United States  - —
            Environmental Protection
            Agency
            Of'co of Ermergoncy and
            Remedial Response
            Washington DC 20460
FPA 540 G-90
August 1990
            Superfund
xvEPA
Guidance on Expediting
Remedial Design and
Remedial Action

-------
                                            EPA/540/G-90/006
                                      OSWER Directive 9355.5-02
                                               August 1990
Guidance on Expediting Remedial Design
             and Remedial Action
                   U.S. Environmental Protection Agency
                       5. Library (PL-12J)
            Office of Emergency and Remedial Response
              U.S. Environmental Protection Agency
                   Washington, DC 20460

-------
                             NOTICE

     This  guidance was  developed  by  the U.  S.  Environmental
Protection  Agency's  Office of  Emergency and Remedial  Response,
Hazardous  Site  Control  Division.   It has been subjected  to the
Agency's review  process  and approved  for publication as  an EPA
document.

     The policies  set out in  this  document are  intended  solely
for the guidance of Government personnel.  They are not intended,
nor can they be  relied upon, to create any rights enforceable by
any party  in litigation with  the United States.   EPA officials
may decide  to  follow  the guidance provided in  this document, or
to act  at variance with the guidance,  based  on an  analysis of
specific site circumstances.   The Agency also  reserves the right
to change this guidance at any time without public notice.
                                 111

-------
                        TABLE OF CONTENTS
NOTICE	iii

TABLE OF CONTENTS	V

LIST OF FIGURES	vii

ACRONYMS USED IN THIS GUIDANCE	viii

CHAPTER 1  INTRODUCTION

     1.1  Purpose of this guidance	1
     1.2  Definitions of terms 	  1
     1.3  Overview of this guidance	1
     1.4  Applicability of this guidance 	  3
     1.5  Areas the guidance does not address  ....  3

CHAPTER 2  REMEDIAL MANAGEMENT STRATEGY

     2.1  Introduction 	  5
     2.2  Pre-design planning  	  5
     2.3  Expediting remedial design
          and remedial action  	  7
     2.4  Management considerations  	  7
     2.5  RMS report	10

CHAPTER 3  PHASING

     3.1  Introduction	11
     3.2  Criteria for phasing	11
          3.2.1  Phasing by availability of
                 existing information  	 11
          3.2.2  Phasing by type of waste	11
          3.2.3  Phasing by type of media involved .  . 12
          3.2.4  Phasing by technology requirements   . 12
          3.2.5  Phasing by funding availability ... 13
     3.3  Management considerations for phasing  ... 13

CHAPTER 4  FAST-TRACKING REMEDIAL DESIGN AND REMEDIAL ACTION
           WORK ELEMENTS

     4.1  Introduction	15
     4.2  Projects and remedial work elements
          most suited to fast-tracking	16
     4.3  Fast-tracking techniques 	 18

-------
     4.4  Suggestions to implement fast-tracking ... 20

CHAPTER 5  CONTRACTS AND SPECIFICATIONS

     5.1  Contract types	23
          5.1.1  Fixed-price type contracts	23
          5.1.2  Cost-reimbursement type contracts .  . 24
               5.1.2.1  Incentive type contracts ... 24
               5.1.2.2  Time and materials type
                        contracts	25
     5.2  Specifications	25
     5.3  Nature of the contract	26
          5.3.1  Construction	27
          5.3.2  Service	27
          5.3.3  Application	28

CHAPTER 6  PROCUREMENT STRATEGIES

     6.1  Introduction	31
     6.2  Sealed bidding	32
          6.2.1  Presolicitation	32
          6.2.2  Solicitation and receipt of bids  .  . 32
          6.2.3  Bid evaluation	32
          6.2.4  Award	33
          6.2.5  Advantages of sealed bidding  .... 33
     6.3  Negotiated procurement 	 33
          6.3.1  Presolicitation	34
          6.3.2  Solicitation and receipt of proposals 34
          6.3.3  Evaluation of proposals	34
          6.3.4  Discussions	35
          6.3.5  Best and final offers	35
          6.3.6  Source selection and award  	 35
          6.3.7  Advantages of negotiated procurement  36
     6.4  Two step sealed bidding	36
          6.4.1  TSSB step one	36
               6.4.1.1  Unacceptable proposals .... 37
               6.4.1.2   Proposals which are accept-
                         able, or susceptible to being
                         made acceptable	37
          6.4.2  Step two	37
          6.4.3  Advantages of two step sealed bidding 38
     6.5  Schedule impacts of procurement strategies . 38

CHAPTER 7  PHASING/FAST-TRACKING ANALYSIS

     7.1  Introduction	41
     7.2  Phasing analysis 	 41
     7.3  Fast-tracking analysis 	 44

                                 vi

-------
                         LIST OF FIGURES


Figure
Number    Figure Title                                 Page

2-1       Pre-design planning phase                     6

4-1       Phasing and fast-tracking versus traditional
          RD/RA                                        17

7-1       Phasing analysis                             42

7-2       Fast-tracking analysis                       45

7-3       Procurement                                  47
                                 Vll

-------
                 ACRONYMS USED IN THIS  GUIDANCE
ARCS   -  Alternative Remedial Contracting Strategy
BAFO   -  Best and Final Offer
BUREC  -  Bureau of Reclamation
CA     -  Cooperative Agreement
CBD    -  Commerce Business Daily
CERCLA -  Comprehensive  Environmental  Response,   Compensation,
          and Liability Act of 1980
CFR    -  Code of Federal Regulations
CO     -  Contracting Officer
CPM    -  Critical Path Method
DBA    -  Davis-Bacon Act
DOL    -  Department of Labor
EPA    -  Environmental Protection Agency
ERGS   -  Emergency Response Cleanup Services
GVS    -  Greatest Value Score
IFB    -  Invitation for Bids
OSWER  -  Office of Solid Waste and Emergency Response
PDTS   -  Predesign Technical Summary
PRP    -  Potentially Responsible Party
RA     -  Remedial Action
RD     -  Remedial Design
RFP    -  Request for Proposals
RFTP   -  Request for Technical Proposals
RI/FS  -  Remedial Investigation/Feasibility Study
RMS    -  Remedial Management Strategy
ROD    -  Record of Decision
RPM    -  Remedial Project Manager
SSC    -  State Superfund Contract
TSSB   -  Two Step Sealed Bidding
USAGE  -  U. S. Army Corps of Engineers
VE     -  Value Engineering
                                 Vlll

-------
                     CHAPTER 1  INTRODUCTION
1.1  PURPOSE OF THIS GUIDANCE

     This guidance examines ways  to expedite remedial design and
remedial  action  (RD/RA)  so  that  cleanup  activities  can  be
completed  more quickly.   It  is  intended for  use  by  remedial
project   managers,  remedial  design   contractors,   and  others
involved in planning  remediation  activities.  It  should be used
as a means to evaluate whether a project is suited for expediting
and to determine the methods that could be used.   The guidance is
intended as a management approach, not a "cookbook," for planning
projects.   Each project  is  unique, and  the approach  should be
tailored accordingly.

     In  "A  Management  Review of  the Superfund Program,"  or the
Ninety  Day Study,  Administrator  Reilly  emphasized  a  bias  for
action at  Superfund  sites.  The  National Contingency  Plan also
emphasizes a bias for actions which eliminate, reduce, or control
site hazards as early  as possible.   This  guidance emphasizes the
same bias—expediting  cleanups.   It is a  complementary guidance
to OSWER Directive 9355.3-06,  "RI/FS  Improvements,  Streamlining
Recommendations."

     Application  of  the  concepts  in  this  guidance should  not
significantly increase the remedial project  managers' workloads.
It  may,   however,   increase  the   remedial  design  and  remedial
action contractors' workloads  to incorporate and  coordinate the
approaches.


1.2  DEFINITIONS OF TERMS

     The following terms are used in this  guidance:

     Project - A remedy  described in the  Record  of Decision that
     must be accomplished.   It may be the remedy  for  an entire
     site or an operable unit.

     Remedial work  element -  A  portion  of  a  project  that  has
     been broken  out  through phasing.  This will  be a separate
     contract package  for procurement of  remedial  design work
     elements as well  as remedial  action work elements.

     Steps  -  The  individual pieces or  activities  required to
     complete  each  remedial  work element.     The  steps  are
     manipulated to fast-track the element.

-------
1.3  OVERVIEW OF THIS GUIDANCE

     Chapter  2  discusses  the Remedial  Management  Strategy,  or
RMS, which  is a  planning  document for  the  remedial design  and
remedial   action.    Careful  RD/RA  planning  is   critical   to
successful execution of  a  project.   The RMS, which  is  typically
prepared  by  the  Remedial  Project  Manager,   is   a  systematic
consideration of  the components  of remedial  design  and  remedial
action.  The resultant document is a road map for the design  of a
project.

     As  part of the  RMS,  the  RPM,  in  conjunction  with   the
designer,  should consider phasing, which  is covered  in Chapter 3.
Through phasing,  a project is divided into separate  remedial  work
elements  that can be  implemented on different  schedules.    The
chapter discusses criteria for phasing and management issues  that
should be considered.

     Once phasing is determined,  Chapter  4 discusses how to fast-
track  the individual remedial  work element.   Steps  in the  RD
process  can  be  eliminated  or  rearranged   to accelerate   the
overall schedule.    Techniques  to  analyze  a project for fast-
tracking  are discussed   in  detail  as  well  as the  suggested
approach.

     Chapter  5 deals with  types  of  contracts  and specifications.
The  two  primary  contract   types  are   fixed-price  and  cost-
reimbursement,  with   variations   within  these   types.
Specifications  can  be  performance,  design,  or  brand  name  or
equal.    The  chapter describes  these contract and  specification
types  and  considerations  for  selecting the  appropriate type.
Also  discussed   is  the   distinction  between  construction   and
service contracts.

     Procurement  strategies  are  discussed   in   Chapter   6.
Different types  of  work are suited for distinct solicitations.
Those  described   in  Chapter  6  are  sealed  bidding,  negotiated
procurement,  and  two step  sealed bidding.   The process  for  each
solicitation  as  well  as  advantages, disadvantages,   and  schedule
impacts are described.

