CRP.  The contractor shall update the CRP and submit a draft version within 14
                  days  after completion of the community interviews.
             (2)  Final CRP.  Within 7 days of receipt of EPA comments, the contractor shall submit a
                  final  CRP.
          ;,;,,   ..;;.;                                                  , '         ;j
,2.2  Prepare Fact Sheets

      The contractor shall assist the WAM/RPM in preparing a fact sheet that informs the public about
      activities related to the final design, the schedule for the RA, activities to be expected during
      construction, measures to be taken to protect the community, provisions for responding to
      emergency releases and spills, and any potential inconveniences such as excess traffic and noise that
      may affect the community during the RA.
                                             10
Model RA Oversight SOW (6/95)

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   1.    This subtask may have been completed during the RD.  In that case, the WAM/RPM may task the
        contractor to revise the fact sheet before construction begins with the current schedule, expected
        conditions, and relevant points of contact.

   2.    Depending on the complexity of the RA, the WAM/RPM should consider communicating construction
        progress by sending out regular fact sheets.  Specify to the contractor the anticipated number of fact
        sheets, topics, and number of copies required.
      .2.3   Public Meetings and Availability Support
  The number and locations of anticipated public meetings should be identified in the SOW for cost estimation
  purposes.  Similarly, the WAM/RPM should specify the number of contractor personnel expected to be in
  attendance at the public meetings.
            .2.3.1  Technical Support.  The contractor shall assist the WAM/RPM in providing technical
                   support for community meetings that may be held during the RA. This support may include
                   preparing technical input to news releases, briefing materials, arranging other community
                   relations vehicles (i.e., site tours), and helping the WAM/RPM to coordinate with local
                   agencies.

            .2.3.2  Logistical and Presentation Support.  The contractor shall assist the WAM/RPM in
                   preparing technical briefing materials and in arranging for the logistical details for the
                   meetings.

            .2.3.3  Public Notice Support. The contractor shall assist the WAM/RPM in drafting public
                   notices, announcing the public meetings, and placing the notice in a local paper of general
                   circulation.

      .2.4  Maintain Information Repository and Mailing Lists

           The contractor  shall assist the WAM/RPM in developing or revising site mailing lists and
           maintaining a repository of information on activities related to RA, as described in Appendix A.8,
           page A-19, of Community Relations in Superfund: A Handbook, June 1988.

8.3  Data Acquisition Oversight

     This task involves oversight of the PRP's collection of samples during the RA.  The review of the PRP's
     project plans required for this sampling effort is performed under Task 6.1.1.6.  This task begins with
     EPA's approval of the PRP's SAP, FSP, and QAPP prior to the PRP's mobilization, and ends with the
     PRP's demobilization at the completion of the RA.
                                                   11                    Model RA Oversight SOW (6/95)

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11
is;.
                  . .'Ill
Mobilization and demobilization oversight includes ensuring that the PRP's RA constructor and their
subcontractors efficiently perform start-up and closeout field activities per the overall schedule in the CD.
The RA oversight contractor should monitor site preparation and the construction of utilities and temporary
facilities,  and ensure that an appropriate work sequence is followed while minimizing site disturbances.  A
logical sequence for major mobilization and demobilization activities to be conducted by the RA constructor
may be as follows:

Mobilization
• stage and organize equipment and materials onsite
• prepare exclusion zone, decontamination area, and waste storage/staging area
• construct utilities and temporary facilities

Daily Demobilization
• consolidate and store debris and excess materials
• decontaminate personnel and equipment
• maintain secure waste storage/staging area

Final Demobilization
• dismantle utilities and temporary facilities that are no longer required
• ensure site has minimum disturbances (i.e., remove trash, debris, excess materials)
• properly label waste stored/staged onsite, and ensure that provisions  are in-place for its removal
    .3.1   Mobilization and Demobilization Oversight
                                                                                   i
          .3.1.1  Identify Field Support Equipment/Supplies/Facilities.  The contractor may require a field
                 trailer and related utilities if it is infeasible to share the RA constructor's trailer.  Other
              	  support equipment, supplies, or facilities required for performing oversight activities should
                 be identified in this task.
                                                                        ,,',,,!
          .3.1,2  Mobilization Oversight. Mobilization activities to be conducted by the PRP's constructor
                 include preparing an exclusion zone, staging and organizing onsite equipment, and
                 constructing utilities and temporary facilities.
                 (1)  Not used - Site Preparation
                 (2)  Installation of Utilities
                      (a) Install Electric Distribution
                      (b) Install Telephone/Communication System
                      (c) Install Water/Sewer/Gas Distribution
                      (d) Install Fuel Line Distribution
                 (3)  Construction of Temporary Facilities
                      (a)  Construct Decontamination Facilities
                      (b)  Construct Sample or Derived Waste Storage Facility
                      (c)  Construct Field Offices
                      (d)  Construct Mobile Laboratory
                      (e)  Construct Other Temporary Facilities
                  "i'1."!"                            .  '                   ...        ij
                                                                                   i
          .3.1.3  Demobilization Oversight.  Demobilization activities to be conducted by the PRP's
                 constructor include consolidating and storing materials, decontaminating personnel and
              "   equipment, and maintaining a secure waste storage/staging area.
                 (i)  Removal of Temporary Facilities
                 (2)  Site Restoration
              ",:   .':.:             '        '                      „          :        ,  j
    .3.2  Perform Field Investigation Oversight. Field activities that require oversight include site
          reconnaissance,  data acquisition of air, groundwater, surface water, and other environmental media
                                                   12
Model RA Oversight SOW (6/95)

