3605-0034 OSWER936000
8ALLAS, ~-:w
REMOVAL COST MANAGEMENT MANUAL
January 1985
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EPAX8605-0034
PROTECTION
A.O.P.NCY
DALLAS, TEXAS
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I!
ACKNOWLEDGEMENTS
This manual was prepared by the Roy F. Veston Head-
quarters Technical Assistance Team (TAT) under Technical
Direction Document No. 138410-08 of EPA Contract No.
68-01-6669.
The EPA Project Officer for the manual was Jim Jowett
of the Emergency Response Division of the Office of Emer-
gency and Remedial Response. Special thanks is extended to
the many Regional On-Scene Coordinators, and TAT and U.S.
Coast Guard Strike Team members for their cooperation in
providing interviews and written comments.
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Preface
This manual is designed to provide comprehensive cost management
procedures for use by the Environmental Protection Agency (EPA) at
emergency response actions (removals) authorized under the Comprehensive
Environmental Response, Compensation and Liability Act (CERCLA or
Superfund). Specifically, this document should be used by the On-Scene
Coordinator (OSC) and other on-scene personnel designated by the OSC when
performing cost management activities at a Superfund removal site.
This manual supercedes cost control procedures detailed in the June
1982 Cost Control Manual for Superfund Removals. The guidelines and
procedures presented herein reflect CERCLA policy and guidelines under
the:
• National Contigency Plan (NCP), July 1982;
• Superfund Removal Procedures - Revision #2,
August 1984;
• Delegations 14-1-A, 14-1-B, and 14-2 or
delegation of removal authority to Regional
Administrators, April 1984; and
• ERGS Users' Manual, October 1983.
Supplemental information can be found in these documents and in those on
the List of References at the end of this manual.
Questions, comments and recommendations are welcomed regarding the
Removal Cost Management Manual and should be forwarded to the EPA
Project Officer for cost management:
Mr. James Jowett
Emergency Response Division :'WH-543-3)
U.S. Environmental Protecnon Agency
401 M Street,'S.W-.
Washington, D.C. 20460
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TABLE OF CONTENTS
LIST OF EXHIBITS v
LIST OF ACRONYMS vi
1. INTRODUCTION 1-1
1.1 Concept of Cost Management 1-1
1.2 Approach to Cost Management 1-2
2. COST PROJECTION 2-1
r2.1 Prefunding Cost Projection 2-1
2.2 On-going Cost Projection 2-7
2.2.1 Cost Tracking 2-7
f 2.2.2 Policy Regarding Investigatory and Enforcement Costs .2-11
3. COST CONTROL 3-1
. , 3.1 General Cost Planning 3-1
II 3.1.1 Identifying Non-Commercial Support Services
^ and Response Equipment Available to the Region . . . .3-1
3.1.2 Identifying Cost-Effective Cleanup Services
f*: . Available to the Region 3-3
H 3.1.3 Maintaining Field Safety Cost Information 3-3
3.1.4 Reviewing Past OSC Reports for Cost Information. . . .3-4
3.2 Cost Monitoring 3-4
3.3 Verification of Contractor Charges 3-5
3.3.1 Verifying Personnel Charges 3-6
3.3.2 Verifying Equipment Charges 3-7-
3.3.3 Verifying Expendable Materials 3-7
3.3.4 Verifying Subcontractor Charges 3-8
3.3.5 Signing the EPA Form 1900-55 3-9
3.3.6 Certifying Vouchers 3-9
4. COST RECOVERY 4-1
4.1 Justifying that Removal Actions are Consistent with the NCP .4-1
4.2 Accounting for Costs Actually Incurred 4-2
4.3 Ensuring that Costs are Reasonable and Allowable to cne
Project 4-2
5. COST DOCUMENTATION 5-1
5.1 Information ~o be Documented. .,.,, , .j-i
5.1.1 Chronology of Events and Decisions 5-2
5.1,2 Entry and Exit of Personnel and Equipment. .... .5-&
5.1.3 Contractor Work Planned and Contractor Work
Accomplished 5-4
5.1.4 Contractor Costs 5-5
5.1.5 Site Conditions 5-5
5.1.6 Cumulative Project Costs 5-5
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•TABLE OF CONTENTS
(Continued)
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5.2 Options for Documenting Costs 5-5
5.2.1 OSC Log 5-6
5.2.2 Detailed Daily POLREP 5-7
5.2.3 Entry and Exit Logs 5-7
5.2.4 Work Report 5-7
5.2.5 Contractor Cost Report -- EPA Form 1900-55 5-8
5.2.6 Incident Obligation Log 5-8
5.3 Fulfilling Cost Documentation Requirements 5-9
LIST OF REFERENCES
INDEX
APPENDICES:
APPENDIX A: EPA Action Memo Format for Immediate Removals
APPENDIX B: EPA Procedures for Initiating Immediate and Planned Removals
APPENDIX C: Federal Government and TAT Personnel Rates
APPENDIX.D: Cost Projection Example
APPENDIX E: EPA Administrative Procedures for Securing Assistance from
Other Federal Agencies at Superfund Sites
APPENDIX F: Memorandum of Understanding Between the U.S. Coast Guard and
the Environmental Protection Agency
IV
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LIST OF EXHIBITS
2-1 Steps to Develop Prefunding Cost Projection 2-3
' 2-2 Costs Counted Toward Project Ceiling and $1 Million
Statutory Ceiling 2-9
2-3 Methods of Obtaining Removal Cost Data 2-10
•• 5-1 Cost Documentation Matrix 5-3
5-2 Example of an OSC Log 5-11
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5-3 Example of a Detailed POLREP 5-13
5-4 Example of a Personnel and Equipment Site Entry and
Exit Log 5-15
5-5 Example of a Hot Zone Entry and Exit Log 5-16
I 5-6 Example of a Work Report 5-17
5-7 EPA Form 1900-55 5-18
^^ 5-8 Example of an Incident Obligation Log 5-21
f 5-9 Example of a Cost Documentation Index 5-22~
5-10 OPPM Suggested File Structure (Abbreviated) 5-23
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LIST OF ACRONYMS
AA Assistant Administrator for the Office of Solid Waste and
Emergency Response, EPA
CDC Centers for Disease Control
CERCLA Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 (PL 96-510)
CLP Contract Laboratory Program
DPO Deputy Project Officer, EPA
ERCS Emergency Response Cleanup Services
EPA Environmental Protection Agency
ERT Environmental Response Team
FEMA Federal Emergency Management Agency
FIT Field Investigation Team
FMD Financial Management Division, EPA
FMS Financial Management System
HQ EPA Headquarters, Washington, D.C.
IAG Interagency Agreement
IOL Incident Obligation Log
MOU Memorandum of Understanding
NC? National Contingency Plan
NRT National Response Team
ISC On-Scane Coordinator
QSWER Of fir,?, nf Solid Vasta and Emergence Response, EPA
POLREP Pollution Report
RA Regional Administrator, EPA
RRT Regional Response Team, EPA
TAT Technical Assistance Team, Roy F. Weston, Inc.
USCG United States Coast Guard
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CHAPTER 1
INTRODUCTION
! The Removal Cost Management Manual outlines a comprehensive cost
. management system for use by the U.S. Environmental Protection Agency
(EPA) at emergency response actions (removals) authorized under the
M Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA or Superfund). This system requires that specific on-scene cost
!
| information be documented while offering flexibility to the OSC in
,.. documentation techniques. This manual modifies and updates cost control
1 procedures detailed in the June 1982 Cost Control Manual for Superfund
Removals.