     Finally, Chapter  7  describes  how  to put  these  techniques
and  concepts together   to expedite  RD/RA.    It  includes  flow
charts  on  phasing,   fast-tracking,   and  procurement  with
explanations of  the decision process.

-------
1.4  APPLICABILITY OF THIS GUIDANCE

     Although  the  techniques  described  in  the  guidance  are
directed toward Federal fund-lead projects, the concepts are also
applicable  to  State-  and  Potentially  Responsible  Party-lead
projects.   Some  projects are more  amenable  to acceleration than
others.    The  acceleration  techniques  covered  work  best  for
smaller projects, but they can apply to all projects.
1.5  AREAS THE GUIDANCE DOES NOT ADDRESS

     The  use  of   an   innovative  technology  is  an  important
consideration  in  planning  RD/RA.   The topic,  however,  is  not
specifically addressed  in  this document but  will  be the subject
of a  separate  guidance.  Innovative technology  can,  however,  be
incorporated into the concepts discussed.

-------
             CHAPTER  2   REMEDIAL MANAGEMENT STRATEGY
2.1  INTRODUCTION

     The Remedial  Management Strategy  (RMS)  is a  planning  tool
for  expediting  the  remedial  design  (RD)  and  remedial  action
(RA) .     It  contains  an  analysis  of  the   major  management
considerations  required  to achieve  the goals  of  the  ROD  in  a
timely manner.   Preparation of  the  strategy by the  lead agency
RPM  is essential for the  smooth  progression  of  a project through
RD and RA.
2.2  PRE-DESIGN PLANNING

     Pre-design  planning,  as  shown  in  Figure  2-1,   moves  a
project  from the  Record  of  Decision  (ROD)   into  the  remedial
design.    During  this  phase,  a  Pre-design  Technical  Summary
(PDTS)  is  developed  prior  to  negotiations  with  the  PRPs  to
express  EPA's  technical  requirements  in design  terms.    If  the
response action will be  financed by  the  Fund,  a  decision must be
made as to whether EPA or the State will be the lead agency.

     Once the lead agency has been determined, an  RMS  should be
prepared to establish a strategy for managing the remedial design
and remedial action.   The RMS is a working document for internal
use.    It  is  not  intended  to  be  cumbersome or  difficult  to
prepare.  The RMS length and complexity should be tailored to the
nature of the project  and kept as brief as possible.   The  lead
agency  RPM,  with  technical  assistance  from  various  resources,
such  as  contractors and other  agencies,  should  develop  an  RMS
using the following general guidelines:

          Identify project goals in the ROD.

          Evaluate  the  project   site,   including   geography,
          geology, climate, access,  local  population,  utilities,
          evacuation routes, and  proximity of hospital  and  fire
          department facilities.

          Review  the remedial  technology  to  determine  the  need
          for new  or innovative equipment, items requiring  long
          lead-time   for  procurement,  operable   units,   and
          specialty contractor requirements.

          Develop schedules and  budget projections.

-------
                         FIGURE 2-1
                  PRE-DESIGN PLANNING PHASE
                      RECORD OF DECISION
                PRE-DESIGN TECHNICAL SUMMARY
PRE-DESIGN
 PLANNING
  PHASE
                             1
NEGOTIATIONS
  WITH PRPs
                         REMEDIAL MANAGEMENT STRATEGY
                                      1
                                REMEDIAL DESIGN

-------
          Evaluate  funding  requirements   (such   as  mixed  or
          incremental funding.

          Review health and safety requirements.

          Develop   a  Remedial   Management   Strategy  that  is
          consistent with the project's goals and constraints.

     Section 2.4 explains the RMS in more detail.
2.3  EXPEDITING REMEDIAL DESIGN AND REMEDIAL ACTION

     Careful  project  planning prior  to design  can yield  great
dividends in expediting both the RD and RA:

          The  selected  approach should  be coordinated with  the
          projected funding and schedule requirements.

          Early  selection  of  contract options  saves  both  time
          and money.

          A comprehensive  Remedial  Management  Strategy developed
          after completion of  the  ROD will result  in  a  smoother
          transition  to  RD   and RA   by   identifying  roles  and
          responsibilities.

          An  early review of  the management risks  associated
          with  the  project  can   prevent   designer   and   RA
          contractor claims and provide for strategies  to resolve
          disputes during the project.


2.4  MANAGEMENT CONSIDERATIONS

     Because the  significance  of individual considerations will
vary  from  project to   project,  part of the  RMS development
involves  analyzing  the  relative   importance   of  each   of  the
following factors on the project  goals:

          Contracting  Party.   EPA's RPM must determine,  based on
          EPA policy guidelines,  which organization will  contract
          for RD  (State, EPA, USAGE or BUREC)  and the  RA (State,
          ARCS, USAGE  or BUREC).  Once the  selection is made,  the
          lead  agency  RPM  should   utilize   the  expertise   of
          contractors  and other agencies  to help develop  the RMS.

-------
Funding.    Funding  considerations  are  of  particular
concern  in  the development  of a management  strategy,
particularly  if  the  project  is  a  multi-year  effort.
The  strategy must  address  the  availability of  funds
including the  State cost share and  obligations during
future years.  Interagency funding agreements should be
confirmed early  to prevent  possible  delays.    The  RMS
should include budget planning projections based on the
proposed project schedule and contract packages.

Resources.   An analysis must  be  made  to determine the
special  technical  qualifications for  the  work,  the
workload  and availability of  the resources  required,
and the level of interest of qualified contractors.

Site  access.   Access to  the  site  is crucial to  the
implementation  of  a  remedy.    A   plan  should  be
developed  to  resolve  any  site  access problems  and
obtain the necessary rights-of-way.

Regulations and permits.   The  RMS should also include,
to the extent possible, an evaluation of the logistical
elements  involving  agencies  that  have  jurisdiction
over the site such as:

      Federal agencies
      Local planning commissions
      Zoning authorities
      County building departments
      Local water and waste water authorities
      Public utilities  (gas, electric, telephone)
      State industrial safety  divisions
      Local law enforcement agencies
      Local fire departments
      Traffic and highway authorities
      State environmental offices

Health  and  safety.   The  management of  the  health and
safety  program will  have  an  impact  on  the successful
completion  of  the  project.    The  health and safety
program  and  the  protective  gear  requirements  will
affect   the   productivity   of   the  RA  personnel  and
influence the  schedule of the  project.  An estimate of
these  impacts  should  be  made  to  provide a  clearer
picture  of the overall duration of the project.

Phasing  and  fast-tracking.  One  of  the first items to
be  evaluated in  an RMS is the potential for phasing or

                        8

-------
fast-tracking  the  project.     These  approaches  will
allow the  RA to be  implemented  sooner than if  all  of
the steps were  treated as  a  single  design  and  remedial
action.    Chapters  3  and 4  explain phasing and  fast-
tracking in more detail.

Equipment.    The ROD  may specify a process or  remedy
that  requires  special  or  proprietary  equipment,
particularly  if  a  new  or  innovative  technology  is
recommended.   In these  instances,  it is  important  to
evaluate  the  delivery   schedule  for  such  equipment.
This would  include the  time necessary to  review  shop
drawings,  do  performance  testing,  and  for  shipping
requirements.   If these processes  are anticipated  to
take  a   long  time,  consideration  should  be given  to
purchasing  the  equipment under a separate  contract  to
ensure its timely delivery to the site.

Weather.  When  considering weather,  it  is  necessary  to
evaluate not  only  the time of year when the work  will
occur  but  also  the  geographic  location.    Extreme
temperatures  or high  winds  may  make  execution of  a
remedial action difficult.

Design  reviews.   The  importance  of reviews cannot  be
overlooked  in  planning  the  management  strategy,
especially  when multiple agencies are involved  in the
project.    EPA,  USAGE,  BUREC,  States,  PRPs,  citizens
groups and  local agencies may  need  to  provide  input  at
various  points along  the way.   The  schedule  should
reflect  the needs  of  each party so  that  the  project
will not be delayed.

Community  Relations.    Prior  to  the  initiation  of
remedial design, the  Community Relations Plan  may  need
revision  to   address   any   new   community  concerns
anticipated to arise during RD and RA.

Communications.   The best way to  communicate to all
parties  the  need  for  quick  response   is   with   a
communication matrix, which  can be  developed as one  of
the  products  of  the RMS.    This  matrix  shows the
procedural  flow  of  information  such  as  submittals,
memoranda,   documents,  and  approvals.    These
communications procedures are agreed to by all parties
before the RD begins.

-------
          Disposal issues.   Because  issues  regarding  the  disposal
          of materials,  such  as off or  on-site  disposal  and
          manifests,  can affect the  RD/RA process,  the RPM  should
          address this  element in  the RMS.     The sooner  these
          issues  are  addressed,  the  easier  it will be  for  the
          designer to  prepare  the  RA documents  to  reflect  the
          needs of the project.

          Procurement.    At  this point  in  the project/  it  is
          necessary to  consider  the RA procurement options  that
          are applicable.   Once  the number and type of  remedial
          designs  and   remedial  actions  have  been  determined,
          procurement   methods   and  types  of   contracts   and
          specifications can  be  analyzed  so  that the  RPM  can
          formulate  a  planning   approach  to  procurement.
          Chapters  5  and   6  cover  contracts  and  procurement
          strategy in more  detail.

          RD and RA Cost and Schedule.  The RMS should develop a
          preliminary schedule for  the RD  and RA.  To assist in
          the project  planning,  EPA  has developed  a  series  of
          generic RD  schedules that  identify tasks, durations,
          and resources  for various  types of  projects.    These
          standard schedules also account  for varying levels of
          complexity within the project.    The schedule developed
          for the  RMS  should  also  identify  critical tasks  that
          need to  be started  early to minimize project delays,
          give the designer a  road  map of  how the  project  should
          be managed, and  identify  the critical milestones  to be
          met.
2.5  RMS Report

     The RMS report should include the following major sections:

          Summary
          Introduction and project description
          Summary of ROD requirements
          Summary of collected information
          Recommended  remedial  action   approach,   including   a
          schedule and budget projection for the project
          Description of  all issues  that remain to  be  resolved
          or that require further analysis

     The chapters  that  follow  cover in  more  detail methods  to
accelerate  remedial design  and  remedial action  that  could  be
incorporated into the RMS.