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         samples, as well as the characterization, management and disposal of investigation-derived wastes
         (IDW).  The contractor shall ensure the proper collection and management of samples acquired by
         the PRP, including accurate chain-of-custody (COC) procedures for sample tracking, protective
         sample-packing techniques, and proper sample-preservation techniques.  Ensure that the PRP
         characterizes and disposes of investigation-derived wastes in accordance with local, State and
         Federal regulations as specified in the FSP (see the Fact Sheet Guide to Management of
         Investigation-Derived Wastes, 9345.3-03FS, January 1992).
The WAM/RPM should specify the expected written and/or photographic documentation to be recorded
in the field. The WAM/RPM also should specify the type of field activity reports expected by the
WAM/RPM, the frequency, and the required distribution (WAM/RPM, State representative, etc.).
         .3.2.1 Perform Site Reconnaissance Oversight
                (1)  Ecological Resources Reconnaissance
                (2)  Well Inventory
                (3)  Residential Well Sampling
                (4)  Land Survey
                (5)  Topographic Mapping
                (6)  Field Screening

         .3.2.2 Perform Geological Investigations Oversight - Soils and Sediments

         .3.2.3 Perform Air Investigations Oversight

         .3.2.4 Perform Hydrogeological Investigations Oversight - Groundwater
                (1)  Well Systems Installation
                (2)  CLP Sample Collection
               1 (3)  Screening Sample Collection. A screening sampling event can consist of temporary
                     sampling points to estimate the approximate distribution and range of contaminant
                     concentrations.  CLP sampling can then be performed after the screening event to
                     confirm specific concentrations.  Screening techniques include temporary piezometers,
                     well points,  and direct push technology (DPT) sampling techniques such as piezocones,
                     resistivity cones, groundwater samplers, and soil gas samplers.
                (4)  Tidal Influence  Study
                (5)  Hydraulic Tests (Pump Tests)
                (6)  Groundwater Elevation Measurement

         .3.2.5 Perform Hydrogeological Investigations Oversight - Surface Water

         .3.2.6 Perform Waste Investigation Oversight

         .3.2.7 Perform Geophysical Investigation Oversight

         .3.2.8 Perform Ecological Investigation Oversight

         .3.2.9 Perform Contaminated Building Samples Oversight

         .3.2.10 Perform Disposal of Investigation-Derived Wastes Oversight

         .3.2.11 Prepare Data Acquisition Oversight Reports
                                                 13                   Model RA Oversight SOW (6/95)

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  f':!  '!
8.4  Analysis of Split Samples

     .4.1  Perform Screening-type Laboratory Sample Analysis
  The contractor shall request appropriate analytical services to match those being used by the PRP's RA
  constructor. Using the same level of analysis will provide the data required to perform an accurate quality
  comparison. The contractor should reference the procedures outlined in the User's Guide to the Contract
  Laboratory Program, EPA, December 1986. Frequently, the PRP's RA constructor will use EPA Level II
  analytical reporting using non-CLP methods for this task; the RA oversight contractor should use the same
  level of analysis.
           .4.1.1 Analyze Air and Gas Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry

           .4.1.2 Analyze Groundwater Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry

           .4.1.3 Analyze Surface water Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry

           .4.1.4 Analyze Soil and Sediment Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry

           .4.1.5 Analyze Waste (Gas) Samples
                  (1)  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry

           .4.1.6 Analyze Waste (Liquid) Samples
                  (1)  Organic
                  (2J  Inorganic
                  (3)  Radiochemistry

           .4.1.7 Analyze Waste (Solid) Samples
                  (l|  Organic
                  (2)  Inorganic
                  (3)  Radiochemistry
                i ji1  i, :;iiii
           .4.1.8 Analyze Biota Samples
                  (1)  Organic
                       Inorganic
                       Radiochemistry

           .4.1.9 Analyze Bioassay Samples
                                                   14
Model RA Oversight SOW (6/95)

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          .4.1.10     Perform Bioaccumulation Studies

    .4.2   Perform CLP-type Laboratory Sample Analysis
The contractor shall request appropriate analytical services to match those being used by the PRP's RA
constructor. Using the same level of analysis will provide the data required to perform an accurate quality
comparison.  The contractor should reference the procedures outlined in the User's Guide to the Contract
Laboratory Program, EPA, December 1986.  Typically, the PRP's RA constructor will be using EPA
Level IV analytical reporting using CLP methods for this task; the RA oversight contractor should use the
same level of analysis.
         .4.2.1 Analyze Air/Gas Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.2 Analyze Groundwater Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.3 Analyze Surface water Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.4 Analyze Soil and Sediment Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.5 Analyze Waste (Gas) Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.6 Analyze Waste (Liquid) Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.7 Analyze Waste (Solid) Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.8 Analyze Biota Samples
                (1)  Organic
                (2)  Inorganic
                (3)  Radiochemistry

         .4.2.9 Analyze Bioassay Samples



                                                 15                    Model RA Oversight SOW (6/95)

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           .4.2.10     Perform Bioaccumulation Studies
                                                                                  j
8.5  Analytical Support and Data Validation of Split Samples
                                                                                  i
     The contractor shall collect split (or duplicate) samples of samples collected by the PRP's RA constructor,
     and shall arrange for the analysis and validation of those samples.  The contractor's split samples are to be
     compared to samples collected by the PRP's RA constructor to assess the validity of the RA constructor's
     Sampling program. The sample collection, analysis, and validation task begins with reserving sample slots
     in the CLP, and ends with the contractor's data validation letter report.
  1.   Sample collection procedures, analytical methods, and EPA reporting levels for the contractor's split
       samples should be consistent with the procedures, methods, and levels being used by the PRP's RA
       constructor.

  2.   For RA oversight purposes, full data validation procedures are usually not necessary.  The
       WAM/RPM may want to specify the level of data validation required.

  3.   The WAM/RPM should specify the format for submissions if there are Region-specific or other
       requirements.
      .5.1  Prepare and Ship Environmental Samples.  The contractor shall properly collect and manage split
           samples in the field, and arrange for appropriate shipment to the designated laboratory.  The
           contractor shall follow the procedures specified in the contractor's SAP, FSP, QAPP, and HASP
           for proper sample preservation and protective sample packing, and then ship via an overnight carrier
           to the designated laboratory.