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I 1.1 CONCEPT OF COST MANAGEMENT
•P" The purpose of on-scene cost management is to ensure that public
1
* funds are expended responsibly and that threats to public health,
1' welfare, and the environment are mitigated in a manner that is consistent
with Superfund and the National Contingency Plan (NCP). In addition,
I conscientious cost management strengthens the 7eaerai government's claims
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when seeking reimbursement from responsible parties for response costs
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incurred during a government-initiated CERCLA removal.
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•Jltimarsly,, Jn-scane Coordinators ^OSCs) are responsible for ensuring
1 that removal costs are managed and documented adequately. As the Federal
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decision-makers on site, OSCs are often summoned to justify actions taken
and funds expended under their command. Therefore, it is essential that
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OSCs implement a program that ensures that resources are used effectively
and efficiently and that adequate documentation exists to substantiate
removal decision-making and expenditures.
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j This manual offers guidance to OSCs on how to develop such a
program. Each chapter addresses one of the major elements of an
§ effective cost management program. Chapter 2: COST PROJECTION describes
a method for reasonably projecting and tracking removal costs. This will
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I aid the OSC in avoiding cost overruns and delays associated with seeking
increases in the project's approved cost ceiling. Chapter 3: COST
CONTROL explores ways to control on-scene costs through general cost
I • planning, monitoring contractor cleanup efforts, and verifying contractor
charges. Chapter 4: COST RECOVERY describes the OSC's role in
L, maintaining legally defensible records that can serve, when needed, to
support cost recovery actions against responsible parties. Finally,
Chapter 5: COST DOCUMENTATION provides suggestions on how to document
T costs so that the information necessary for cost projection, cost
control, and cost recovery is recorded in an easily accessible manner.
4 list of references and appendices are also provided as support material
to tne cost management system.
:.2 APPROACH TO COST MANAGEMENT
A basic ~aner of removal cost management is zhat costs can oe managed
1. and documented most affectively from the removal-site command pest. The
best time to control and document costs is as they occur. The primary
responsibility of cost management rests with the On-Scene Coordinator.
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Given the emergency nature of CERCLA removal actions, the demands on
the OSC's time and attention are great. It is understood that the OSC
alone will not be able to carry out all cost management responsibilities,
and therefore will delegate certain duties to other on-scene personnel.
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I The cost management scheme outlined herein, therefore, strives to achieve
effective cost management without excessive paperwork and duplication of
H effort.
The success of the cost management approach is largely dependent on
detailed documentation of on-scene activities and costs. It emphasizes
the specific information necessary for effective cost management, rather
L; than the specific form for recording such information.
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As a result, particular attention should be given to Chapter 5, which
outlines the information that must be provided by the OSC for each
removal action. This information is required, and the OSC will be held
( responsible for ensuring that the information is recorded in an easily
f retrievable .and coherent manner. To help OSCs develop cost documentation
suited Co tneir needs. Chapter j aiso outlines various documentation
( tools available to the OSC for fulfilling each information requirement.
An OSC may use any form or combination of forms to document the required
' information, althougti tne one fern that is required to be completed xs
j, the Contractor Cost Report (EPA Form 1900-55). In addition, each piece
of recorded information must be filed in an organized manner for future
reference.
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The cost documentation approach described herein provides the OSC the
flexibility necessary to take into account site-specific conditions and
personal management style when documenting costs. For example, some OSCs
' prefer to place more emphasis on certain documentation options, such as
the OSC Log or the Pollution Report (POLREP). As long as the required
information is documented, the manner of presentation is less important.
™ The choice of forms, therefore, is left to the discretion of the OSC.
, , The specific information that must be recorded, however, is consistent
for all removal actions.
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CHAPTER 2
COST PROJECTION
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f An OSC must be able to project costs and track funds expended to-date
. in order to anticipate initial and on-going funding needs. Prior to the
^ approval of a removal action, the OSC must estimate the total project
W cost (project ceiling) in order to request sufficient funds for the
completion of the action. Once a removal begins, the OSC must keep an
f
) accurate account of funds spent in order to anticipate the need for
, increases in the project ceiling and/or an exemption from the statutory
' $1 million dollar limit. This chapter explains the importance of both
t~ prefunding and on-going cost projections and suggests methods for
estimating and tracking costs.
2.1 PREFUNDING COST PROJECTION
\
The EPA Regional Administrator (RA) or Assistant Administrator (AA)
of the Office of Solid Waste and Emergency Response (OSWER) will deter-
mine whether to initiate a removal action under CERCLA based on informa-
tion provided in an Action Hemo prepared oy the OSC i.see Apoendix A). An
important element of the Action Memo is a projection of the total project
cost broken down into individual cost units ("e.g., Technical Assistance
Team ''"AT}. Stare, Emergency Resnonse "leanup Services 'ERCS^., -PA intra-
mural). Once approved, the Action Memo's cost projection becomes the
formal project cost ceiling. The overall'project ceiling is a formal
limit that may not be exceeded without approval of the RA or AA, OSWER,
as detailed in Appendix B.
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An OSC may avoid the time-consuming approval process that accompanies
ceiling increases by providing a reasonable prefunding cost projection in
the Action Memo. The following discussion suggests an optional 9-step
approach for preparing prefunding cost projections (see Exhibit 2-1).
Appendix D provides an example of this cost projection method applied to
a hypothetical removal project.
Step 1: Conduct a preliminary assessment. Prior to developing an
Action Memo, the OSC must assess the need for a Federal action in
accordance with the NCP. When conducting a preliminary assessment, the
OSC must:
• determine the location of the emergency, the
extent of contamination, the population at risk,
and all details of the situation that will define
the objectives of the removal action;
• assess the immediacy and significance of the
| threat to public health and/or the environment, '
as well as the precautions that must be taken for
the safety of response personnel; and
1 • identify whether a non-Federal party (or
parties) exists that is ready, willing, and able
f ' to undertake a proper response.
, Step 2: Identify objectives of the removal action. Using the
i preliminary assessment, the OSC must define the objectives of the removal
action. These ob]ectives should identify vhat
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Exhibit 2-1
STEPS TO DEVELOP PREFUNDING COST PROJECTION
r Step 1
Conduct a preliminary assessment of work required to mitigate the
emergency and/or stabilize the site in accordance with the NCP
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Step 2
[ Identify objectives of the removal action
Step 3
Develop scope of work
Step 4
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Develop a wireframe for the project, including time allotments
for each phase
Step 5
Identify equipment and personnel requirements for scope of work
Step 6
Determine cleanup contractor costs using ZRC3 ana otner aommerciaJ
rates, and estimate waste transportation and disposal costs
Step
Determine direct: £?A. otner Federal assistance qnd TAT costs
Step 8
Estimate other costs
Step 9
Calculate the project ceiling
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Step 3: Develop scope of work. After the objectives of the removal
action have been defined, the OSC must develop the scope of work and
decide what specific tasks must be performed. Because there may be
1 significant data gaps in the information available at this early stage,
I the OSC must make assumptions about the nature and extent of the tasks at
i
hand (e.g., the number of drums that must be staged and removed from the
P site or the dimensions of a containment pond that should be
constructed). OSCs must use their professional judgment to make the best
estimate possible given the limited information available. At the
inception of a removal project, the scope of work should be developed
independently of cleanup contractor input.