                                  10

-------
                        CHAPTER 3   PHASING
3.1  INTRODUCTION

     Phasing  is  the  division  of  a  project  into  meaningful
remedial  work  elements  that  can  be  implemented  on  different
schedules  resulting  in acceleration  of the remedial  design and
remedial action.   It allows certain elements of a  project to be
started  ahead of  others  to  lessen the hazards  present  at the
site  and  to  complete  simple  prerequisite  work  elements  or
nonhazardous  work  elements ahead  of more complex  and hazardous
work elements.   Large,  complicated projects are  separated into
smaller, more manageable remedial  work elements.    Each element
can move at its own optimum rate to completion,  thereby preparing
the site for any further required remediation.


3.2  CRITERIA FOR PHASING

     Phasing  decisions  are based  on  many  criteria,  including
availability  of existing  information,  type of waste,   type  of
media,  technology requirements, and funding availability.


3.2.1  PHASING BY AVAILABILITY OF EXISTING INFORMATION

     Assessment of existing  information for  a  site can result in
a decision to phase work elements.  Where information for part of
the  site,   or  one  of  several  media  on the  site  is  already
sufficient for  design  to begin,  phasing that portion of the work
may  be  appropriate.    The  decision  requires   evaluation  of
available  information, such  as type,  concentration, and physical
extent of  waste and  media  affected.   For example,  if information
on one of  two media  is already available, a work  element can be
established for the  first  medium.  Also, certain  aspects of the
design,  such  as road development or  utilities  installation, can
proceed  while  data  on  other  aspects  of  the design  is  being
gathered.


3.2.2  PHASING BY TYPE OF WASTE

     Segregation of  non-hazardous  and  hazardous  work  elements
may be a simple criterion for project  phasing.  The engineering
required  for  the  non-hazardous  components  of  a  project  is
frequently  more conventional  and  may  lend itself  readily  to
accelerated schedules  in RD and RA.   Examples  are  access roads,

                                  11

-------
fences,  and  provision  of  site  utilities  and  buildings.    In
addition,   these  types   of  work   elements  are   frequently
prerequisites for more complex  elements.    It may make sense to
begin design and construction of these items as early  as possible
in the project to ensure that their construction does not impact
subsequent work and to avoid construction  congestion.


3.2.3  PHASING BY TYPE OF MEDIA  INVOLVED

     It may  be  desirable  to phase different media into discrete
remedial work elements to expedite the  start of remedial action.
For  example,  if  a  soil  or  sludge  has  contaminated  the
groundwater,  the  RD/RA  for   the  source  pollution  could  be
addressed  separately  from that  of  the contaminated  groundwater
plume.   Remediation of groundwater may be  approached by initially
installing  a  limited barrier  well/treatment  system and  then
expanding the treatment scheme  as more information is obtained.
This   allows  for  quick  action  based  upon  limited  design
information with larger scale actions  to follow.

     Similarly,  wastes which are physically separated, although
present  in the same  medium, can be  addressed  independently as
separate remedial work elements  in order to phase the  RA process.
For example,  where  it may be necessary to excavate contaminated
soil from around and under a number  of homes,  certain  areas where
access has  been obtained could  be remediated before others.  Or,
where  several waste ponds  are present at  a site,  one waste pond
may   be   remediated  first  to  ensure  the  process   works
satisfactorily.


3.2.4  PHASING BY TECHNOLOGY REQUIREMENTS

     Simple  remedies   can  obviously  be  implemented  much  more
quickly   than  those requiring  detailed  equipment  design,
fabrication,  and  specialized  operation.     Excavation  of
contaminated  soil  and back  filling  with clean material  can be
started  without  high technology  equipment.     Conversely,  the
design,  fabrication,   erection,  and  operation  of  the  on-site
system to  treat  the  same  soil could extend over a several month
period.   Consequently, it may be best  to phase these  activities
by setting up two contracts.   By separating  the overall remedy
into remedial work elements based on the type  of technology to be
implemented, the remedial action can be expedited.

     Technology requirements may  also vary  with the media being
remediated,  such  as   air  stripping  for  groundwater  and

                                  12

-------
solidification for soil.   It  is  reasonable to separate and group
media components  to  allow independent  development of RD  and RA
schedules.   This  allows each element to be  implemented  as it is
finalized  without waiting  for   completion  of  the  design  for
another element.
3.2.5  PHASING BY FUNDING AVAILABILITY

     Remedial action  funding  considerations  may result in phased
RD/RA  activities.      The  availability  of  federal  funds  to
implement a  remedy or the willingness  of a State  to  cost share
all  or  part of  the remedy has  a definite  effect on  the type,
amount and schedule of work which can be performed.  The project
may have to be phased using the  previous criteria in order to be
consistent with  available  funding strategies.   An example would
be  to  fund mobilization  and construction  of  an  incinerator as
phase one, and fund operation of the incinerator as phase two.


3.3  MANAGEMENT CONSIDERATIONS FOR PHASING

     The  decision  to  phase  RD/RA  activities  should  include
certain  considerations  with  respect  to cost,   project schedule,
quality of product, and community relations.

     By phasing,  the  RD/RA  is broken  down into smaller, discrete
work elements  which are more manageable and cost  efficient and
less subject  to  changes or  cost increases.  Cost estimates for
subsequent work  can be  more  precisely  determined by building on
the  experience  gained  from  prior work elements  at   the  site.
However, there may  be redundancy in areas  such  as the design and
procurement process,  driving  up  total  project  cost.   Also,  the
total cost of the final remedy is not certain until the last work
e1ement i s imp1emented.

     For  scheduling  purposes,   the  time  frames   for   each  work
element will be  less than for the project  in its  entirety.  This
situation  allows   evaluation of  schedule trends  during  the
project,   thus   allowing  tighter  control  of   the  schedule.
Improvement of a project's critical path schedule may be achieved
by  overlapping  work  element starts  and  concurrent  actions in
design and construction, such as initiating groundwater pump and
treatment while  source  control  design is still in progress.   Be
aware,   however,   that a  project's  critical  path  will  not  be
improved  if  the  phased  work elements  are  not  on  the critical
path.
                                  13

-------
     Quality of  individual work  element  design may  be  improved
because knowledge  obtained from prior work elements,  or phases,
can be  integrated into  design or operational  considerations  of
subsequent  work  elements.    This  advantage  does  not  apply,
however, if the work elements are developed concurrently.

     If  a  project  is  phased,   there  will  be  more  than  one
contract to administer.   Coordination of  several  contractors may
be difficult, resulting  in more  administrative  burden.   Time may
be lost and delay costs  incurred  if one  contractor interrupts
another's work.   Therefore, the RMS should be carefully developed
to better manage these projects.

     Community perceptions may  be  improved  by taking  a  phased
work  element  approach,  especially if  the approach  accelerates
initial  on-site  activity.    Phasing could  help  to  alleviate
concern over a lack of progress on appropriate remedial action.

     Phasing  can  be  an  effective   way   to  accelerate  both  a
remedial action  start  and completion at a project  site.   As can
be seen, however, the decision to phase involves an evaluation of
many  alternatives and  considerations.    Once  the  decision  to
phase  is  made,   fast-tracking  of  individual  phases should  be
evaluated as discussed in the following chapter.
                                  14

-------
                            CHAPTER 4

 FAST-TRACKING REMEDIAL DESIGN AND REMEDIAL ACTION WORK ELEMENTS


4.1  INTRODUCTION

     Fast-tracking is complementary to phasing.   Whereas  phasing
is the  process  in which  large  complex projects are broken  into
smaller more manageable work  elements, fast-tracking is a method
to  accelerate  the  implementation  of  those   individual   work
elements.  Fast-tracking techniques manipulate the internal steps
required to complete each phased  element,  thereby optimizing the
overall  schedule.   Depending on  the  complexity of the project,
fast-tracking can be  used  in  conjunction  with phasing  or by
itself  to achieve these benefits.
     The internal steps  to  implement a phased element are  often
interdependent,  i.e.,  some steps will rely on  the  completion of a
previous step and cannot begin  until  that  activity  is completed.
Other  activities  may  have  varying  degrees  of  dependency,  and
some may be  totally  unconstrained and scheduled  as  simultaneous
activities  without   regard  to  dependency.     Fast-tracking
techniques,   which   take   these   interrelationships  into
consideration,   generally   fall  into  one  of  the  following
descriptions:

          Eliminate.    Steps  in  the  process  are eliminated or
          shortened.     Because   steps  are often  interrelated,
          however,  this  technique  may create  problems later  on.
          For instance, deciding to use existing  data previously
          collected  during  the  RI/FS  instead  of  collecting
          additional   data  during  the   remedial  design  will
          expedite  the design process.   This approach, however,
          may result  in design delays if the RI/FS data turns  out
          to be marginal  or  incomplete.

          Rearrange.   The sequence or timing  in which the  steps
          are performed  is  rearranged to  accelerate the  overall
          schedule.    An  example  might be  to  schedule  design
          reviews  in  parallel  with continuing  design work  so they
          are not  on  the  critical  path.   Using  this  type of
          technique is usually  done  without assuming additional
          risk as  long as no steps are eliminated  or shortened.
                                 15

-------
4.2  PROJECTS AND  REMEDIAL WORK  ELEMENTS MOST  SUITED TO  FAST-
     TRACKING

     Most  projects  can  be  fast-tracked  to   expedite  their
schedules; however, the less complex the project  or remedial work
element, the more  receptive it is to being accelerated by  fast-
tracking.  This  is because it is more  likely that  some  standard
tasks can  be eliminated  or shortened.   For  example, a  simple
project will probably  not require a treatability study or  value
engineering  study.   Superfund  projects that  are  more  easily
expedited typically exhibit the following characteristics:

          Technology.    The  applied remedy  utilizes  a  proven
          technology.

          Data  requirements.    A   treatability   study   is  not
          required  (or has  already  been completed  during  the
          RI/FS)  and only minimal  additional  field data may be
          required.

          Value  engineering.   Based on  the  screening,   a  value
          engineering study is determined not to  be needed.

          Intermediate  design.   Intermediate  design  submittal
          and review are  not  required.   Other  design  reviews are
          done in parallel.

          Long-lead  procurement.    If  long-lead  procurement  or
          fabrication is  required,  it  is fast-tracked to  keep it
          off the critical path.