           .5.1.1 Groundwater Samples
           .5.1.2 Surface and Subsurface Soil Samples
           .5.1.3 Surface water and Sediment Samples
           .5.1.4 Air Samples
           .5.1.5 Biota Samples
           .5.1.6 Other Types of Media Samples

      .5.2  Coordinate With Appropriate Sample Management Personnel.  The contractor shall arrange
           shipment and delivery schedules with the appropriate sample management personnel and provide any
           clarification on the data collection procedures that may be required.

      .5.3  Implement EPA-Approved Laboratory QA Program. The contractor shall ensure the QA/QC
           protocols, as specified in the QAPP, are followed.

      .5.4  Provide Sample Management (COC, sample retention, and data storage).  The contractor shall
           follow accurate COC procedures for sample tracking.

      .5.5  Perform Data Validation. The contractor shall perform appropriate data validation to ensure that
           the data are accurate and defensible. The contractor shall review the appropriate laboratory data
           packages according to the protocols specified in the contractor's RA Oversight Work Plan and
           complete the necessary summary tables, validation worksheets, and DQO summary forms.  The
           contractor shall prepare and submit a data validation letter report within 21 calendar days of receipt
           of the analytical results.
               -ill   11,                                         •.                    I

           .5.5.1 Review Analysis Results Against Validation Criteria
           .5.5.2 Provide Written Documentation of Validation Efforts
                                                    16
Model RA Oversight SOW (6/95)

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8.6  Data Evaluation of Split Samples

     This task involves comparison of the PRP's data that is collected during the RA with data resulting from
     the analysis of split samples collected by the contractor during RA oversight.  Data evaluation begins with
     the receipt of analytical data from the data acquisition task and ends with the submittal of a Data
     Evaluation Summary Report. Specifically,  the contractor shall compare, evaluate, interpret, and tabulate
     data in an appropriate presentation format for final data tables.
  1.    The WAM/RPM should specify the format for submissions if there are Region-specific or other
       requirements.

  2.    The WAM/RPM should specify that the contractor prepare and submit a Technical Memorandum to
       the WAM/RPM if new analytical data needs or significant data problems are identified during the
       evaluation.
     .6.1  Data Useability Evaluation and Field QA/QC.  The contractor shall review the data collected and
           the QA/QC protocols to evaluate if the data are appropriate for the intended use.

     .6.2  Data Reduction, Tabulation, and Evaluation. The contractor shall evaluate, interpret, and tabulate
           data in an appropriate presentation format for analysis.  The contractor shall design and set up an
           appropriate database  for pertinent information collected that will be used to validate the RA.  Data
           management should be performed according to  the contractor's Data Management Plan.

           .6.2.1  Evaluate Geological Data - Soils and Sediments
           .6.2.2  Evaluate Air  Data
           .6.2.3  Evaluate Hydrogeological Data - Groundwater
           .6.2.4  Evaluate Hydrogeological Data - Surface Water
           .6.2.5  Evaluate Waste Data
           .6.2.6  Evaluate Geophysical Data
           .6.2.7  Evaluate Ecological Data

     .6.3  Modeling. The contractor shall perform limited and focused computer modeling of data (e.g., air
           monitoring data) to facilitate data evaluation and interpretation.

           .6.3.1  Contaminant  Fate and Transport
           .6.3.2  Water Quality
           .6.3.3  Groundwater
           .6.3.4  Air
           .6.3.5  Other Modeling

     .6.4  Develop Data Evaluation Report.  The contractor  shall evaluate and present results in a Data
           Evaluation Summary  Report to submit to the WAM/RPM for review and approval. The report will
           include a comparison between the contractor's split sample data and  the PRP's data, will provide an
           assessment of this comparison, and will identify any  actions required.  After the WAM/RPM's
           review, attend a meeting with EPA to discuss data evaluation results and next steps.
                                                  17                    Model RA Oversight SOW (6/95)

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      p
    8.7  Review of PRP Documents
      Task 6.1.1.6 in the WBS is "Review of PRP Plans," which is intended to include the review of upfront,
      generic project plans, such as the SAP, FSP, QAPP, and HASP.  This task (Task 6.7) is intended to
      include the review of updates, amendments, or modifications to the upfront plans, as well as the review of
      detailed construction plans,  specifications, and related submittals.
      !||li;:|fl:  i   ' ,' I, i  i1 Hlll'i,!,  !l"'jTi'|i|  ' '''' '. '  ''"'' '''   ''	'' "':'   ''''  ' '"'  ' "''" " "I1 ' '  i'''! ' " '   '' i1''."!1 'i ' ••'. "ii'1   '' ''I"'!'1 	  i " '  '•!!  . If '   '   i   ''I11       .'    '
         This task involves work efforts to review detailed construction plans and related documents prepared by
         the PRP's RA constructor. In addition to the review of project plans (e.g.,  SAP, FSP, QAPP, HASP)
         Under TasO.1.1.6,  the RA oversight contractor shall perform reviews as directed by the WAM/RPM.
         The following factors are to be considered during the review of PRP submittals:
      " ,'•  •      •   Jiw i   n'ii'iiK'i  '.  :   '•'  i   • ,!,''• ii,   ,   " •    " ' liii, i ' '         M .1," '  ','Hi ii- .•  " ifli'i"!*    ,' , ij  j H    '  i, •   i1' '      f!
         •     Technical requirements of the ROD, Unilateral Administrative Order  (UAO), Administrative Order
               of Consent (AOC), CD, and compliance with ARARs
         •     Standard professional engineering practices
         •     Applicable statutes, EPA policies, directives and  regulations
         •     Spot checking design calculations to assess accuracy and quality of design activities
         •     Examination of planning and construction schedules for meeting project completion goals
      ""'.',,,     . ,  ,' ,'"""   . ","„!         .   '   . „                        .    .   .   "I	  j ,    ,
         The contractor shall  review the planning, construction,  and implementation documentation as directed by
         the WAM/RPM to ensure professional quality, technical accuracy, and compliance with the  ROD and CD,
         CERCLA guidance,  and ARARs.  Specific documents to be reviewed include the PRP's  RA Work Plan,
         Construction QAPP  (CQAP), cut sheets, material lists,  equipment lists and specifications, operation and
         maintenance plans, and updates or modifications to the  upfront project plans (e.g., SAP,  FSP, QAPP,
         HASP).
      :  ,  •     '    ••'•   '::;;                :            ,.             •   •   '   ]•       '  I      "   '-
         .7.1  Not used - Review of PRP Remedial Design Documents
      Task 6.7.1 hi the WBS is "Review PRP Remedial Design Documents." Because RD documents should be
      provided to the contractor to review under Task 6.1.1.3, this task is not likely to be required.
         .7.2  Review of PRP Remedial Action Documents.  The contractor's review of PRP documents should be
               focused on the technical and engineering aspects of the detailed construction-related submittals.
               Letter reports shall be submitted upon the completion of each review by the contractor within 21
               calendar (lays of the start of the review, identifying specific issues and suggested revision or other
               action.