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Step 4: Develop a timeframe for the project. The project's time
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frame will dictate whether daily, weekly, or monthly ERCS equipment races
are used to calculate costs. Because monthly rates can provide a
substantial savings for long-term projects, accurate projections of
project length are an important budget consideration. Past experience
and OSC reports are probably the two best sources of information for
determining the amount af time needed to complete a project. Site
conditions (i.e., hazards, weather, and mobility of heavy equipment) have
in Important bearing on determining the length of the operation. Time
mist be allowed for contractor aobil.isaticn, decontamination, and
demobilization during the project.
Step 5: Identify equipment and personnel. An OSC should consider
the following factors when determining the type and quantity of equipment
and personnel necessary to accomplish the objectives of the removal:
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• availability of Federal personnel and
government-owned equipment;
• availability of contractor specialized
equipment (i.e., drum grapplers, portable
effluent treatment systems, etc.);
• safety requirements that limit the use of
personnel and/or equipment;
• mobilization, decontamination, and
demobilization procedures needed;
• necessary waste transportation and disposal
operations; and
• local ordinances that require on-going
security, fire, and police protection at the site.
Step 6: Estimate cleanup contractor, subcontractor, waste
transportation and disposal costs. The ERGS contractor price list is
the major source of information for obtaining rates for the various
cleanup personnel and equipment identified in Step 5. When appropriate,
r it is important to include per diem expenses when estimating the labor
costs for the cleanup contractor. For items not covered by the ERCS
| price list, the OSC can refer to standard construction cost information
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manuals, commercial price lists obtained from other contractors, product
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| literature, and past OSC reports for cost information. Because there are
currently no negotiated -pries lists for wasta transportation and disposal
charges, the OSC must roughly istimata these costs based jn axperienca
and pasr. DSC reports.
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A .
f" To allow for unforeseen contractor expenses that may arise during a
removal (i.e., discovery of additional hazardous materials and delays
resulting from poor weather conditions or equipment failure), a
contingency allowance of at least 15 percent should be added to the
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contractor cost estimate. The specific percentage rate used for the
contingency allowance must be determined on a site-by-site basis,
depending on the particular conditions at each site.
Step 7: Determine direct EPA, other Federal assistance, and TAT
costs. An estimate should be made of the costs for direct EPA, other
Federal agency, and TAT assistance. Labor rates for Federal Government
and TAT personnel are listed in Appendix C. Per diem and travel expenses
for EPA personnel must be included. The TAT rate (which is a national
average) already includes per diem, travel, overhead, and fringe benefits.
Step 8: Estimate other costs. In addition to the expenses listed
above, there are many other costs that may affect the removal cost
ceiling. An analysis of previous removals has shown that these cost
elements generally account for about 15 percent of the total project
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cost. Rather than estimate these costs individually, an OSC can add
15 percent of the major costs (Steps 1-7) to cover costs that include the
following:
support contractor costs, including the
Environmental Response Team contract with
IT Corporation, the national Contract Laboratory
Program (CLP), and the Field Investigation Team
'-, • state and local agency sosts obtained by letter
contract or cooperative agreement;
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' • other external costs, such as utilities,
materials, right-of-way payments, etc.;
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• indirect costs, including EPA Regional and
Headquarters management and administrative costs;
and
• Regional laboratory costs.
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The OSC may believe that certain other projected costs will be unusually
high at the removal site. For this case, the OSC should individually
estimate any "other cost" that is expected to be significant and include
it in the subtotal of Steps 1-7 prior to calculating the 15 percent for
all other costs.
• Step 9: Calculate the prefunding or project ceiling. The project
ceiling should be the sum of all personnel, equipment and other costs
estimated for the project (Steps 1-8).
1 2.2 ON-GOING COST PROJECTION
F Removal cost projection does not end with the signing of the Action
Memo. On-going projection and tracking are essential elements of all
removals. OSCs must keep track of remaining funds in order to anticipate
^
•*- the need for ceiling increases or an exemption to the $1 million
statutory limit. If a removal action exceeds the cost ceiling or goes
/ over $1 million without an exemption, site work must cease immediately,
and the site must be demobilized until the necessary approval has been
1 received. This delay may pose a serious threat to human health ind the
environment. Moreover, work stoppage and demobilization are costly and
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an inefficient ase of Federal funds and personnel. A reasonable on-going
projection, however, can ,ielp 3SC.S avoid axceeaing statutory or pro jeer
limits inadvertantly.
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2.2.1 Cost Tracking
The cornerstone of on-going cost projection is accurate daily cost
tracking. This cannot be over emphasized. To estimate the funds
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remaining to complete a removal, the OSC must have a reasonably accurate
idea of the costs incurred to date. Therefore, the OSC must develop a
system to track, on a daily basis, the costs being charged against a
project ceiling.
The task of developing such a system is complicated by the fact that
many costs that count toward the project ceiling and the $1 million
statutory limit are not readily available to the OSC on a daily basis
(e.g., off-site Regional and Headquarters personnel costs). As a result,
an OSC could exceed a statutory or project ceiling because of charges
beyond his/her direct control or knowledge. Exhibit 2-2 summarizes the
costs that apply toward the project ceiling.
As discussed in Section 2.1, data from previous removals demonstrate
that four major cost categories generally account for more than 85
percent of a removal's price tag. These categories are:
I • cleanup contract (ERCS) costs, including
subcontractor charges such as transportation,
i"7 disposal and analytical laboratory costs:
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" .support contractor costs, including TAT
, personnel costs;
• other Federal agency personnel costs ''e.g.,
USCG Strike Team. TEiMA") • -and
t_ * ^?A direct; zos~s '«..j., intramural costs for
on-site personnel salaries, travel, per diem).
Therefore, an OSC can derive an estimate of the cost-to-date of a removal
by tracking the above four elements on a daily basis and adding 15 percent
to approximately account for all other costs (i.e., indirect costs, other
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Exhibit 2-2
COSTS COUNTED TOWARD PROJECT CEILING
AND $1 MILLION STATUTORY CEILING
Extramural Costs
• Clean-up contractor and consulting costs, including
waste transportation and disposal, now provided
principally under the Emergency Response Cleanup
Services (ERGS) contractor system;
• Support contractor costs, including Technical
Assistance Team (TAT), Environmental Response Team
contract with IT Corporation, national Contract
Laboratory Program (CLP), and Field Investigation Team
(FIT);
• Other Federal agency costs charged to CERCLA,
generally U.S. Coast Guard (USCG), Federal Emergency
Management Agency (FEMA), and Centers for Disease
Control (CDC), as either ongoing activities or through
a site-specific Interagency Agreement (IAG);
• State and local agency assistance obtained by letter
contract or cooperative agreement; and
* Other costs sucn as utilities, jaatariais,
ri^nt-ox-way payments, ate.
Intramural 3osts
" ~£PA direct ;osts. including cm-'sita ZP£ personnel
is, overtime., '-.ravel, inti oer iiam:
IT--
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Direct costs incurred by EPA s £nvironmentai
Response Team;
Indirect expenses, including EPA Regional and
Headquarters management and administrative costs and
fringe benefits; and
-EPA Regional laboratory costs.
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Exhibit 2-3
METHODS OF OBTAINING REMOVAL COST DATA
Type of Cost
Contractor
Method of Obtaining Cost
EPA Form 1900-55 from cleanup contractor
TAT
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USCG Strike Team
Other Federal Agency/
Site-Specific
Multiply on-site TAT hours by the loaded
hourly rate (see Appendix C). The total will
be an estimate which includes salary, per
diem, travel, and overhead.
Strike Team will provide a daily cost
accounting upon request.