          Real  estate.    There  are no unusual   real estate  or
          permit requirements.


     Assuming  the  above  project  characteristics,  Figure  4-1
illustrates  the  relative  time savings  that may  be  achieved by
phasing  and  fast-tracking   a  project.    In  the  traditional
approach,  the  entire  remedial   design  is  completed and  then
reviewed  before   initiating  procurement.    In  the  fast-track
project  scenario,  site  preparation  construction  is phased out of
the remainder of the project  using  a clean  work  versus hazardous
work   criterion,   and   it   is   fast-tracked   using  standard
specifications for the clean work.   The remainder  of the design
for  hazardous source  control  continues on  the standard  route
through  design.    Assuming all design  reviews are conducted in
parallel, the fast-track  procedures not only expedite the


                                  16

-------
                                   FIGURE 4-1

       PHASING AND FAST-TRACKING VERSUS TRADITIONAL RD/RA
 I   I  REMEDIAL MANAGEMENT STRATEGY TO PHASE AND FAST-TRACK
SITE PREP DESIGN (ACCESS, UTILITIES,
FENCING)

DESIGN REVIEW


     SITE PREPARATION PROCUREMENT


              SITE PREPARATION CONSTRUCTION
                                                                     PHASE 1
    KV\VVOv\\1 SOURCE CONTROL DESIGN


              E%%! DESIGN REVIEW
                                                           PHASE 2
                                  SOURCE CONTROL PROCUREMENT
                                                    SOURCE CONTROL CONSTRUCTION
                           TRADITIONAL
                                                    OVERALL PROJECT
                                                    SCHEDULE SAVINGS
                      REMEDIAL DESIGN
                          DESIGN REVIEW
                                             PROCUREMENT
                                                                        REMEDIAL
                                                                        ACTION
This figure illustrates relative time savings that may be achieved by fast-tracking a project. In this example
site preparatory work is started with a limited design while the design for the source control action continues.
Assuming all design reviews are conducted in parallel, the fast-track procedures not only shorten the time
necessary to initiate construction, but also accelerate completion of the project.
                                      17

-------
construction start,  but also  accelerate  the  completion  of the
project.


4.3  FAST-TRACKING TECHNIQUES

     All remedial  design and  remedial  action projects  (whether
phased  or  not)  can  take advantage of  fast-track techniques to
expedite  their  schedules.     Because  each  project  is  unique,
however, it is not possible to lay out  a generic  "cookbook"
formula  for fast-tracking.    Each project  should  be analyzed
based  on the  requirements  and  interrelationships  of  requisite
activities.   In  other  words,  plan a  strategy.   The Remedial
Management Strategy described in Chapter 2  is a valuable tool for
this purpose.   The following  are  some possible techniques that
can be used to fast-track RD/RA activities:

          Design requirements.  Reduce  the  detail required in the
          design package.  For many small projects or portions of
          larger projects  (i.e.  soil  excavation, dismantling of
          structures,  simple pump and treat  systems),  the design
          need  only  include  a  site layout  drawing  and  a  basic
          description of the  work  to  be performed.   This may be
          contrary to the more conservative approach  of providing
          a design with detailed specifications and drawings, but
          significant time and design  cost  savings may result.

          Standard   specifications.     Use  of   standard
          specifications enables  completion  of  remedial  designs
          in significantly  less time.   Standard specifications
          are inherently general  in order  to have a  broad  range
          of application.   Since this can  lead to vagueness when
          applied to a  specific  project, standard specifications
          should  be  modified as  appropriate for  the  intended
          use.     Various  manufacturers,   associations,  and
          government   agencies   have   developed   standard
          specifications  applicable  to Superfund   construction
          projects.   Examples  include the  U.S. Army Corps of
          Engineers'  specifications for remediation  of hazardous
          waste  sites,   and  the   American  Public   Works
          Association's  generic specifications.   Use  of these or
          similar  specifications  instead  of,  or in  combination
          with, detailed design  specifications will  simplify and
          expedite design and equipment procurement  activities.

          Specifications from a similar project.  Many projects
          are similar in scope to projects  that have  already been
          designed.   If these specifications  are well prepared,

                                  18

-------
consider  providing them  to  the designer  of the  new
project.   The specifications  can then be  modified as
needed rather than starting from the beginning.

Existing plans.  During the scoping phase of a Remedial
Investigation, project  planning  deliverables include a
Health  and Safety  Plan,  a  Quality Assurance Project
Plan,  and a  Community Relations Plan.    Reuse  these
plans, as  they may  provide  the basis for the doing the
same  types of plans  required for remedial  design  and
possibly the remedial action with little modification.

Project continuity.   For  a Fund-lead  project,  time is
saved in the transition from the ROD to remedial design
if the same party, i.e., ARCS contractor, does both the
RI/FS and  the design.  This  assumes the contractor is
qualified, has  the available  resources for  the  work,
government  regulations  do   not  prohibit   such  work
distribution, and there is no real or apparent conflict
of interest.   The benefits are that the EPA already has
a  working relationship with  the  firm, personnel  are
familiar   with  the   project,  and  the  firm  has  an
established project  file  containing relevant documents
and information.

Site access.   When agreements for RI/FS site access are
developed,  structure them  to  also  allow   for  access
during  remedial   design  and  possibly  remedial  action
activities.   Access  and  real estate  concerns can be
very  time  consuming and complicated.   If these issues
can be addressed in a comprehensive manner early in the
project, they will pay significant time dividends later
on.

Value  engineering.    If a  value engineering  study is
required,   schedule  to keep  it off  the design critical
path.  The only potential  time impact from such a study
should be caused by a design change, not from the value
engineering process itself.

Parallel design  reviews.   Schedule  all design reviews
in parallel with continuing design work so they are not
on the critical path.  Do all reviews simultaneously to
expedite the resolution of recommendations.

Early initiation  of  remedial  action.  Prepare remedial
action work assignments before completing the remedial
design.  The  first  few  weeks  of  a remedial  action work

                        19

-------
          assignment are spent doing activities  (i.e.,  preparing
          the remedial  action  work plan and  collecting existing
          site information)  that are not dependent on a completed
          remedial  design.    When  the  design  is completed  and
          approved,   the procurement  process can begin  without
          delay.

          Long-lead equipment.   Identify in advance any equipment
          that requires a significant amount  of  time to procure.
          Order in advance, if possible, to  ensure that the item
          does not  affect  the  critical  path  for the  remedial
          action.

          Fast-track construction/staging.   Many  large projects
          can be  divided into  separate stages  of construction.
          This is generally accomplished by letting each stage of
          work out for  construction as  soon  as  the design effort
          on that  particular  stage of  work has  been completed.
          This approach has the  advantage that  the  project will
          be started and completed  sooner  than  would be possible
          if it were necessary to wait  until  all design work had
          been completed.   However,  when multiple  contracting
          efforts are underway  simultaneously,  more coordination
          and administrative oversight is required.


4.4  SUGGESTIONS TO IMPLEMENT  FAST-TRACKING

     Fast-tracking is a useful method to expedite a project or a
remedial work element.  The following suggestions may be helpful
to the RPM when devising a fast-tracking strategy:

          Develop  a  strategy.     Make a  flow  diagram  which
          illustrates the  tasks, durations,  and  precedence  for
          the elements required by the project.   A Gantt Chart is
          a simple example of  such  a  diagram.   Computer software
          is available  which  is  simple to use,  incorporates the
          use  of  classic  scheduling   techniques  and  concepts,
          provides   various   report  features,   and  integrates
          graphic elements.   Use the flow diagram as  a project
          road  map  which  can  be  kept  current  by  adding  and
          deleting  elements  as  they  are  identified.    This  map
          will identify the critical path of the project and help
          ensure that non-critical steps do not become critical.

          Communicate.  Communications  are crucial because fast-
          tracking requires numerous  concurrent  activities which
          will be  occurring  with parallel and  concurrent review

                                  20

-------
          steps.   Thus,  expedited schedules  will afford  fewer
          defined   stop-and-check  points.     Regular  project
          communications  (meetings,  reports,  and verbal)  among
          appropriate  decision  makers  or their  representatives
          are necessary to eliminate  false  starts or  misdirected
          activities.

          Target areas  to  fast-track.   The  areas  most  conducive
          to fast-tracking are  the pre-design and  design steps.
          During  this  time,  most  of  the  activities  can  be
          expedited.   All can  become critical  if  ineffectively
          managed  (especially treatability  studies,  field  data
          acquisition,  EPA  reviews,  permits,  and  real  estate).
          On the other hand, typical  remedial action activities
          are  less  flexible because these activities  may  be
          constrained by procurement and contracting requirements
          discussed in Chapters 5 and 6.

          Identification of  tasks.   Identify all the tasks  of a
          project  that  need  to  be fast-tracked.   An overlooked
          task can become critical and delay or halt the project.

          Evaluate approach changes.   When potential shortcuts in
          the  remedial design  or  remedial  action process  are
          identified,  weigh   them prudently.    Sometimes  these
          shortcuts  may have a  hidden agenda.   Eliminating  or
          circumventing a  step  during design may  significantly
          delay the project during remedial action.

     The  fast-track  techniques  described  in this chapter  can
significantly expedite the remedial design and remedial  action of
a project.   In  many cases they are easy  to  implement and can be
applied to all projects.
                                 21

-------
             CHAPTER 5  CONTRACTS AND SPECIFICATIONS
5.1  CONTRACT TYPES

     The  enormous  scale   and   complexity  of  procurement  has
necessitated the development of a wide variety of contract types.
The  appropriate  contract  type  to  use  is based  upon  a  project
specific determination  during the  development  of the  RMS.   The
term "contract type" has several different connotations.  Here it
is used to indicate the methods of pricing arrangements, of which
there  are  two  primary  types,  fixed-price  contracts  and  cost-
reimbursement contracts.
5.1.1  FIXED-PRICE TYPE CONTRACTS

     Fixed-price  (unit  price,  lump sum, or  a  combination of the
two) type  contracts provide for  a firm price  for the supplies,
services, equipment,  or construction being  acquired.   In fixed-
price type  contracts,  the total contract  price is adjusted only
when required by a supplemental agreement to the contract.