               .7.2.1  Site Management for Construction
               .7.2.2  PRP's Remedial Action Work Plan
               .7.2,3  O&M Manual
               ,7.2.4  Remedial Action Report
               .7.2.5  As-build Drawings
               .7.2 6  Construction QAPP
               .7.2.7  Construction QA Reports
                                                        18
Model RA Oversight SOW (6/95)
iii, <; ,i .  , iitiii	.In;	i	ivihinlii!	IJl^	; iiiiiiiii ,! i	iiui	,.i	Si	,.-nt Jii: iL	a . i:;n	i,.;	i'riiiiviilfait 1,;. i. ,.:,,iiK	i	.,,1. iliiiiil'ii.^	liiiiik       '.:;;	:, ,iili l,i.:iBii.i,:, illiiliili.J;1,,.. iaiiii!,i,i,i.;	H.	i; njlii ..i,, lai liij	I	iJlliililir liliiit	,...ifc	ill I

-------
 8.8   Remedial Action Oversight
  This task is intended to include general field oversight of the PRP's RA constructor during construction and
  implementation of the RA. This task is separate from other field tasks to be performed under the SOW
  (e.g., mobilization/demobilization oversight and data collection oversight).  Field observations, recordings,
  photographs, and other compliance-related oversight activities are to be performed under this task.
      This task includes work efforts to provide technical field oversight of PRP RA activities to ensure that
      construction and implementation is performed in accordance with RD plans, specifications, and the CD.
      Oversight activities include observing and recording compliance with specific aspects of project plans and
      design documents, photographing major field activities, maintaining a daily field notebook, and providing
      reports to the WAM/RPM.  The contractor's Oversight Official should coordinate with the PRP's
      Independent QA Team and communicate and report to the WAM/RPM according to an agreed-upon
      schedule.
      .8.1  On-site Oversight of Construction
  The WAM/RPM must define the appropriate level of oversight needed.  For example, will oversight be
  continuous over a long period or are short visits appropriate, will overnight stays be required, and is one
  person adequate to oversee the whole RA?
      .8.2  Periodic RA Oversight Reports
  The appropriate frequency and level of detail must be specified (i.e., whether the reports are to be weekly
  or periodic, whether the content is to be short and informal or very detailed).
      .8.3  Participation in Remedial Action Meetings

           .8.3.1  EPA Regional Office Meeting
           .8.3.2  On-site Meetings

8.9  Technical Meeting Support

     This task includes work efforts related to attendance at and documentation of meetings with EPA, PRPs,
     PRP constructors and contractors, and state and local regulatory agencies.  The contractor shall attend
     meetings and provide documentation of meeting results.  Within 7 days after a meeting, the contractor will
     submit to the WAM/RPM a written report summarizing the meeting results.  Meetings may be scheduled
     to coincide with the following specific milestones during the RA:

     •     Review of PRP RA Work Plan
     •     PRP preconstruction conference
     •     Technical progress meetings between the PRP constructor and the Independent QA Team
     •     Kick-off, progress, and completion of any confirmatory (split) sampling
     •     Prefinal/final inspections
                                                  19                    Model RA Oversight SOW (6/95)

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8.10 Work Assignment Closeout
  :::,:           ',                  .   ..                 .            ,     .  .    ;    I      . .   '        ,;   ;
  ,  „                                                '                    " ,         |j
     .10.1 Retupi Documents to Government

                ill       '      ''   I''1            ,                ! '     I"  'I''      II          !,        ,11   '
     .10.2 Duplicate, Distribute, and Store Files
               • '.'  •:-.    ,'            ':            "      '    .   '   "  .   :".' ',',':!
     .10.3 Archive Files                                                          '

  ;;':" 	i;	  "••'       •         " '    :      ' •  •     '    '   '   '•    ';' '  '    '  |   '      ••'•     '"   '
     .10.4 Prepare Microfiche, Microfilm, and/or Optical Disk


     ,10.5 Prepare Closeout Report.  The contractor shall include a breakdown on disk of final costs and Level
           of Effort (by P-level) hi the same detail and format as the Work Breakdown Structure (Attachment
               '"
                                                   20
Model RA Oversight SOW (6/95)

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                           ATTACHMENT 1
SUMMARY OF MAJOR DELIVERABLES FOR THE REMEDIAL ACTION OVERSIGHT AT
                           	(SITE)
TASK
1.1.2
1.1.5
1.1.5
1.1.6
1.1.6
1.2.2
1.2.2
1.2.3
1.2.3
1.3.1
1.3.2
2.1.2
2.1.2
DELIVERABLE
Site Visit Letter Report
Draft RA Oversight
Work Plan
Final RA Oversight
Work Plan
Draft Technical
Memoranda Summarizing
Review of Upfront PRP
Plans
Final Technical
Memoranda Summarizing
Review of Upfront PRP
Plans
Draft Health and Safety
Plan (HASP)
Final HASP
Draft Sampling and
Analysis Plan (SAP)
Final SAP
Status Reports
Technical Memoranda
Summarizing Meeting
Results, Project Status,
and Non-Compliance
Issues
Draft Community
Relations Plan (CRP)
Final CRP
REF
NO.