When an TAG for special assistance at a site
is employed (e.g., a FEMA-managed temporary
relocation), the-agency representative should
be able to provide costs of the agency
services to date on a regular basis.
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State and Local
At the request of the OSC, State and local
personnel will provide a daily accounting of
costs.^ (Total State and local agency costs
aay not ae available until che and of "Me
removal acrion."
EPA/ERT Intramural
Multiply on-site EPA/ERT hours by the
appronrzate GS oay rare 'see Aopendix
:idd ser nem .and travel cost.3
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laboratory fees, and state and local agency costs). Exhibit 2-3
identifies the methods by which daily cost information can be obtained
for the above four elements. In addition, Chapter 5 includes a suggested
i Incident Obligation Log (IOL) that is designed to help the OSC keep a
running total of overall project costs and individual totals for each
major cost category (e.g., ERGS, EPA, TAT). The objective of this form
p is to organize all cost information on a single sheet, thus allowing the
i
OSC (or designated cost manager) to track costs toward the overall
I
1 ceiling and the individual category limits (ERCS, TAT, etc.)
simultaneously.
| 2.2.2 Policy Regarding Investigatory and Enforcement Costs
CERCLA exempts all investigatory and enforcement costs from the
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$1 million statutory ceiling and the overall project ceiling. After a
removal action begins, it can be difficult to keep separate on-site
accounts for investigatory or enforcement-related activities.
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In recognition of the difficulty of maintaining separate cost
^
.accounts for enforcement and investigatory .activities, ;he removal
program has adopted the policy that all on-site costs that are directed
by the OSC and performed by response personnel after the removal action
aas oeen approved ^re ;o be counted is response costs dna therefore are
co be applied coward cne project cost ceiling.
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CHAPTER 3
COST CONTROL
The second element of cost management, cost control, ensures that
public funds are expended responsibly and that cleanup resources are used
f— effectively and efficiently to avoid unncessary removal costs. Cost
control involves three primary tasks:
1
• general cost planning;
!
I • cost monitoring; and
• verification of cleanup contractor charges.
This chapter explores each of these cost control mechanisms in turn.
p 3.1 GENERAL COST PLANNING
^ Cost control begins before the removal action is initiated by
planning to ensure that the government secures whenever possible the most
cost effective services and equipment available. This section identifies
a number of planning activities that an OSC should undertake to become an
f effective cost manager.
I
3.1.1. identifying Mon-commerciai Support Services and Response
Equipment Available to the Region
Often support services and response equioment may be available
tnrougn "aaeral. State, IT local agencies at a lower cost than through
m available commercial vendors. To identify least-cost resources, an OSC
can:
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• Review National, Regional, and State
contingency plans. Contingency plans often list
expertise and equipment available through
different agencies and, therefore, are an
important resource for the prospective cost
manager. By reviewing existing contingency
plans, the OSC can identify the response
capabilities of organizations available to assist
the regional project (e.g., member agencies on
the Regional Response Team). These plans may
also help identify non-commercial sources of
response equipment (e.g., emergency lighting
through a local maintenance department).
• Identify responsibilities and roles that other
Federal agencies may play in response
activities. As delegated in Executive Orders
12316 and 86735, a variety of Federal agencies
may be called upon by an OSC during the planning
or implementation of a response to provide
assistance in their respective areas of
expertise. Appendix E provides a description of
the assistance other Federal agencies may offer
at Superfund response actions.
• Review existing agreements with Federal and
State agencies for the performance and
reimbursement of Superfund-related activities.
EPA has negotiated several standing agreements
* with Federal and State agencies for the
performance and reimbursement of certain
Superfund-related activities. Such agreements
[ may take a variety of forms, including Memoranda
of Understanding (MOUs) or Interagency Agreements
f - (lAGs) with Federal agencies and cooperative
agreements or Letter Contracts with States. OSC.3
1 should review existing documents 'such as the
January 4, 1982 MOU between the EPA and the USCG,
reproduced in Anpendix F> to learn the terms of
l . the agreements and the resources made available.
Tn addition, an OSC should become familiar with
cne procedures /or securing ^na compensating
( • Federal .-ma Stats agencies for services rendered
~" on sire. Appendix Z summarises cae -urrcnr
administrative procedures for procuring such
. " .services and includes an axpianation of SPA'j;
relationship with the USCG.
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3.1.2 Identifying Cost- Effective Cleanup Services Available
to the Region
Designated ERGS contractors are responsible for providing cleanup
services to EPA. However, there are limited occasions when EPA may need
to go outside the ERGS contract (e.g., when the need for an immediate
response is so acute that it exceeds the response time requirements in
the ERGS contract, or when a conflict of interest arises for the ERGS
contractor on a particular removal action). Under these extreme
situations, the OSC must obtain authorization from the EPA Procurement
and Contracts Management Division to use another cleanup contractor. As
a result, the OSC should maintain familiarity with the capabilities of
other cleanup contractors in the Region. Updated services and cost
information should be requested periodically, and the service information
should be verified whenever possible by Regional personnel. (It should
be noted that if a waste management facility, is to be used as part of the
cleanup operations, the NCP requires that the facility be in compliance
with Subtitle C of the Solid Waste Disposal Act, as amended by RCRA.)
3.1.3 Maintaining Field Safetv Cost Information
The level of protection required for workers on site will affect the
r
-c of a removal action. The OSC should, therefore, maintain cost
information on .safety icmiument. -.osr.3 of operating -uid maintaining chat
equipment 'available' through ZRCS ;ontractorn), ina ..nrormaEiion in the
length of time required to r?erform cleanup tasks in all levels of
protection.
3-3
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r
3.1.4 Reviewing Past OSC Reports for Cost Information
OSC reports from previous removals generally contain technical
information on field operations, a chronological history of the work
completed, and the costs incurred. By reviewing these reports for cost
data associated with specific tasks (e.g., staging drums, regrading for
surface drainage), information can be obtained to assist with estimating
the costs of similar tasks at other removal actions.
Costs in earlier OSC reports may not be directly relevant now that
the ERCS contracts are in place. Also cost data in the more recent OSC
reports should be cross referenced to current ERCS rates. Cost data
should be adjusted for inflation.
3.2 COST MONITORING
^-
On-scene monitoring of contractor work is an essential feature of
controlling costs at Superfund removal actions. Monitoring actions as
they occur can lead to significant savings by ensuring that:
* -ill vork is ionsisrant vim OSC instructions;
• the contractor uses equipment and personnel in
the jnost cost-effective manner;
•* the quality of work ...s adequate ~o protect
Duoiic aeaith, veifars, ind the environment; and
•* oite worKers adhere co safety protocols and
demonstrate common sense in their actions.
In addition, the cost monitor can support cost recovery actions by
verifying that a removal's price tag was not inflated by improper or
excessive use of contractor resources.
3-4
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An OSC's ability to monitor site work adequately is determined
largely by two factors: (1) the number of personnel available to oversee
contractor activities and (2) the number of removal activities (e.g.,
diking, tank draining, drum staging) that occur concurrently. The OSC
should use available resources (i.e., EPA, TAT, USCG, and State
personnel) to the extent practicable to ensure adequate oversight of
p cleanup contractor performance. At the OSC's discretion, non-Federal
monitors such as TAT or State personnel may observe the contractor and
i
report any suggestions or problems to the OSC. Non-Federal employees
such as TAT perform oversight functions; they only carry out the
instructions of the OSC and give no direction themselves. The OSC
* should make every effort to be on site as much as possible to give proper
direction.
s'
OSCs must use their professional judgment when deciding how to
allocate their available personnel among competing site activities.