     A lump sum  (firm  fixed-price)  contract is an  agreement to
pay  the  contractor  a  specified  price  in return  for  certain
specified  performance.    The  price  paid  is  not  subject  to
adjustment  due  to actual costs incurred within the  scope of the
contract.  The contractor's profit or loss is related entirely to
his ability to  control  costs.   This type  of contract  places the
maximum  risk and  cost  responsibility  upon the contractor,  but
also provides  the contractor opportunity  for  increased profits.
Because  the contractor's costs  incurred  are  not  a   factor in
determining  compensation  under the  contract,  the  administrative
costs to  both  the contractor and  the  contracting  party are kept
to a minimum.

     The lump  sum (firm  fixed-price) type  contract  is used when
detailed  specifications  are  prepared  and  whenever  fair  and
reasonable prices can be  established at the outset.  This type of
contract  is especially  suited to  the acquisition  of supplies,
services  and construction when  realistic cost  estimates  can be
made.   If,  however,  detailed  specifications  are  not prepared,
the  use  of  a  lump  sum  (firm   fixed-price)   contract  is  not
appropriate. The  reason  is that  most contractors would  place a
significant  contingency factor in their contract  price to cover
fluctuations in labor or  material costs, or to protect themselves
from their  inability to accurately estimate the costs.


                                  23

-------
     In  a   unit  price  contract,  the   quantity   required  is
indeterminate, but  a  reasonable estimate is known,  and definite
specifications are  available for the units  to  be purchased.   The
selection  of  the  contractor   is  based  on his price for  the
estimated  quantities,   and  payments  are  made  based   on  actual
quantities purchased.   That is, the actual  sum to be paid is the
total  determined by  the  quantity of work  actually  performed
calculated  from  the  unit price  agreed to in  the  offer.   The
burden is  on the contracting party to  ensure  that  the estimated
quantities are a reasonably accurate representation of the actual
anticipated  needs   in  light  of  relevant   factors   and  past
experience.   The estimated  quantities  should  offer  a  reasonable
probability  that award  to the lowest offerer  will,  in  fact,
result in the lowest ultimate cost to the contracting party.


5.1.2  COST-REIMBURSEMENT TYPE CONTRACTS

     The cost-reimbursement type contract provides for payment to
the contractor of all  (or sometimes a  portion  of) his allowable,
allocable, eligible, and reasonable costs.   In addition to costs,
most cost-reimbursement contracts also provide for the payment of
a fee  (profit)  to the contractor.  Cost-reimbursement contracts
establish an estimate of total cost for the purpose of obligating
funds and establishing a cost ceiling.

     Cost-reimbursement type contracts  are  suitable  for use when
the nature and  complexity  of  the procurement is such that the
costs  of  performance  cannot   be  estimated   with  the  accuracy
necessary  for a  fixed-price  contract  (i.e.  detailed  plans and
specifications cannot be prepared).


5.1.2.1  INCENTIVE TYPE CONTRACTS

     Incentive  contracts  are  designed to harness  the  profit
motive to stimulate the contractor to perform at a lower cost, to
furnish a  better product  or service, or to cut down lead time in
delivery dates.   The  goal when utilizing  incentive  contracts is
to  motivate  contractors  to   strive   for   excellence  throughout
contract  performance.    Incentive   contracts  fall   into  two
categories:  those where the quality and efficiency of contractor
performance are  determined on an objective basis  (by formula) and
those where  the  quality and efficiency of contractor performance
are determined  in a subjective manner  pursuant to  an evaluation
plan.    The  fixed-price  incentive contract  and the  cost-plus-
incentive-fee  contract are examples  in the objective category,
                                  24

-------
while the cost-plus-award-fee contract  (such  as ARCS)  is the main
type in the subjective category.


5.1.2.2  TIME AND MATERIALS TYPE  CONTRACTS

     The time and materials  contract (such as ERCS) 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.   It is  used when it is not
possible at  the  time  of  placing  the  contract  to  estimate the
extent or  duration  of the work  or to  anticipate costs with any
substantial accuracy.   This type  of contract  places a  significant
management burden on the contracting party.


5.2  SPECIFICATIONS

     Specifications are  included in the contract documents and
contain a description of the technical requirements to be met and
the criteria  for  determining  whether these requirements are met.
The   description  should  contain  the   essential  physical
characteristics and functions required to meet the minimum needs
of the  contracting party, not the maximum  desired.   Also, the
manner in  which the  needs are specified must  achieve full and
open competition  with  due regard to  the nature of the supplies,
services, equipment, or construction to  be procured.

     All specifications must  be  clear,  complete  and definite as
well as  not  be  unduly restrictive.  Although specifications are
restrictive   by  their  very  nature,   to  avoid  being  unduly
restrictive,   they must be reasonable and necessary  to meet the
actual needs of the contracting party.   Also, specifications must
include  all   significant  factors  (including  price)  which  the
contracting party expects  to consider  in evaluating sealed bids
or competitive proposals and  the relative importance  assigned to
each of these factors.

     The   types   of  specifications  include  performance
(functional), design  (detailed),   and  brand  name  or  equal.   The
performance  specification is  preferred and tends  to be  more
easily and quickly prepared.   It  permits a variety of  products or
services  to  qualify  and   contains  the  range  of  acceptable
characteristics or the minimum acceptable standards.   Performance
specifications  can   sometimes   result  in  the  use  of  new
technologies.
                                 25

-------
     Using performance  (functional)  specifications is neither  a
panacea   compared  to  design  specifications,  nor   free   from
considerable effort  to draft or  evaluate.   Bonding,  insurance,
warranties, guarantees, and cost  escalation  risks  may constitute
impediments to the use  of  performance  specifications.   Potential
contractors  interpret  the specifications,   and they  provide  a
variety  of proposals  to   satisfy  the  needs  of the  contracting
party.   More often  than  not,  performance specifications  rather
than  design  specifications are  used  in negotiated  procurement
because of the flexibility during negotiations.

     The design or detailed specification contains  a complete and
exact description  of what is required.   A limitation of  design
specifications is  that  the contracting party implies  a  warranty
that if the contractor follows  the specifications,  the contractor
is not responsible for failure  of the final product.

     The least acceptable  manner  to  identify the requirements of
the  contracting  party is by  use  of  a brand  name  or  equal
specification.   This specification should only  be used when it is
impractical  or  uneconomical  to  make   a   clear   and  accurate
description of the technical requirements. All known brands that
meet the required need should be cited.  Also,  the  specifications
should  list  the  essential characteristics,   oriented   to  the
minimum  needs  of the  contracting party, which will  be used to
objectively evaluate the equality to the named  brand(s).


5.3  NATURE OF THE CONTRACT

     The  EPA  defines  remedial   action   to  mean  those  actions
consistent with  the  permanent  remedy taken  in the  event of  a
release  or threatened release  of a hazardous  substance  into the
environment,   to prevent  or minimize  the release of  hazardous
substances  so  that  they  do  not  migrate to  cause  substantial
danger  to present  or  future  public  health  or welfare or  the
environment.    Remedial action  can  include  activities  at  the
location  of  the   release  such  as  storage,   confinement,
neutralization,  cleanup  of  released  hazardous  substances  and
associated contaminated materials, recycling  or reuse,  diversion,
destruction,  segregation  of   reactive  wastes,   dredging  or
excavations,  repair   or  replacement  of   leaking  containers,
collection  of  leachate  and   runoff,  on-site   treatment  or
incineration,  provision of alternative  water  supplies,  and  any
monitoring  reasonably  required  to  assure   that   such  actions
protect the public health and welfare and the environment.
                                  26

-------
     It   should  be  noted  that  not  all   of   the  activities
contemplated as "remedial actions" are considered the performance
of  "construction."   Some  can be  considered  as the performance of
"services."
5.3.1  CONSTRUCTION

     The Department of Labor (DOL) defines "construction" to mean
construction,  alteration,  or   repair   (including  dredging,
excavating, and painting) of buildings, structures,  or other real
property.   For  purposes  of  this definition,  the term "buildings,
structures, or  other  real property" include improvements  of all
types,  such  as   bridges,   dams,   plants,   highways,  parkways,
streets,   subways,   tunnels,   sewers,  mains,   power   lines,
cemeteries,   pumping   stations,   railways,   airport  facilities,
terminals,  docks,  piers,  wharves,  ways,   lighthouses,  buoys,
jetties, breakwaters,  levees, canals,  and channels.

     CERCLA requires that all laborers and  mechanics employed by
contractors or subcontractors in the performance of construction,
alteration,  or  repair  work funded in  whole  or  in part  under
Section 104 of CERCLA be paid wages at rates not  less than those
prevailing on projects of a  character  similar  in  the locality as
determined  by the  DOL in  accordance with  the Davis-Bacon  Act
(DBA).  The DBA provides  that Federal  contracts and subcontracts
for  the  construction,  alteration, or  repair  (including  painting
and decorating)  of public buildings or public works shall contain
provisions regarding the wages  to be paid and  how  they are paid.
The DBA is also applicable to construction,  alteration,  or repair
done under a Superfund Cooperative Agreement.

     The  Federal  Acquisition Regulation and  EPA's  regulations
governing Superfund Cooperative  Agreements (41  CFR 31.36) require
performance  and  payment bonds  for  any  construction  contract
exceeding $25,000.  This requirement may be  waived by the Federal
contracting officer or EPA's award  official provided the Federal
government's  financial   interest  is  adequately  protected.
Generally, the requirement for  a  performance and payment bond is
waived for cost-reimbursement type construction contracts.


5.3.2  SERVICE

     A service contract directly engages the time  and effort of a
contractor whose  primary  purpose is  to perform an  identifiable
task.  It can cover services performed by either professional or
non-professional  personnel  whether  on  an   individual   or

                                 27

-------
organizational  basis.     Some  of  the  areas  in  which  service
contracts are found include the following:

          Maintenance,   overhaul,   repair,    servicing,
          rehabilitation, salvage,  modernization,  or modification
          of supplies,  systems, or equipment
          Routine recurring maintenance of  real property
          Construction or repair of personal property
          Consulting services
          Engineering and technical services
          Operation  of  government-owned  equipment,  facilities,
          and systems
          Transportation and related services
          Research and development
          Chemical testing and analysis
          Data collection, processing,  and  analysis services
          Exploratory  drilling   (other  than   as  part   of
          construction)
          Geological field surveys and testing
          Laboratory analysis services
          Landscaping  (other than as part of construction)
          Surveying and mapping services (not directly related to
          construction)
          Transportation of property or personnel
          Solid waste removal
          Tree planting  and  thinning,  and  clearing  of  timber or
          brush
          Dismantling,  demolition,  or removal of improvements (if
          not followed by construction).