NO. OF
COPIES
3
3
3
3
3
3
3
3
3
3
3
3
3
DUE DATE
(Calendar Days)
10 days after site visit
45 days after initiation
of work assignment
(WA)
15 days after receipt
of EPA comments
30 days after initiation
ofWA
10 days after receipt
of EPA comments
21 days after approval
of RA Work Plan
10 days after receipt
of EPA comments
21 days after approval
of RA Work Plan
10 days after receipt
of EPA comments
Monthly and as
directed by WAM
As required
14 days after
completion of
community interviews
7 days after receipt of
EPA comments
EPA REVIEW
PERIOD
7 days after
receipt of report
30 days after
receipt of work
plan
NA
14 days after
receipt of
memoranda
NA
14 days after
receipt of plan
NA
14 days after
receipt of plan
NA
NA
NA
7 days after
receipt of draft
CRP
NA
                                 21
Model RA Oversight SOW (6/95)

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5.5
6.4
6.4
7.2
7.2
8.2
8.2
9.0
9.0
Data Validation Letter
Report
Draft Data Evaluation
Summary Report
Final Data Evaluation
Summary Report
Draft Letter Report
Summarizing Review of
PRP RA Documents
Final Letter Report
Summarizing Review of
PRP RA Documents
Draft RA Oversight
Reports
Final RA Oversight
Reports
Draft Technical
Memoranda Summarizing
Meeting Results
Final Technical
Memoranda Summarizing
Meeting Results









3
3
3
3
3
3
3
3
3
21 days after receipt
of analytical results
from laboratory
45 days after receipt
of analytical results
from laboratory
7 days after receipt of
EPA comments
21 days after receipt
of PRP document
from EPA
10 days after receipt
of EPA comments
As required
7 days after receipt of
EPA comments
7 days after attendance
at meeting(s)
7 days after receipt of
EPA comments
NA
14 days after
receipt of report
NA
14 days after
receipt of letter
report
NA
As required
NA
10 days after
receipt of
memoranda
NA
                                                                                             22
Model RA Oversight  SOW (6/95)
jiatiliis •Hi ill  ..... : it; , , msi ...... liji iii.:,.-!] ..... laulS ililllill ..... Jillll,ii.ii, ; ..... lilii^^  ....... I; .......... liilinni ' . ...... IliiliHiu -»,.- "ifv;.i! in ...... :ii.. 'i ....... iiiiiiii.'il ..... Hi ........ In. .......... i'*l ..... lir iiiiliiillii - ....... 11181*- .Bias; ...... maitm i j.
                                                                                                                                             ..... i ..... i> ..... IM,I ai.i ...... i . ;• .................... • ....... i.i.1, ,„ i. ; ..... ..... ................ .1 ..... i .................................. i. ......

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                                            Attachment 2
                                Work Breakdown Structure (WBS) for
                                     Remedial Action Oversight

8.0  Remedial Action Oversight

     .01   Project Planning and Support

           .01     Project Planning
                  .01 Attend Scoping Meeting
                  .02 Conduct Site Visit
                  .03 Evaluate Existing Information
                  .04 Develop Technical Project Goals & Objectives
                      .01 Not Used - Develop Conceptual Site Model
                      .02 Preliminary ID of Project Requirements
                          .01     Data  Needs & DQOs
                          .02     Not Used - RA Objectives & Potential Alternatives
                  .05 Work Plan Development
                      .01 Draft Work Plan Development
                          .01     Develop Narrative
                          .02     Develop Cost Estimate
                          .03     Internal QA & Submission
                      .02 Final  Work Plan Preparation
                          .01     Attend Negotiation Meeting
                          .02     Modify Draft Work Plan/Cost Estimate
                          .03     Internal QA & Submission
                  .06 Review of PRP Plans
                      .01 Review  PRP Site Management Plan
                          .01     Review PRP Pollution Control and Mitigation Plan
                          .02     Review PRP Transportation and Disposal Plan
                      .02 Review  PRP Health and Safety Plan
                      .03 Review  PRP Sampling & Analysis Plan
                          .01     Review PRP Quality Assurance Project Plan
                          .02     Review PRP Field Sampling Plan
                          .03     Review PRP Data Management Plan
                      .04 Other  PRP Plan(s)

           .02     Preparation of Site Specific Plans
                  .01 Not used
                  .02 Develop Health & Safety  Plan
                  .03 Sampling &  Analysis Plan (Chemical Data Acquisition Plan)
                      .01 Quality  Assurance Project Plan
                      .02 Field  Sampling Plan
                      .03 Data Management Plan
                  .04 Other Plan(s)

           .03     Project Management
                  .01 Prepare Periodic Status Reports
                      .01 Document Cost and Performance Status
                      .02 Prepare/Submit Invoices
                  .02 Meeting Participation/Routine Communications
                  .03 Not Used  - Maintain Cost/Schedule Control System
                  .04 Not Used  - Perform Value Engineering
                  .05 Not Used  - Perform Engineering Network Analysis
                  .06 Not Used  - Manage, Track, and Report Equipment Status
                  .07 Work Assignment Closeout

           .04     Subcontract Procurement/Support Activities
                  .01 ID'and Procurement of Subcontractors
                                                 23                   Model RA Oversight SOW (6/95)

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                                    .01 Not Used - Drilling Subcontractor
                                    .02 Not Used - Surveying Subcontractor
                                    .03 Not Used - Geophysical Subcontractor
                                    .04 Not Used - Site Preparation Subcontractor
                                    .05 Analytical Services Subcontractor(s)
                                    .06 Not Used - Waste Disposal Subcontractor
                                    .07 Not Used - Treatability Subcontractor(s)
                                    .08 Other(s)
                               .02  Contractor QA/QC Program
                               .03  Perform Subcontract Management
i >}        ' '      ,            i :,,   ' !'#|:!  '                                          ,       fl- ,    '  .
                  .02   Community Relations

                        .01    Community Relations Plan (CRP) Development
                               .61  Conduct Community Interviews
                               .02  Update CRP
                                    .01 Draft CRP
                                    .02 Final CRP
                        .02    Prepare Fact Sheets
                        .03    Public Hearing, Meetings, & Availability Support
                               .01  Technical Support
                               .02  Logistical & Presentation Support
                               .03  Public Notice Support (writing, or placement of)
                        .04    Maintain Information Repository/lVfailing List