L, Invariably, there will be pressure to use available personnel for
important site duties (e.g., site safety officer and security officer) in
i addition to cost monitoring. The OSC, however, must not underestimate
the importance of cost monitoring. Indeed, full time supervision may be
reauired for certain high cost operations.
3.3 VERIFICATION OF CONTRACTOR CHARGES
j Under ERCS, the contractor must complete a daily Contractor Cost
Report (EPA Form 1900-55), identifying all charges that will be billed to
che Federal government as a result of each day's service. (See copy and
description of EPA Form 1900-55 in Chapter 5.)
3-5
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[
[
The OSC verifies the EPA Form 1900-55 to confirm that contractor
services were rendered as stated. In doing so, the OSC confirms that the
hours of work charged for personnel, equipment, and any other services
are correct. Rate verifications, however, are not the responsibility of
the OSC (see Section 4.3). Daily verification of the Contractor Cost
Report provides a check on possible contractor oversights (and abuses).
Verification also helps to avoid dispute of specific contractor charges
in cost recovery actions (see Chapter 4).
The following section describes suggested methods for verifying
(1) personnel charges, (2) equipment charges, (3) charges for expendable
I materials, and (4) subcontractor charges. In addition, Section 3.3.6
explains the procedures for certifying contractor vouchers and
reconciling disputes over vouchers.
v. •
i,
3.3.1 Verifying Personnel Charges
: Personnel costs can constitute a large portion of overall removal
costs and therefore should be carefully documented. The OSC or other
1 designated on-site personnel can verify personnel charges by routinely
recording what personnel are on-site, the duties that they perform, and
the \ength of time that they remain on-sita. This information can then
he -ross-referancad with tne oersonnei "har.^es orovideci >n "he UFA "oral
1900-55. The reliability and effectiveness of this technique is
•*•
i dependent on how consistently personnel information is recorded and how
thorough the documentation is. Chapter 5 elaborates on how to log
on-site personnel activity for the purpose of verifying hours and costs
3-6
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»
for all on-site personnel. It is also important for the OSC to maintain
a record of personnel hours spent in the hot zone in order to verify
charges for contractor work hours in protective gear.
3.3.2 Verifying Equipment Charges
The OSC can improve the cost effectiveness of a removal by ensuring
that equipment charges are correct, and by understanding the ERCS
equipment rate schedule and adjusting work practices accordingly.
The ERCS contract establishes hourly, daily, weekly, and monthly rate
schedules for the majority of equipment necessary on-site. OSC decisions
on equipment standby and the length of a working day will dictate which
rates are used and how much the government is charged. To verify that
equipment charges are accurate, the OSC or other designated on-site
s*
personnel must prepare a record of what equipment was on-site, the length
of time that each piece of equipment remained on site, and whether or not
it was used. See Chapter 5 for mechanisms to record equipment use.
For more information on tne ERCS equipment rate schedule, consult the
ERCS Contract or the EPA Headauarters Contracting Officer.
3.3.3 Vertfving Expendable Materials
Charges for expendable materials are difficult to verify, as most
verification methods cost more in terms of time and money than are saved
in correcting errors in contractor charges. However, periodic
inventories of expendable materials can be performed to verify contractor
charges for these materials. The OSC should include a requirement in the
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Delivery Order for the ERCS contractor to provide a preremoval inventory
of expendable materials and subsequent updated inventories on a regular
basis. The OSC log should also note the arrival of significant
quantities of expendable items delivered to the site. The OSC or other
designated on-site personnel can then verify these inventories and use
them to substantiate expendable material charges itemized in the EPA Form
1900-55. For further information on Delivery Orders, see Chapter 4, EPA
ERCS Users' Manual, October 1983.
3.3.4 Verifying Subcontractor Charges
The OSC or other designated on-site personnel must verify all ERCS
subcontractor charges claimed on the EPA Form 1900-55 by carefully
checking subcontractor invoices. Current ERCS contracts allow for a
handling charge on subcontractor charges by ERCS contractors.
s
Under the ERCS contracts, the authority of the Government to consent
or not consent to the award of any subcontract rests with the OSC.
Before consenting to the award of a subcontract, the OSC should ascertain
liow and why a particular subconrracror »as aaiecTad, including .aeasuras
taken to ensure competition and reasonable prices. The ERCS contractors
I are required by the terms of their contract to obtain competition to the
maximum pracricaoie -ixranr. and ~o present r.o me OSC upon demand ;ne
r-<
rssuici; of jucn competition, ;ne record 01 price negotiations, ana cne
""" rationale for jsiection or every ^uoconrractor.
•
3-8
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3.3.5 Signing the EPA Form 1900-55
Once the OSC has verified all the charges listed on the EPA Form
1900-55, the form is signed by the OSC. The OSC can always refuse to
sign an EPA Form 1900-55 if it cannot be reconciled with the OSC's cost
documentation. If a discrepancy exists, the OSC and contractor
representative should try to reconcile the difference. If the difference
is irreconcilable, the OSC then refers the matter to the EPA Headquarters
Contracting Officer.
Sometimes, actual costs may not be available and estimated costs will
be listed on the EPA Form 1900-55. In such cases, the amounts should be
clearly marked as estimates, with "await bill" annotated next to the
estimated charge.
3.3.6 Certifying Vouchers
Each month, the ERGS contractor prepares a detailed voucher (bill) of
the actual costs incurred on site, a copy of which is sent to the OSC.
Contractor vouchers submitted for payment must be certified promptly by
the OSC. Mote, however, ;hat certification of a voucher implies only
that the services have been rendered. Certification does not represent
that invoiced costs are accurate, complete or reasonable.
If chere xs & portion of tne voucher that cannot be reconciled with
che contractor, the OSC should certify the voucher except for the
disputed amount, clearly state what amount is and is not accepted, and
forward the certification to the Financial Management Division (FMD) in
3-9
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Research Triangle Park, N.C. A copy of this should be immediately
forwarded to the Contracting Officer, who can attempt to resolve the
problem or authorize FMD to withhold payment.
General procedures for certifying ERGS vouchers are presented in the
EPA ERGS Users' Manual, dated October 1983.
3-10
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CHAPTER 4
COST RECOVERY
The on-site observation and documentation of site conditions,
response activities, and response costs are important for cost recovery
actions brought against responsible parties. Essential evidence required
for a cost recovery action includes the following:
• evidence of a release or substantial threat of
release of a hazardous substance;
• evidence of responsibility of the defendant(s)
for the presence of the hazardous substance;
• proof that the removal action taken was
consistent with the National Contingency Plan
(NCP); and
• proof of costs of the removal action taken by
EPA.
The OSC plays a critical role in observing, documenting, and
preserving the above evidence. In the role of overseeing the on-scene
i cost management system, the OSC is responsible in particular for the last
I' two kinds of evidence. In addition, the OSC must ensure that the costs
ire raasonaoie and allowable -:o the project,
r
i
tent with the NCP. The determination of the removal action's consistency
with the NCP is usually established in the Action Memo authorizing the
removal action. Any changes in the scope or nature of the removal activ-
ities must be collaborated in at least one of several documents, such as
4-1
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the OSC Log, POLREPs, or a ceiling increase request memorandum. A brief
description of how the removal activity is consistent with the NCP should
accompany this documentation.