     Generally,  performance  and payment bonds are  not required
for  service  contracts.    However,   performance   bonds  may  be
required when necessary to protect the Government's interest.
5.3.3  APPLICATION

     The distinction  between construction contracts  and service
contracts for  remedial  action can be  quite  difficult to discern
when determining whether the DBA applies.  The DOL has ruled that
any  contract  with  $2,000  or more  of construction-type  work is
covered; however,  the General  Accounting Office  (GAO)  looks to
the  contract   as  a  whole  and  has  sustained  decisions of  the
contracting party not to apply the DBA.

     A contract for clearing timber or brush from land or for the
demolition  or  dismantling  of  buildings  or  other  structures
located  thereon  may  be  a  contract  for construction  activity

                                  28

-------
subject to  the DBA, where  it appears that  the clearing  of  the
site is to  be followed by the construction of  a  public building
or  public  work  at  the  same site.    If,  however,  no  further
construction  activity  at the site is contemplated,  the  DBA  is
considered    not  applicable  to  such  clearing,  demolition,   or
dismantling work.

     Instances may  arise in  which,  for  the  convenience  of  the
contracting party,  instead  of awarding separate  remedial  action
contracts  for construction   work  subject  to  the  DBA and  for
services  of  a  different  type   to   be  performed  by  service
employees,  the contract may  include separate  specifications  for
each  type  of  work   in  a   single  contract   calling  for  the
performance of both types of work.   For example,  offers  may  be
solicited for the construction  of a pump and treat system or  an
incinerator,  as  well  as its operation  and maintenance.    The
installation is considered to be construction covered  by the DBA;
whereas, operation  and maintenance is  a  service  and  not covered
by the DBA.

     Also,  the provisions of the  DBA  would  apply to parts of a
remedial action contract  involving both  construction  and service
work although the contract is principally for  services.  The  DBA
would be  applicable to  the  construction work  in  such a  hybrid
contract where:

          The  remedial  action   contract   contains   specific
          requirements  for  substantial amounts of  construction,
          reconstruction, alteration,  or repair  work,  or  it  is
          ascertainable that a substantial amount  of construction
          work will be necessary  for  the  performance  of  the
          contract.   (The word  "substantial"  relates  to the type
          and quantity  of construction work to be  performed  and
          not merely to the  total value  of construction work  as
          compared to the total value of the contract).

          The  construction  work  is physically or  functionally
          separate from, and  as a  practical matter  is capable  of
          being performed on  a  segregated basis  from,  the other
          work called for by the contract.

      Selecting the  appropriate contract and  specifications  go
hand in hand  with determining the procurement strategy  for  the
project, which is discussed in the following chapter.
                                 29

-------
              CHAPTER  6   PROCUREMENT STRATEGIES
6.1  INTRODUCTION

     The strategy for expediting  procurement  methods  is to match
the  appropriate  procurement  method to  the  type  of work  being
procured.   For example, the  fastest  procurement is  when  sealed
bidding is used to procure work for which standard specifications
are available.  The time required to  put together the invitation
for  bids is  short  because it  simply involves  joining standard
contract  documents  to  standard  specifications  along  with  a
description of the  work.   Standard specifications  are  available
for a broad variety of  work including such  items as water mains,
wells,  pumping systems,  some treatment  processes,  and  various
types of earth work.  If these  items  are part of a project, then
the  expediting  strategy  should  include  the  possibility  of
separating them out and procuring them through sealed bidding.

     On  the  other  hand, sealed bidding  can be a slow  method of
procurement  if   used  for   complex   work  for  which   standard
specifications do not exist.  The slowness  is caused  by the need
to develop detailed design specifications in-house.  Under these
circumstances, it may be faster to use the negotiated procurement
method  with   performance  specifications,  which  require  less
technical  detail.     The  contractor  then  submits  within  his
proposal a  plan  for  the  development  of  detailed specifications
after the  award  of the contract.  Therefore,  the award  of the
contract  for  complex  work  will  usually  occur sooner  if  the
negotiated  procurement  method  is used.   Another  procurement
method  discussed below, two  step  sealed bidding,  is similar to
negotiated in  this  respect;  that is,   it  is suitable  for complex
work for which no standard specifications exist.

     Considering   the  above   discussion,    one  time-saving
procurement method is to look for significant  work elements which
can  be  procured early  by way  of  sealed bidding  with standard
specifications.  This can  done be at  the same time that requests
for  proposals  (RFPs)  are  being  developed  for the more  complex
portions  of  the  project.    In   this manner,  the  appropriate
procurement method  is matched to specific type  of  work with the
result  that  each  work  element  is  awarded  in  the   shortest
possible time.   This assumes  that the various  elements  of work
are  large  enough to  warrant separate procurement actions,  and
that construction  schedule issues are taken  into consideration.
The following  is a  description of the essential features of each
solicitation method.
                                 31

-------
6.2  SEALED BIDDING

     The   sealed  bidding  procurement  method   provides   an
opportunity for all qualified contractors to compete for the work
on the basis  of  price.   The work must be described in detail  so
that bidders  fully understand what  is  required of them  for  the
price of their bids  since the bids become the basis of  a fixed-
price contract.   The description  must  also  be clear to ensure
that all bidders understand the work and are  bidding on  an equal
basis.   For these reasons, sealed bidding is done on the basis  of
design specifications and detailed plans.


6.2.1  PRESOLICITATION

     Plans and  specifications are completed  before the  work  is
advertised.    They  are  included  in  the  bid  package  in  the
invitation for bids  (IFB)  along with the terms  and conditions  of
performance.   The length of time required to prepare the complete
bid  package   depends  on  the  nature  of the  work.   For  simple
projects,   such  as  excavation  or  water   main   installation,
standard specifications  can be used thereby  decreasing  the effort
and  time  to  complete  the  bid  package.     Detailed  plans  and
specifications  for  more  complex  technologies may   require
considerable  effort and time  to complete before sealed  bids  can
be solicited.
6.2.2  SOLICITATION AND RECEIPT OF BIDS

     The  IFB  is  advertised  in  construction  journals  and  the
Commerce Business Daily  (CBD).  The bidders  submit  their bids in
sealed  envelopes  at  a  prescribed  location  no  later  than  a
specified date  and  time set for  a public  bid  opening.   At  that
time, the  bids are  opened  and read.   The  apparent  low bid  is
announced.
6.2.3  BID EVALUATION

     The low bid is  evaluated to  ensure  that  it  is "responsive",
that is,  that  it complies with all  the  terms and  conditions  of
the  IFB  and contains  no irregularities  in the  cost and  price
information.    Next,  the  "responsibility"  of   the  bidder  is
evaluated.  Responsibility is the bidder's  ability to accomplish
the work with  regard to  financial resources,  bonding,  facilities
and equipment,  record  of  performance,  and ability to comply with
the required schedule.

                                  32

-------
6.2.4  AWARD

     The contract  will  be awarded to the  lowest "responsive and
responsible" bidder.   If  the contractor  fails  to enter  into a
contact at  that point,  then  he forfeits any bid  guarantee,  and
the agency will  award to  the  next lowest qualified bidder. After
contract award,  a  notice  to proceed  is  issued with dates set for
the period of performance.  From this point on,  the contractor is
responsible  to perform the  work as  described  in  the  contract.
Any changes in the work can be accomplished only by modifying the
contract through supplemental agreements or  change orders while
the work is in progress.
6.2.5  ADVANTAGES OF SEALED BIDDING

     One advantage to  the  contracting  party in sealed bidding is
that the  method encourages price  competition.   All  bidders  are
placed   on  an  equal  basis  through  the   bidding  process.
Additionally,  sealed  bidding  shifts  the risk  involved in  the
construction of the  project  towards  the construction contractor.
The contractor's bid is his promise to  accomplish  the  required
work for  a specific  dollar amount.  Since  the contracting  party
has taken  the  time and effort up  front to describe  the  work in
great detail, the  contractor knows precisely what  is required of
him when  placing  the bid.   Any  changes will  be handled through
change orders,  but the work bid on will  have  to be accomplished
as bid.    The contractor is allowed relief, however,  if unusual
site conditions  are  encountered  or  the  work  is  delayed by  the
contracting party.

     Sealed  bidding  is the  preferred  method of solicitation in
Superfund  projects where  the work is  relatively easy to define.
The installation  of drinking  water  wells  and water  mains  will
most often be  by  sealed  bids.   Excavation  and hauling  projects
will  also  be   considered  for  sealed  bid   solicitation.    More
technologically  complex  work,   such  as   thermal  destruction
projects,  will  more  likely  be  solicited  through  negotiated
procurement.


6.3  NEGOTIATED PROCUREMENT

     Negotiated procurement  differs  from sealed bidding  in  each
phase of the solicitation.   In the initial phase, the contracting
party  is  not   required  to  develop  detailed  design  plans  and
specifications.    Performance specifications are  more common to
negotiated  procurement.     The  basis   of the  evaluation  is  a

                                 33

-------
combination of technical merit and  cost,  rather  than cost alone.
Some of  the risk of performance  of the contract shifts  back  to
the   contracting   party   since   the   detailed  plans  and
specifications  which  are  developed  by  the   contractor  are
approved  as  technically acceptable  by  the  contracting party
before award.    The  following  is  a  description of some  of the
high points of negotiated procurement.


6.3.1  PRESOLICITATION

     Unlike sealed bidding, where the contracting party will put
a great deal of effort up front to  develop detailed design plans
and specifications, for  negotiated  procurement,  the major effort
is in the  development of performance  specifications and a source
selection plan.