                  .03   Data Acquisition Oversight

                        .01    Mobilization/Demobilization Oversight
                               .01  ID Field Support Equipment/Supplies/Facilities
                               .6|  Mobilization
                                    .01 Not Used - Site Preparation
                                    .02 Installation of Utilities
                                        .01    Install Electrical Distribution
                                        .02    Install Telephone/Communication System(s)
                                        .03    Install Water/Sewer/Gas Distribution
                                        .04    Install Fuel Line Distribution
                                    .03 Construction of Temporary Facilities
                                        .01    Construct Decontamination Facilities
                                        .02    Construct Sample/Derived Waste Storage Facility
                                        .03    Construct Field Offices
                                        .04    Construct Mobile Laboratory
                                        .05    Construct Other Temporary Facilities
                               .03  Demobilization Oversight
                                    .01 Removal of Temporary Facilities
                                    .02 Site Restoration

                        .02    Field Investigation Oversight
                               .01  Site Reconnaissance Oversight
                                    .01 Ecological Resources Reconnaissance
                                    .02 Well Inventory
                                    .03 Residential Well Sampling
                                    .04 Land Survey
                                    .05 Topographic Mapping
                                    .06 Field Screening
                               .02 Geological Investigations (Soils/Sediments) Oversight
                               .03 Air Investigations Oversight
                               .04 Hydrogeological Investigations Oversight - Groundwater
                                    .01 Well Systems Installation
                                    .02 CLP Sample Collection
                                    .03 Screening Sample Collection
                                                                24                    Model RA Oversight SOW (6/95)
                                                                                             	i	

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                  .04 Tidal Influence Study
                  .05 Hydraulic Tests (Pump Tests)
                  .06 Groundwater Elevation Measurement
             .05   Hydrogeological Investigations Oversight — Surface Water
             .06   Waste Investigation Oversight
             .07   Geophysical Investigation Oversight
             .08   Ecological Investigation Oversight
             .09   Contaminated Building Samples Oversight
             . 10   Disposal of Investigation-Derived Waste Oversight
             . 11   Prepare Data Acquisition Oversight Reports

.04   Sample Analysis of Splits

      .01     Screening Type Laboratory Sample Analysis
             .01   Analyze Air/Gas Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .02   Analyze Groundwater Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .03   Analyze Surface Water Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .04   Analyze Soil/Sediment Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .05   Analyze Waste (Gas) Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .06   Analyze Waste (Liquid) Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .07   Analyze Waste (Solid) Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .08   Analyze Biota Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .09   Analyze Bioassay Samples
             . 10   Perform Bioaccumulation Studies
      .02     CLP-Type Laboratory Sample Analysis
             .01   Analyze Air/Gas Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .02   Analyze Groundwater Samples
                  .01 Organic
                  .02 Inorganic
                  .03 Radiochemistry
             .03   Analyze Surface Water Samples
                  .01 Organic
                  .02 Inorganic
                                             25                   Model RA Oversight SOW (6/95)

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                    .03  Radiochemistry
               .04  Analyze Soil/Sediment Samples
                    .01  Organic
                    .02  Inorganic
           > ;;j    ilj  .03  Radiochemistry
               .05  Analyze Waste (Gas) Samples
            •v;  :J  .01  Organic'                                              "	       "     '
                    .02  Inorganic
                    .03  Radiochemistry
               .o|  Analyze Waste (Liquid) Samples
             jp:   "s!  .01  Organic'
                    .02  Inorganic
                    ,03  Radipchemistry
               .6?  Analyze Waste (Solid) Samples
                    .01  Organic
                    .02  Inorganic
                    .03  Radiochemistry
               .08  Analyze Biota Samples
                    ,01  Organic
                    .02  Inprganic
                    .03  Radiochemistry
               .09  Analyze Bioassay Samples
               .10  Perform Bioaccumulation Studies

   .05   Analytical Support and Data Validation of Split Samples
        .01    Prepare and Ship Environmental Samples
               .01  Groundwater Samples
               .02  Surface and Subsurface  Soil Samples
               .03  Surface Water  & Sediment Samples
               .04  Air Samples
               .05  Biota Samples
               .06  Other types of media sampling and screening
        .02    Coordinate with appropriate Sample Management personnel
        .03    Implement EPA-approved Laboratory QA program
        .04    Provide Sample Management (Cham of Custody, sample retention, & data storage)
        .05    Pe|form  Data Validation
               .01  Review analysis results  against validation criteria
               .02  Provide written documentation of validation efforts
                                                                           '  1      '
   .06  Data Evaluation  of Split Samples
        .01    Data Useability Evaluation/Field QA/QC
        .02    Data Reduction, Tabulation and Evaluation
               .01  Evaluate Geological Data (Soils/Sediments)
               .02  Evaluate Air Data
               .03  Evaluate Hydrogeological Data—Groundwater
               .04  Evaluate Hydrogeological Data—Surface Water
               .05  Evaluate Waste Data
                .06  Evaluate Geophysical Data
                .07  Evaluate Ecological Data
         .03    Modeling
                ,01  Contaminant Fate and Transport
                ,02  Water Quality
                .03  Groundwater
''             -'  .04  Air
                .05  Other Modeling
         .04     Develop Data Evaluation Report

   ,07   Review of PRP  Documents

         .01     Not Used - Review PRP Remedial Design Documents

                                               26                    Model RA Oversight SOW (6/95)

-------
             .01  Not Used - Review Preliminary Design
             .02  Not Used - Review Intermediate Design
             .03  Not Used - Review Pre-Final/Final Design

      .02     Review PRP Remedial Action Documents

             .01  Site Management Plan for Construction
             .02  Remedial Action Work Plan
             .03  O&M Manual
             .04  Remedial Action Report
             .05  As Built Drawings
             .06  Construction QAPP
             .07  Construction QA Reports