4.2 ACCOUNTING FOR COSTS ACTUALLY INCURRED
The Financial Management System (FMS) which is maintained by the
Financial Management Division (FMD), is the Agency's official source for
fund obligation and disbursement data. Accordingly, the FMS is the
primary source of evidence for costs actually incurred at a removal site
for cost recovery actions. However, not all costs currently incurred at
a site are identified as such in the FMS. Examples include the TAT and
Contract Lab Program.
Ihe cost information kept on site by the OSC is necessary to
determine if additional cost information needs to be collected directly
t
from other sources. It is important to emphasize again that on-site cost
| documentation is the primary source of information as to how and why
costs were incurred at a removal site.
f 4.3 ENSURING THAT COSTS ARE REASONABLE AND ALLOWABLE
, TO THE PROJECT
The reasonableness or ail charges oairi inder inv ieiiverv oraer xs
ihe responsibilitv of r,he ^ontracring Officer,, aor ".he ^n-Scene
Coordinator. Mlowabilitv is another determination of the Contracting
Officer. The OSC has no authority to negotiate prices or rates, or to
determine alienability of ,;osts.
4-2
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CHAPTER 5
COST DOCUMENTATION
Successful cost projection, cost control, and cost recovery depend on
accurate documentation of important daily site information. The cost
management system in this manual focuses on required information
necessary to fulfill cost management goals. It does not establish
required forms that must be used to document this information. The OSC
must ensure that the cost management and related information, detailed in
Section 5.1, is documented every day when appropriate.
The method used to document the information must be consistent from
day to day at any one site. The method of documentation, however, may
vary from site to site or region to region. Each OSC is responsible for
ensuring that the required information is documented, and that a
Documentation Index is prepared, thus indicating where to retrieve each
type of information (see Section 5.3).
This chapter outlines the six types of cost information that must be
documented at %very Superfund removal site. It also provides alternative
documentation tachniaues-
5.1 INFORMATION TO BE DOCUMENTED
As mentioned above, the requirement of the on-s.cene removal cost
management system is to record and preserve specific removal site
information essential for effective cost management. Briefly, the
5-1
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required information necessary for proper cost documentation includes the
following:
• chronology of events and decisions;
i • entry and exit of personnel and equipment;
• contractor work planned/authorized and
contractor work accomplished;
l~ •
V-t
c
• contractor costs ;
• site conditions; and
• cumulative project costs.
On-scene information can be documented by the OSC and/or by other
personnel who perform the specific job functions of cost manager, and
safety and security officer. The on-scene cost manager documents the
chronology of events and decisions, contractor work planned/authorized
and accomplished, contractor costs, cummulative project costs, and
prepares the Documentation Index (see Section 5.3 for the Index). The
on-scene safety and security officer documents site conditions, and entry
and exit of personnel and equipment. When the scope of work is limited,
the cast manager will double as the safety
-------
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.
why they were taken; problems encountered on-site and how they were
resolved; activities carried out by on site personnel; all meetings with
EPA managers, the contractor, elected officials, and the public; and any
accidents or incidents of exposure.
A chronology provides an account of site activities for EPA
management, Congress, and the public. It becomes a historical record
that may be useful for future removals. It also serves to verify for
cost recovery actions that work completed was consistent with CERCLA and
the NCP, and to verify contractor charges.
5.1.2 Entry and Exit of Personnel and Equipment
The names of all personnel and equipment entering and exiting the
removal site and the dates and time of entry and exit must be recorded.
This information is instrumental in verifying ERGS personnel and
equipment charges. In addition, entry and exit information of personnel
in the hot zone is recommended for site security and personnel safety.
In the event of exposure, the recorded entry and exit information can
heltJ :o identify personnel 'vho -Bignt Aave been exposed.
5.1.3 Contractor Work Planned and Contractor Work Accomplished
The oontracror worx .luthor.-.sed by :he 3SC -ausi: be ,-ecoraeci along vi*:ii
,;ie suosequent aetai^. of wnat worK tne contractor accomplished. When
recorded, tnis inrormation can reconcile discrepancies and help to verify
the Contractor Cost Report (EPA Form 1900-55). In addition, this
information is a historical record of daily cleanup progress.
5-4
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r
5.1.4 Contractor Costs
A recorded daily account of all costs incurred by the cleanup
contractor, including labor, equipment costs, and subcontractor charges,
is required in the ERCS contract. Daily cost information is a tool for
cost projection, and is instrumental in cost recovery actions. This
information can also uncover inefficient or excessive use of labor and
equipment.
5.1.5 Site Conditions
It is important to keep a record of weather, ground conditions, and
other physical conditions at a removal site in order to justify delays
and other on-site problems. Information on site conditions can also
assist in protecting the health and safety of on-site personnel.
L
f~ 5.1.6 Cumulative Project Costs
All on-site project costs, including those incurred by the ERCS
^ contractor, EPA, other Federal agencies, and TAT must be recorded and
documented on a daily basis. Maintaining a daily accounting of project
costs provides data that can be used in cost; projections. Daily
accounting also reduces delays and costs associated with work .stoppage
I
' vhile the pro^ec* ceiling is :inder review for in mcraase or che
II zillion ixempi:ion is seing ipprcvea.
5.2 OPTIONS FOR DOCUMENTING COSTS
The information described in Section 5.1 can be recorded and
preserved through a variety of cost documentation tools. The forms
listed and described below are currently used at many removal actions:
5-5
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• OSC Log
• Detailed Daily POLREP
• Entry and Exit Logs
• Work Report
|~ • Contractor's Daily Cost Report --
EPA Form 1900-55
, • Incident Obligation Log
Only one of these forms, the EPA Form 1900-55, is currently required
to be completed under the CERCLA removal program. The other forms are
i optional mechanisms to record required site information. EPA Regions and
OSCs have the flexibility to either use the forms presented herein, or
I design their own forms to best meet the needs of cost management and
documentation at a particular site. To reiterate, documentation of the
!
(
I information presented in Section 5.1 is required, while the particular
^Ir documentation techniques presented below*- (except the EPA Form 1900-55)
are optional.
1
5.2.1 OSC Log
* The OSC Log is 9 bound log with detailed daily antries about vork
,„ accompiisnea at a CERCLA ramoval sire, meetings held, decisions znaae,
etc. A derailed OSC log can fulfill the following documentation
requirements: chronology of =>,venrs -ina decisions, -iiirrv ina sxit of
3ersonne.t ina aauinmeni: - -onrracror rork piannea/aut:ior.ir:eu ma
" contractor work accomplished, and sita conditions. &n ^xampla of an
entry in a detailed OSC log is presented in Exhibit 5-2.
5-6
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5.2.2 Detailed Daily POLREP
A Pollution Report (POLREP) may be prepared daily and can include
extensive information about activities on a removal site. A POLREP can
be used to fulfill the following documentation requirements: chronology
1 of events and decisions, contractor work planned/authorized and
contractor work accomplished, site conditions, and cumulative project
I costs. An example of a detailed POLREP is presented in Exhibit 5-3.
L 5.2.3 Entry and Exit Logs
r
I A personnel and equipment Site Entry and Exit Log is a record of the
entry and exit times of all personnel (ERCS, EPA, TAT, etc.) and
equipment on site. Any person or equipment leaving the site for any
reason, regardless of the duration of time, must be "logged out." A Hot
|/~ Zone Entry and Exit Log may be used to record all personnel entering and
' exiting the hot zone and the level of protection worn. These logs
satisfy the requirement for documenting the entry and exit of personnel
{/ and equipment. An example of a personnel and equipment Site Entry and
Exit Log is presented in Exhibit 5-4, and a Hot Zone Entry and Exit Log
is jhown in Exhibit 5-5.