     Performance  specifications  state  the requirements  of the
project in  terms  of  what must be accomplished and  to  what level
or standard.   The offerers who  wish to  compete to do the work
will develop in their proposals the methods,  materials, detailed
plans,   and  specifications  required  to  meet  the  performance
specifications.
6.3.2  SOLICITATION AND RECEIPT OF PROPOSALS

     An RFP is  advertised  in the  appropriate  journals and  the
CBD.   The  RFP  contains  the  performance  specifications  and  a
description of the  evaluation  criteria.   The relative importance
of  the  technical criteria and cost  will  be stated,  as will  the
basis for award.
6.3.3  EVALUATION OF PROPOSALS

     The evaluation involves an assessment of the cost,  technical
acceptability of  the proposal,  and  the  ability  of the  firm  to
accomplish the work.  The cost and technical evaluations are done
separately then  combined to  come up with  a total value score.
Proposals  are then categorized  as,  (1)  technically  acceptable,
(2) susceptible to being made acceptable,  or (3)  unacceptable.   A
competitive range is determined which includes all proposals that
stand a reasonable chance of being successful.  Theoretically,  it
is possible to award  a  contract  without discussions on  the basis
of the initial proposals if technically acceptable proposals are
received. For large projects,  however,  the  evaluation is usually
just the first step in the process.

                                  34

-------
6.3.4  DISCUSSIONS

     After the  initial  evaluation of proposals, discussions  are
held with contractors in the competitive range.  The  goal  of  the
discussions is  to raise as many  proposals as possible  into  the
acceptable  category   and  thereby  ensure   maximum  effective
competition.     During  discussions  offerers  are   advised   of
deficiencies,   uncertainties,   and suspected  mistakes  in  their
proposals  so  they have  an opportunity to submit the  necessary
revisions.   These  discussions can  be  at arms  length,  simply
informing  the  firms of  the  deficiencies  and  allowing them  to
revise as  best  they  can, or they can  be of a bargaining  nature
over the  terms  of the  final offer.  In no case, however,  should
discussions  involve   "technical  leveling"  of  proposals   by
repeatedly pointing out weaknesses, or "technical  transfusion" by
disclosing information between competing proposals.   Neither  are
any  "auctioning"  techniques allowed such  as  indicating a price
that must be met  to  continue to be considered,  or  indicating  the
relative standings of the various  offerers.


6.3.5  BEST AND FINAL OFFERS

     After  the  completion  of  all  discussions,  the  contracting
party is  required to solicit best and final offers  (BAFOs)  from
acceptable offerers  in  the competitive range.   These  BAFOs  are
submitted  in  such a manner that  no further discussions will be
required.   Technically,  the discussions could be  reopened after
BAFOs,  but this  is  highly undesirable   since  having  numerous
BAFOs   leads   to  technical  transfusion.     Final   scores  are
determined on the basis of BAFOs.
6.3.6  SOURCE SELECTION AND AWARD

     Once the final  scores  are  calculated,  the proposal with the
greatest value score  (GVS)  regarding  cost  and  technical merit as
described in  the RFP  can be selected  for award of  a  contract.
The source  selection  official,  however,  is not strictly bound by
the point scores or recommendations of the selection board.   It
is possible to take into consideration the significant difference
in the  technical merit  and the cost  of proposals  of  different
scores.   This type of  analysis is called  a  "technical tradeoff
analysis,"   since   technical  merit  is  traded   off  against
differences in cost and  scores.  Any  such  tradeoff  analysis must
be supported by the established evaluation criteria  in the RFP.
                                  35

-------
6.3.7  ADVANTAGES OF NEGOTIATED PROCUREMENT

     Negotiated  procurement  makes available  to the  contracting
party the  technical  expertise of the  industry  in  developing the
approach to accomplishing the work.   It relieves the contracting
party of  the  need to  develop detailed plans and  specifications
for  complex  technologies  for which  in-house  staff  may not  be
available.  It  also  allows  for a greater weight to  be  placed on
the technical  aspects  of the projects.  This approach  is useful
in the solicitation  of treatment processes,  new technologies,  or
where there are a variety of acceptable solutions to a particular
problem.    The  disadvantage of negotiated procurement is that the
procurement action can become long and involved  and,  therefore,
should not be used for simple elements of work.


6.4  TWO STEP SEALED BIDDING

     Two step  sealed bidding (TSSB)  is a  procurement  method for
which offerers first submit proposals without cost information in
response to a request for technical proposals (RFTP), then submit
sealed bids on their own proposals if  those  proposals  have been
found acceptable in accordance  with  the  RFTP.   This  method  of
procurement  attempts  to   combine   the  advantages   of   both
competitive negotiation and  sealed bidding,  but  has  attributes
that  differ  from each.   The objective  of TSSB is  to  encourage
contractors to  submit  proposals  for  alternative technologies and
products  in  step one.    The proposals  are then evaluated  in
accordance with  established  technical  criteria.   Those proposals
which are  determined  to  be  acceptable can  then be used as the
basis of a sealed bid in step two.  The offerer bids  on his own
proposal.   The  Government  selects  on the  basis  of   low  bid,
thereby gaining the advantage of price competition.


6.4.1  TSSB STEP ONE

     The objective in  step one  is to  determine  the compliance of
the proposals with the established criteria of the RFTP.  This is
a  go  or  no  go  situation  rather  than  a  competitive  range
determination.  All proposals are categorized as; (1) acceptable,
(2)  reasonably  susceptible   of  being  made  acceptable,  or  (3)
unacceptable.
                                  36

-------
6.4.1.1  UNACCEPTABLE PROPOSALS

     Proposals must comply with the essential requirements of the
specifications, but  not all  the details of  the specifications.
The difference  between  a detail and  an  essential requirement is
not always apparent.   This provides great discretion to the CO in
determining whether  or  not a proposal is acceptable.   This is a
characteristic  of TSSB  that can  easily result in protests,  a
possible source of considerable delay.


6.4.1.2   PROPOSALS WHICH ARE ACCEPTABLE, OR SUSCEPTIBLE TO BEING
          MADE ACCEPTABLE

     Regarding  acceptable  proposals  and proposals  that  can be
made  acceptable,   there  is  no duty to  initiate  or  continue
discussions or  clarifications.   The  CO  may proceed to step two
without discussions  if  there are two or more  proposals that are
acceptable as  submitted.   However,  the receipt of two  or more
proposals which are  acceptable  as  submitted  does not prevent the
CO from deciding to hold discussions with other offerers who have
proposals  that  are  susceptible  to   being  made  acceptable.
Generally, it  is  in the  CO's  interest to  hold discussions to
ensure   the   greatest  number  of  bids  in   the  second  step.
Additionally,  firms  excluded from submitting  a bid in  step two
after having expended  considerable time and money  in  responding
to the RFTP will be inclined to protest.


6.4.2 STEP TWO

     In  general,   step   two  is  conducted as  a sealed  bidding
procurement.  There  are  some  differences,  however,  between TSSB
step two  and  regular sealed bidding which need to  be  considered
as follows:

          The bidding is limited to those who  have successfully
          completed step one.  The bidders are required to comply
          with the specifications  and the technical proposal as
          developed in step one.

          The bidder must  comply with the RFTP and  also meet any
          additional   requirements  of  the  IFB,  such  as  price,
          schedules,  delivery requirements, and bid bond.   There
          may,  however,  be a "presumption of responsiveness" that
          limits  the CO's ability  to  disqualify   bids.    This
          presumption results  from the  time,  effort,   and money
          required to  participate in  TSSB.    The  Comptroller

                                 37

-------
          General has allowed bids to stand as responsive  in TSSB
          when  these same  bids  would  have  been  eliminated  in
          regular sealed bidding.

          Due  to the  need  for  the  CO  to  safeguard  step  one
          proposals  against   disclosure   to  unauthorized
          individuals   in  accordance  with FAR   14.503-l(c),
          competitors have no way to determine whether or  not the
          proposal accepted differs from the RFTP.  This violates
          the  public  opening  concept  of   sealed   bidding  as
          required   in   FAR  14.404-4.     Normally,   a   bid  is
          nonresponsive  if  it includes  restrictions  prohibiting
          competitors from knowing the  essential elements of the
          products offered with  regards to quantity, price,  and
          delivery terms.


6.4.3  ADVANTAGES OF TWO STEP SEALED BIDDING

     TSSB has  advantages  similar to  negotiated  procurement  in
that  it  allows  the  owner  to accept  proposals  for  alternative
technologies and products; however,  it retains in the last step
the cost competition of a  sealed  bidding environment.  It should
be kept in mind that the use of  TSSB requires care to ensure that
offerers   understand   the  ways   in  which  it  differs  from
conventional methods to  avoid unmerited protests.  Also,   COs and
owners need to understand that in exchange for the increased cost
competition of the sealed bidding, they surrender the prerogative
to consider  in the basis  of  award the  relative technical merit
between differing proposals.   The disadvantage of TSSB is  similar
to  negotiated  procurement  in that  it  should  not   be  used  for
simple or standard work.


6.5  SCHEDULE IMPACTS OF PROCUREMENT STRATEGIES

     The  methods  of  procurement   discussed above  each  have
different  impacts  on remedial  design and remedial  construction
schedule.   In  sealed bidding, the major demands in terms  of time
and resources occur during the design phase.   This occurs  because
sealed bidding procurement requires the development  of detailed
design specifications before bids are invited. Once  the detailed
specifications  are  complete,  however,  the  actual   procurement
phase is relatively  straightforward  and usually shorter than the
negotiated procurement phase.

     In negotiated procurement,   on the other hand,   there is not
the  same  effort  needed  during   the   design phase  to   develop

                                  38

-------
detailed   specifications.     Instead,   the   specifications  are
performance  specifications.  The companies that desire to do the
work are required  to  develop  the detailed specifications as part
of their proposals.   This  shifts a  major technical  effort to the
industry   and can  lead to less  time  and effort being expended
before  the  procurement   phase.     The  procurement  phase  for
negotiated procurement, however,  tends to be  longer  than sealed
bidding  due  the  fact  that  the  evaluation  process  is  more
involved,   and  more than   one  round of negotiations  is  usually
required before the BAFOs can be made.

     Two step sealed bidding has schedule characteristics similar
to negotiated procurement  because performance specifications are
used  and  the evaluation  is more involved than sealed bidding.
Also, there  can  be several rounds  of  discussions  before sealed
bids are requested.