.08   Remedial Action Oversight

      .01     On-Site Oversight of Construction
      .02     Periodic RA Oversight Reports
      .03     Participation in Remedial Action Meetings
             .01  Region Office Meetings
             .02  On-Site Meetings

.09   Technical Meeting Support

. 10   Work Assignment Close Out

      .01     Return Documents  to Government
      .02     File Duplication/Distribution/Storage
      .03     File Archiving
      .04     Microfiche/Microfilm/Optical Disk
      .05     Prepare Closeout Report
                                           27                   Model RA Oversight SOW (6/95)

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                                         Attachment 3
                           Regulations and Guidance Documents

The following list, although not comprehensive, comprises many of the regulations and guidance documents that
apply to the RD process:
1.  American National Standards Practices for Respiratory Protection. American National Standards Institute
    Z88.2-1980, March 11, 1981.
2.  ARCS Construction Contract Modification Procedures September 89, OERR Directive 9355.5-01/FS.
3.  CERCLA Compliance with Other Laws Manual, Two Volumes, U.S. EPA, Office of Emergency and
    Remedial Response, August 1988 (DRAFT), OSWER Directive No. 9234.1-01 and -02.
4.  Community Relations in Superfund — A Handbook, U.S. EPA, Office of Emergency and Remedial
    Response, June 1988, OSWER Directive No. 9230.0-3B.
5.  A Compendium of Superfund Field Operations Methods, Two Volumes, U.S.  EPA, Office of Emergency
    and Remedial Response, EPA/540/P-87/001a, August 1987, OSWER Directive No. 9355.0-14.
6.  Construction Quality Assurance for Hazardous  Waste Land Disposal Facilities, U.S. EPA, Office of Solid
    Waste and Emergency Response, October 1986, OSWER Directive No. 9472.003.
7,  Contractor Requirements for the Control and Security of RCRA Confidential Business Information, March
    1984.
8.  Data Quality Objectives for Remedial Response Activities, U.S. EPA, Office of Emergency and Remedial
    Response and Office of Waste Programs Enforcement, EPA/540/G-87/003, March  1987, OSWER
    Directive No.  9335.0-7B.
9.  Engineering Support Branch Standard Operating Procedures and Quality Assurance Manual, U.S.  EPA
    Region IV, Environmental Services Division, April 1, 1986 (revised periodically).
10. EPA NEIC Policies and Procedures Manual, EPA-330/9-78-001-R, May 1978, revised November 1984.
11. Federal Acquisition Regulation, Washington, DC:  U.S. Government Printing Office (revised periodically).
12. Guidance for Conducting Remedial Investigations and Feasibility Studies Under CERCLA, Interim Final,
    U.S. EPA, Office of Emergency  and Remedial Response, October 1988, OSWER Directive NO.
  *' 9355.3"-01. 	"
13. Guidance on EPA Oversight of Remedial Designs and Remedial Actions Performed by Potential
    Responsible Parties, U.S. EPA Office of Emergency and Remedial Response, EPA/540/G-90/001, April
    1990.
14. Guidance on Expediting Remedial Design and Remedial Actions, EPA/540/G-90/006, August 1990.
15~ Guidance on Remedial Actions for Contaminated Ground Water at Superfund Sites, U.S. EPA Office of
    Emergency and Remedial Response (DRAFT), OSWER Directive No. 9283.1-2.
16'. Guide for Conducting Treatability Studies Under CERCLA, U.S. EPA, Office of Emergency and Remedial
    Response, Prepublication version.
177" Guide to Management of Investigation-Derived Wastes, U.S. EPA, Office of Solid Waste and Emergency
    Response, Publication 9345.3-03FS, January 1992.
18^ Guidelines and Specifications for Preparing Quality Assurance Project Plans, U.S.  EPA, Office of Research
    and Development^ Cincinnati, OH, QAMS-004/80, December 29, 1980.
19. Health and Safety Requirements of Employees  Employed in Field Activities, U.S. EPA, Office of
    Emergency and Remedial Response, July 12, 1982, EPA Order No.  1440.2.
20. Interim Guidance on Compliance with Applicable of Relevant and Appropriate Requirements, U.S. EPA,
    Office of Emergency and Remedial Response,  July 9, 1987,  OSWER Directive No. 9234.0-05.
21.  Interim Guidelines and Specifications for Preparing Quality Assurance Project Plans, U.S. EPA, Office of
  ""Emergencyand"lemedial Response, QAMS-005/80, December 1980.
22"  Methods for Evaluating the Attainment of Cleanup Standards:  Vol. 1, Soils and Solid Media, February
     1989, EPA 23/02-89-042; vol. 2, Ground water (Jul 1992).
23.  National Oil and Hazardous Substances Pollution Contingency Plan; Final Rule, Federal Register 40  CFR
     Part 300, March 8, 1990.
24.  NIOSH Manual of Analytical Methods, 2nd edition. Volumes I-VII for the 3rd edition, Volumes I and II,
     National Institute of Occupational Safety and Health.
25.  Occupational Safety and Health Guidance Manual for Hazardous  Waste Site Activities, National Institute of
     Occupational Safety and Health/Occupational Health and Safety Administration/United States Coast
     Guard/Environmental Protection Agency, October 1985.
                                                 28                   Model RA Oversight SOW (6/95)