Vorx rleocrt
The 'Vor'.c Renort -an is -is«d to document -cntracror voric olanned/
authorized as well as the contractor work accomplished. The Work Renort
can be used prospectively to detail work to be performed by the
contractor, vith a summary of work completed added at the and of the
day. It can also be used to summarize oral work orders given to the
contractor by the OSC and to identify what work was performed. If used
prospectively, it is suggested that the contractor sign the order. An
5-7
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explanation can also be provided to identify problems and changes in work
planned/authorized and work accomplished. A Work Report does not have to
1
be prepared daily if a particular phase or type of work is to be
performed over a matter of days (e.g., drum staging). An example of a
I
Work Report is presented in Exhibit 5-6.
JL 5.2.5 Contractor Cost Report — EPA Form 1900-55
r As previously mentioned, the EPA Form 1900-55 is currently the only
form required to be completed in the cost documentation system, and ful-
j fills the requirement to document contractor costs. This report is
completed and signed by the contractor, and is then reviewed and signed
( by the OSC. The EPA Form 1900-55 includes contractor personnel
r costs, equipment charges, expendable materials, and subcontractor
cnarges. A copy of an EPA form 1900-55 is presented in Exhibit 5-7.
5.2.6 Incident Obligation Log
The Incident Obligation Log (IOL) is used to chart cumulative costs.
It provides daily tracking of all costs that are counted toward the total
project ceiling. It also tracks the .limits for individual ^ost
categories (e.g.. ERGS, TAT, EPA, and other Federal agencies). An
examole of in Incident Obligation I«Dg is presented in Exhibit 5-8, The
ioiumns 3n ;ne left l_isr, the lanuiat-ve ispenairuras -rnr sacn ".atagory
(ERCS, EPA, TAT, etc.). Daily costs are listed in the smaller boxes
under the appropriate categories. Cumulative costs are listed in the
larger boxes. The columns to the right list daily expenditures,
cumulative expenditures and funds remaining on a daily basis.
5-8
-------
c
5.3 FULFILLING COST DOCUMENTATION REQUIREMENTS
The OSC is required to document each of the six. types of site
information at a removal action. The documentation method can
incorporate any of the six forms presented here or other forms that the
OSC considers effective (but always including the EPA Form 1900-55).
The OSC or the designated on-site cost manager must prepare a Cost
Documentation Index similar to the one in Exhibit 5-9. This Index serves
to ensure that each piece of required information has been documented.
It also identifies the documentation method used, and where the
information has been recorded. Without a Cost Documentation Index,
important site information that has been carefully documented may be
difficult to find, and therefore may be rendered useless.
r
^^^ Once the Cost Documentation Index is completed, it should becoms part
«-- of the removal site document file. The Index becomes a key component of
r the file because it is a record of exactly how site information was
documented. In addition, the file must contain all of the information
that has been documentad is identified on cae Index (i.e., PQLREPS,
(
Entry/Exit Logs, EPA Forms 1900-55).
(
i
The :':ile structure used it ^.acn removal -sica aust oe lonsisrent.
veil-organized ana routinely maintained. Ideally, the site file
* .structure jhouid be consistent with the Regional file system. The EPA
Office of Policy and Program Development (OPPM) (now the Office of
Program Management) issued a suggested organizational system for Regional
5-9
-------
CERCLA files. This file structure, however, appears to be more detailed
than would be necessary for a command post file at a removal action. As
an alternative, the on-scene cost manager should consider utilizing the
abbreviated file structure presented below. The file subjects are:
• Cost Documentation Index
• Action Memo
• Entry and Exit Log
Site
Personnel
Equipment
Hot Zone
Personnel
Equipment
• EPA Form 1900-55
• Incident Obligation Log (IOL)
• OSC Log
/
• POLREP
• Work Report
It must be remembered that the cost manager will be responsible for
uaintaining th^s file on a daily basis whenever possible.
Maintaining all relevant documents in the above orderly file system
office files. £xnibir 1-LQ snows in iDbraviation of ;:ie jPPM .suggested
file .structure, indicating whers ;he jbove aiza documents anouid be
filed. Complete, well-organized Regional files will aid in cost recovery
and facilitate review by the Inspector General's Office. The file system
will also provide readily accessible documents if an OSC is later called
to testify on a particular removal action.
5-10
-------
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C
Exhibit 5-3
EXAMPLE OF A DETAILED POLREP
POLREP
DATE : NOVEMBER 12,1 984
POLREP NUMBER: 10
NAME OF REMOVAL ACT I ON: ABC DRUM SITE, ANYTOWN, NEW JERSEY
OSC: John Smith, Region II
SITUATION:
Rain showers fast night have created some mud onsite.
Weather today was partly c loudly, temperatures in the SO's.
Immediate Removal Action continues.
Personnel on scene this date:
ERCS contractor - 13
TAT - 2
EPA -1 COSC)
s
RP has threatened to deny EPA access to site if his demands
concerning site conditions are not met. OSC and Regional
enforcement attorney to meet 11/13 to discuss the matter. RP's
actions have not impeded any cleanup work to date. Enforcement
wi I I seek court order granting EPA access to site if necessary.
DSC
wi ;h
sarnoiinq tf for
2 to 3 weeks.
geologist ~o Di
Preliminary 'jsu
cuss -iiw state's qr ounawa
ts should b~ available wi
r~
*a 1S6 >:u. /ds 501 t n*?&r i
-------
Exhibit 5-3
(Continued)
Continue drum excavation staging and sampling.
i
I
Await soil sample results to determine if further excavation of
soil near lagoon is needed.
Evaluate disposal options for hazardous waste on site, including
10 drums of PCB still in warehouse.
COST TO DATE:
ERGS
TAT
EPA
Other
Nov. 12
* 9, 168
650
350
1 , 525
Total to date
* 95,200
6,368
1,751
15,498
Total *11,693 4118,817
Removal action proceeding on schedule.
5-14
-------
Exhibit 5-4
EXAMPLE OF A PERSONNEL AND EQUIPMENT
SITE ENTRY AND EXIT LOG
SITE ENTRY AND EXIT LOG
Work S te
TIME
In
Out
•
1
PERSONNEL
REPRESENTING
s
TIME
In
Out
\
Date
EQUIPMENT
1 <
I I
I I I
Comments
5-15
-------
Exhibit 5-5
EXAMPLE OF A HOT ZONE ENTRY AND EXIT LOG
I
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Work Site Date
TIME
In
Out
PERSONNEL
i
LEVEL OF PROTECTION
J I
Comments
5-16
-------
r
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Exhibit 5-6
EXAMPLE OF A WORK REPORT
WORK REPORT
Work Site
Contractor
Contractor Rep.
Work Planned/Authorized
Equipment Planned/Authorized
Work Period
From / /
To
OSC
Work Accomplished
Equipment Used
Comments
Contractor Signature
Date
OSC Signature
Date
5-17
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5-21
-------
Exhibit 5-9
EXAMPLE OF A COST DOCUMENTATION INDEX
K
•
COST DOCUMENTATION INDEX
Work Site
Location —
INFORMATION REQUIRED
Chronology of Events and
Decisions
Entry and Exit of Personnel
and Equipment
Contractor Work Planned/
Authorized and Contractor
Work Accomplished
Period of Removal Action.
OSC
DOCUMENTATION TECHNIQUE
D OSC Log
O POLREP
D Other. Specify:.