     It  is usually  not  practicable to  compare sealed  bidding
schedules to negotiated procurement  schedules because the methods
lend  themselves   to  different  types  of  work.    There  may  be
projects,  however,  where  the  choice is less well  defined.   For
these, the  selection  of  one  method over  the other can  lead  to
time savings in the early stages of  the schedule.
                                 39

-------
            CHAPTER 7   PHASING/FAST-TRACKING ANALYSIS


7.1  INTRODUCTION

     This   chapter   serves  as  a  brief   illustration   of  the
relationship  of phasing  and  fast-tracking considerations  that
might  be  encountered  during  the  planning of  a project.    It
presents examples of generic flow chart diagrams for  the  decision
making process  associated  with  phasing and  fast-tracking.   These
diagrams  are  not   intended  to   be   complete  and  exhaustive
representations  of   the  analytical  process   and  all   the
considerations  involved  in expediting an  RD/RA  project.    They
are, however, presented to demonstrate the nature of  the  decision
making  process  associated  with  such  an   analysis   and  the
interrelationship of  the  two  techniques  of  phasing and  fast-
tracking.

     The  flow chart diagrams  are  presented  to  demonstrate  the
relationship of various considerations that might be encountered
during project planning.   It is  quite  possible that  the  order of
actual  considerations  may differ  from those  presented in  the
figures.   It is also  possible and  likely that any given project
might  present specific opportunities  for  schedule  optimization
that are not presented here.   The charts depict  a  general flow
process  from top to bottom and are  not  intended to depict  the
relative duration of process pieces by scale representation.  For
individual  projects,  some pieces  of  the  analysis  may  require
intricate  technical assessment.   Others may  be  so  obvious that
decisions  are  evident after   brief   contemplation  and  can  be
assessed concurrently with other considerations.
7.2  PHASING ANALYSIS

     The process  depicted in Figure  7-1  represents the  type  of
considerations  generally  encountered during  phasing  analysis.
Comments regarding  the  process  correspond to the  line  reference
numbers on the figure.

     1.   Segregate the  project  into discrete elements  that  can
          be defined  to  an extent  that permits  implementation on
          separate tracks.

     2.   Identify  any   timing  relationships   that  may  exist
          between  individual elements.    For example,  does  an
          access  road  need  to  be  completed  before  additional
          field activities can be started?  After the

                                 41

-------
                              FIGURE 7-1
                         PHASING ANALYSIS
©
©

©
Identify Discrete
Project Elements
                               Sequencing
                              Requirements
                         Identify &
                         Optimize
                                  Phase
                             Based on Physica
                               haracteristic
                               Information
                                 Limited
                              Phase & Pursue
                               Fast-Tracking
                                Hazardous/
                              Non-Hazardous
                                  gregatiq
Phase & Pursue
 Fast-Tracking
                          Fast-Track
                         as Approach
Phase Based on
  Technology
                                Information
                                  Limited
                              Phase & Pursue
                               Fast Tracking
                                    42

-------
     relationships  between  the  individual   elements   are
     defined in terms of sequence requirements,  they  should
     be  analyzed  for  optimization  of implementation.    A
     critical path  method  (CPM)  analysis  is  a  useful  tool
     for this purpose.

3.    The potential  for  phasing based  on physical  criteria
     should  be   considered.     Do  specific  physical
     characteristics  of  a  project  element   increase   its
     potential for successful segregation  from other project
     elements   and  acceleration  of  the   schedule   for
     implementation?  For  example,  consider  source control
     versus ground water treatment, or perhaps treatment of
     a physically  separated  mound of contaminated  material
     located on site.   A favorable finding with respect to
     this criterion may  result in  an opportunity to  expedite
     some aspect of the  project.

4.    If the  analysis is favorable  with  respect  to phasing
     based  on  a  given  criterion,  the  next  consideration
     should  be  to  determine the  information  requirements
     that  are  prerequisite  to  implementing  the  phasing.
     Ideally,  all  information  and  data  requirements   for
     RD/RA would be a product of the RI/FS.  This may  not be
     the case.  If the information needed  with regard  to the
     phasing scheme  would  result in  a large  time  schedule
     demand, it may negate the benefits of phasing  based on
     the considered  criteria.   For  example,   if  addressing
     the separate  mound of  contaminated  material  requires
     extensive  and   time  consuming  characterization,  it
     might not warrant segregation for phasing purposes.  If
     additional requirements  preclude the  practicality  of
     phasing, conventional  methods  should be followed  for
     that project element.

5.    If a favorable assessment is  rendered regarding phasing
     criteria  and  considerations,   fast-tracking  analysis
     should then be applied.   See  section  7.3.

6.    Frequently, aspects of a project that address hazardous
     material  involve  more  complex  and  time demanding
     efforts to address technical information or regulatory
     requirements.    For  this  reason,   it   is generally
     advisable to segregate project elements  that deal  with
     non-hazardous materials.  This distinction  may present
     itself as  a  straightforward  consideration  for phasing
     potential.
                            43

-------
     7.    If a favorable assessment is rendered regarding phasing
          criteria  and  considerations,   fast-tracking  analysis
          should then be applied.   See section 7.3.

     8.    The technology employed within  a  given  project element
          may also  be a useful  criterion for  assessing phasing
          potential.    In   the  simplest  example,   conventional
          technology  such  as  earth moving  might  present a  more
          easily  implemented  procedure than,  say,  some  form  of
          in situ  treatment.   For  a  complex  site,  it  may  come
          down  to  assessing  the  relative  schedule  demands  of
          employing various technologies.

     9.    If the  analysis  is  favorable  with respect  to phasing
          based  on  a given  criterion,   the next  consideration
          should   be  the  information   requirements   that   are
          prerequisite to implementing the  phasing.   Ideally all
          information and data requirements  for RD/RA  would  be a
          product of  the RI/FS.   This may  not be the  case.   If
          the  information   needed with   regard  to  the  phasing
          scheme would result in a large time schedule demand,  it
          may  negate  the   benefits  of  phasing   based  on  the
          considered criteria.

     10.   If a favorable assessment is rendered regarding phasing
          criteria  and  considerations,   fast-tracking  analysis
          should then be applied.   See section 7.3.


7.3  FAST-TRACKING ANALYSIS

     The process  depicted  in Figure  7-2  is intended  to present
the  type  of  considerations  generally  encountered during  fast-
tracking  analysis.    Fast-tracking  should  be  considered for  a
project up  front.   This presentation  represents the  process  as a
subset of phasing  considerations.   It should be pointed out that
even if a project  does not  lend  itself readily to phasing,  fast-
tracking analysis  should  still be  considered.   For purposes  of
this presentation,  assume that  the fast-tracking  analysis is for
a phased  element of  a project.   As with the  preceding section,
comments regarding  the  process correspond to  the  line reference
numbers on the figure.

     1.   Steps  are  the  discrete  activities that,   in  total,
          comprise the implementation of a remedial work element.
          Their definition allows a finer level of analysis to be
          applied to expediting considerations.


                                  44

-------
                           FIGURE 7-2
                   FAST TRACKING ANALYSIS
            (Assumes Prerequisite Phasing Analysis)
 Identify Discrete Steps of
     Project Elements
Assess Schedule and Environmental
          Implications
                                          Stnd/
                                      Existing Specs
                                         Available
                                                          Maximize
                                                            Use
  Potential for
Step Eliminatio
Identify &
Eliminate
  Sequencin
   equireme
                      Identify, Assess
                        & Optimize
                         Identify &
                         Address
Real Estate
  Issues
     VE
   Required
                       Schedule off
                       Critical Path
  Long Lead
  nst Equipme
                      Identify & Expedite
                           curement
   Employ
  Des/Const
    tagin
                       Define Approach
  Procurement
 Procurement
  Construction
                                               See Procurement Flow Chart
                                               Figure7-3
                                    45

-------
     2.    Inherent in the process of expediting a  project  is  the
          acceptance that some  form  of potential cost growth  or
          schedule slips may occur.  Protection  of environmental
          values  should  be  kept in  mind during  all  decision-
          making processes within the expediting  process.

     3.    Any  steps  within the project  element  that  can  be
          eliminated  should be.   A  specific area  which  might
          present a large potential  for time savings  is  design.
          Maximum use should  be made  of standard  or  existing
          design specifications where applicable.

     4.    Sequencing  requirements  as  they  apply  to  the  steps
          within  an  element should  be  identified and  factored
          into the optimization plan.

     5.    Real  estate issues,  such as access  and  acquisition
          requirements,  must be identified early in the  process
          because  of  their  potential  to   delay  the   project
          schedule.    They  can  essentially  be  considered as  a
          specialized sequencing constraint.

     6.    If the  results  of a  value engineering (VE)  screen  are
          positive,  steps should be  taken as  early  as possible to
          see that the VE analysis  is scheduled to  have  minimum
          impact on the project schedule.

     7.    Any equipment  requirements that present long-lead  or
          special procurement  problems  should be  identified  as
          early  as  possible in the process  so  that  attainment
          will not adversely impact  the schedule.

     8.    The potential for design/construction staging should be
          assessed and,  if appropriate,  optimally employed.  (See
          Chapter 4, section 4.3)

     The following comments  refer to Figure  7-3  and its  relation
to preliminary RD/RA procurement considerations:

     1.    This figure assumes previous  phasing and fast-tracking
          analysis.

     2.    When the  procurement  stage  is reached for  RD/RA,  the
          decision  must  be made  whether  to  make  use  of  an
          existing contract  mechanism or procurement of  a new on
          one.   The  former approach offers  a potential  for time
          savings.


                                 46

-------
                             FIGURE 7-3
                          PROCUREMENT
0
©
   Fast-Track
   Analysis
                   Existing
              Contract Mechanism
                                Select Appropriate
                                  Contract Type
                                                Select Appropriate
                                               Procurement Strategy
                 Mechanism Is ^x "0
              ppropriate & Available
Employ & Proceed
                  Fast Track
                  Analysis

-------
   3.   While  maximum use of  existing  contract mechanisms  may
        be desirable,  this may not be  a viable option in  some
        cases.   These contracts may  be subject to capacity or
        scope  constraints.   If  this proves  to be  the case,
        schedule  requirements  should be  reconsidered  in  the
        context  of a  contract mechanism.   The advantages  and
        disadvantages   of  various   contract  types   and
        procurement strategies  are presented in Chapters 5  and
        6, respectively.

   4.   Upon   consideration  of  the  appropriate   factors,  the
        approach  should be chosen  and  implemented expediently
        so  that  additional  fast-track  considerations  can  be
        addressed.

-------