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26. Permits and Permit Equivalency Processes for CERCLA On-Site Response Actions, February 19, 1992
    OSWER Directive 9355.7-03.
27. Procedure for Planning and Implementing Off-Site Response Actions, Federal Register, Volume 50,
    Number 214, November 1985, pages 45933-45937.
28. Procedures for Completion and Deletion of NPL Sites, U.S. EPA, Office of Emergency and Remedial
    Response, April 1989, OSWER Directive No. 9320.2-3A.
29. Quality in the Constructed Project: A Guideline for Owners, Designers and Constructors, Volume 1,
    Preliminary Edition for Trial Use and Comment, American Society of Civil Engineers, May 1988.
30. Remedial Design/Remedial Action (RD/RA) Handbook, U.S. EPA, Office of Solid Waste and Emergency
    Response (OSWER) 9355.0-04B, EPA 540/R-95/059, June 1995.
31. Revision of Policy Regarding Superfund Project Assignments, OSWER Directive No. 9242.3-08,
    December 10, 1991.  [Guidance, p. 2-2]
32. Scoping the Remedial Design (Fact Sheet), February 1995, OSWER Publ. 9355-5-21 FS.
33. Standard Operating Safety Guides, U.S. EPA, Office of Emergency and Remedial Response, November
    1984.
34. Standards for the Construction Industry, Code of Federal Regulations, Title 29, Part 1926, Occupational
    Health and Safety  Administration.
35. Standards for General Industry, Code of Federal Regulations, Title 29, Part 1910, Occupational Health and
    Safety Administration.
36. Structure and Components of 5-Year Reviews, OSWER Directive No. 9355.7-02, May 23, 1991.
    [Guidance, p. 3-5]
37. Superfund Guidance on EPA Oversight of Remedial Designs and Remedial Actions  Performed by
    Potentially Responsible Parties, April 1990, EPA/540/G-90/001.
38. Superfund Remedial Design and Remedial Action Guidance, U.S. EPA, Office of Emergency and Remedial
    Response, June 1986, OSWER Directive No. 9355.0-4A.
39. Superfund Response Action Contracts (Fact Sheet), May  1993, OSWER Publ. 9242.2-08FS.
40. TLVs-Threshold Limit Values and Biological Exposure Indices for 1987-88, American Conference of
    Governmental Industrial Hygienists.
41. Treatability Studies Under CERCLA, Final.   U.S. EPA,  Office of Solid Waste and Emergency Response,
    EPA/540/R-92/071a, October 1992.
42. USEPA Contract Laboratory Program Statement of Work for Inorganic Analysis, U.S. EPA, Office of
    Emergency and Remedial Response, July 1988.
43. USEPA Contract Laboratory Program Statement of Work for Organic Analysis, U.S. EPA, Office of
    Emergency and Remedial Response, February 1988.
44. User's Guide to the EPA Contract Laboratory Program, U.S. EPA, Sample Management Office, August
    1982.
45. Value Engineering (Fact  Sheet), U.S. EPA, Office of Solid Waste and Emergency Response, Publication
    9355.5-03FS, May 1990.
                                                29                   Model RA Oversight SOW (6/95)

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AttachmeiQt 4
TRANSMITTAL OF DOCUMENTS FOR ACCEPTANCE BY EPA
TO:
SUBTASK NO.












DATE:
FROM:
DELIVERABLE












NO. OF
COPIES












TRANSMrrrAL NO.
1 	 1 New Transmittal
1 	 1 Resubmittal of
Transmittal No.

REMARKS












ACCEPTANCE ACTION
DOCUMENTS FOUND ACCEPTABLE (LIST BY SUBTASK NO.)
NAME/TITLE/SIGNATURE OF REVIEWER
DATE

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Attachment 5
TRANSMITTAL REGISTER
PROJECT TITLE AND LOCATION
Subtask No.














DELIVERABLE














•S J
d §•
Z u














«> a
3 rt
Q Q














CONTRACT NO.
Transmittal
No.














"8
S .>
c3 D
Q 8
OS














Date Comments
Sent to
Contractor














WORK ASSIGNMENT NO.
< | &
w §"Q














REMARKS















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!   i   I                      !!    I    H i

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Appendix F
"RD/RA Fact Sheets and Other Guidance
 *Fact sheets to be added by the RPMfor reference.

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;  :i  'at

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Suggested RD/RA Fact Sheets
    "ARCS Construction Contract Modification Procedures"
    OSWER Directive 9355.5-01/FS (September 1989)

    "Emergency Responder Agreements for Fund-Lead RAs"
    OSWER Directive 9285.6-08/FS (March 1994)

    "EPA Oversight of Remedial Designs and Remedial Actions Performed by PRPs"
    OSWER Directive 9355.5-01/FS (April 1990)

    "EPA/USACE Payment Process: Direct Cite/Revised Reimbursement Methods"
    OSWER Directive 9355.5-14/FS (May 1990)

    "Expediting Remedial Construction"
    OSWER Directive 9355.5-02/FS (October 1989)

    "Guide to Addressing Pre-ROD and Post-ROD Changes"
    OSWER Directive 9355.3-02/FS (April 1991)

    "Guide to Discharging CERCLA Aqueous Wastes to Publicly Owned Treatment Works (POTWs)"
    OSWER Directive 9330.2-13/FS (March 1991)

    "Guide to Management of Investigation-Derived Wastes"
    OSWER Directive 9345.3-02/FS (May 1991)

    "Health and Safety Roles and Responsibilities at Remedial Sites"
    OSWER Directive 9285.1-02/FS (July  1991)

    "Notification of Out-of-State Shipment of Superfund Site Wastes"
    OSWER Directive 9330.2-07/FS (May 1991)

    "Overview of Off-Site Rule for OSCs and RPMs"
    OSWER Directive 9834.11/FS (September 1993)

    "Procedure  for Use of USAGE Preplaced Contracts to Expedite Superfund Cleanup Tasks"
    OSWER Directive 9355.5-05/FS (April 1994)

    "Public Awareness Signs at Superfund Sites"
    OSWER Directive 9375.5-10/FS (October 1990)

    "Real Estate Acquisition Procedures for USAGE Projects"
    OSWER Directive 9355.5-01/FS (February 1990)

    "Remedial Action Report"
    OSWER Directive 9355.0-39/FS (June 1992)

    "Scoping the Remedial Design"
    OSWER Directive 9355.5-21/FS (March 1995)

    "Value Engineering"
    OSWER Directive 9355.5-03/FS (May 1990)
                                              F-1

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,        iliii  -

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Appendk G
                *State-Lead
 ^Materials to be added by the RPM as developed.

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Appendk H
           * Enforcement-Lead
 ^Materials to be added by the RPM as developed.

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Appendk I
      * Operations and Maintenance
  *Materials to be added by the RPM as developed.

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