D OSC Log
D Site Entry/Exit Log
D Hot Zone Entry/Exit Log
D Other. Specify:
O POLREP
D OSC Log
D Work Report
D Other. Specify:.
5? A "orm 1900-53 .mandatory,
S •' * a Conditions
m
Cumulative Project Costs
G Other. Specify:
D Incident Obligation Log
Q POtffSP
D Other. Specify:
5-22
-------
r
Exhibit 5-10
OPPM SUGGESTED FILE STRUCTURE (ABBREVIATED)
A. SITE OVERVIEW SHEET
• Cost Documentation Index
B. RESPONSE MANAGEMENT
1. Technical/Engineering/Construction Work
• POLREP
• Action Memo
T . • OSC Log
• Entry and Exit Log
• Work Report
2. Enforcement
*- 3. State and Other Agency Coordination
f 4. Community Relations
[/
5. Contracts
5. "-"inanci-il
• Incident Obligation Log (IOL)
i • EPA Form 1900-55
5-23
-------
LIST OF REFERENCES
CERCLA - Comprehensive Environmental Response, Compensation, and
Liability Act of 1980 - Public Law 96-510, U.S. Environmental Protection
Agency, December 11, 1980.
Characterization of Hazardous Waste Sites - A Methods Manual: Volume I -
Integrated Approach to Hazardous Waste Site Characterization, EPA
Environmental Monitoring Systems Laboratory, Las Vegas, Nevada (to be
released 1985).
Characterization of Hazardous Waste Sites - A Methods Manual: Volume II -
Available Sampling Methods EPA 600/484076. EPA Environmental Monitoring
Systems Laboratory, Las Vegas, Nevada, November 1984.
Cost Recovery Actions Under CERCLA, U.S. Environmental Protection Agency,
Washington, D.C., May 1983.
Emergency Response Cleanup Services Contracts (ERGS) Users' Manual, U.S.
Environmental Protection Agency, Office of Emergency and Remedial
Response, Washington, D.C., October 1983.
Emergency Response Division Policy Notebook, U.S. Environmental
Protection Agency, Office of Emergency and Remedial Response, Washington,
D.C., and EPA Regional Offices (this notebook is updated periodically as
new guidance becomes available*).
EPA Superfund Guidance Manual, U.S. Environmental Protection Agency,
Office of Emergency and Remedial Response, Washington, D.C., December
1981. (This manual contains all current Superfund program policy
memoranda and publications, and is updated quarterly to reflect any new
Superfund directives.)
EPA Superfund Removal Procedures - Revision #2. U.S. Environmental
Protection Agency, Office of Solid Waste and Emergency Response,
Washington, O.J., -August 1984.
financial Management Officers User Manual for the Hazardous Substance
Response Program. U.S. Environmental Prorecraon Agency, Offica of
Emergency and Remedial Response, Washington, B.C., July 1982.
joidance an ?'irsu:uig ,jsr lecaver" -iCT.ions mcier "HCLri. J.3.
inv-ironmenrai ?roracri.on .igenc-.T Jt'fica zx Inforcaraent. Counsel md -he
Jffica of Solid .tas'ca ^nd Emergency Response, ^ugusc 1983.
Guide for Control jr Sovernroenc Property by Contractors. U.S.
Environmental Protection Agency, Office of Management Information and
Support Services, Washington, D.C., November 1981.
-------
Interim Emergency Procurement Procedures for the Hazardous Substance
Response Program - Revision No. 1, Procurement and Contracts Management
Division, U.S. Environmental Protection Agency, Washington, D.C., January
1982.
Interim Standard Operating Procedures, U.S. Environmental Protection
Agency, Office of Emergency and Remedial Response, Washington, D.C., May
1, 1981. (This manual is designed to furnish On-Scene Coordinators with
criteria for selecting appropriate safety protocols on a case-by-case
basis and as a supplement to current Headquarters/Regional safety manuals.)
National Oil and Hazardous Substances Contingency Plan (NCP), U.S.
Environmental Protection Agency, Federal Register, Vol. 47, No. 137,
Friday, July 16, 1982.
NEIC Policies and Procedures, U.S. Environmental Protection Agency,
Office of Enforcement, National Enforcement Investigations Center (NEIC),
Denver, Colorado, May 1978 (Revised December 1981), EPA-330/99-78-001-R.
On-Scene Coordinators (OSC) Users' Guide, U.S. Environmental Protection
Agency, Office of Emergency and Remedial Response, Washington, D.C., July
1981, (Revised February 1982).
Procedures for Identifying Responsible Parties: Uncontrolled Hazardous
Waste Sites - Superfund, Final Draft, Barrett E. Benson, U.S.
Environmental Protection Agency, National Enforcement Investigations
Center (NEIC), Denver, Colorado, February 1982.
v Safety Manual for Hazardous Waste Site Investigations, U.S. Environmental
Protection Agency, National Enforcement Investigations Center (NEIC),
Denver, Colorado, September 1979.
Superfund Site Paper File Structure, U.S. Environmental Protection
Agency, Office of Emergency and Remedial Response, Washington, D.C.,
January 1983.
Technical Assistance Team (TAT) User's Manual, U.S. Environmental
Protection Agency, "5ffica jf Emergency -ina xansedia^ Response, Washington,
D,C,, October 22, 1982,
Training Manual for SuperfundAdministrative Assistants, U.S.
Environmental Protection Agency, Office of Emergency and Remedial
^esDonse. Washington, 1.."?,, oeoramber *., '.'J81. ^Thxs provides derailed
uisrr-acr.ions ~:.a Juperfuna idministrar^ve Assistants in asraDiisning ana
ning 3 ioc:imenz controi register, developing account numbers ana
g juperfund aoi^ars.,
r
User' 3 "aide zo t:he Z?A Contract Laboratory Program, U.S. Environmental
Protection Agency, Sample Management Office, August 1982.
-------
INDEX
Action Memo, 2-1, 2-2, 4-1, Appendix A
Ceiling increase request, 4-2, Appendix B
Certification of vouchers, 3-9, 3-9, 3-10
Contract laboratory program (CLP), 2-6, 2-9
, Contractor Cost Report, (EPA Form 1900-55), 1-3, 2-10, 3-5, 3-6,
3-S, 5-4, 5-6, 5-3,
5-18
Cost
W control, 3-1
documentation, 1-3, 4-2, 5-1, 5-9
documentation index, 5-1, 5-9, 5-22
documentation matrix, 5-3
, investigation and enforcement, 2-11
manager, 5-2, 5-9, 5-10
monitoring, 3-1, 3-4, 3-5
planning, 3-1
projection, 2-1, 2-3, 2-7, Appendix D
on-going, 2-7
Iprefunding, 2-1
recovery, 4-1, 5-10
tracking, 2-7
i
Decontamination, 2-4 t "
Delivery Orders, 3-8
Demobilization, 2-4, 2-7
ERCS, 2-1, 2-3, 2-4, 2-5, 2-8, 2-9, 2-11, 3-3, 3-5, 3-7, 3-8, 3-9, 3-10,
5-5, 5-7, Appendix D
Enforcement costs, 2-11
EPA Form 1900-55 (see Contractor Cost Seoort^
jixpencsoie aateriai cnarges, 3-7
Zxrramurai C.QS~S, 2-9
Federal government personnel rates, Anpendix C
7ile Jtrucrure, f--?, 5-10
?TT '7iaid rnvestij;aticn ""aam"' , !-•>„ 2--?
rMD (.Financial Management Division), 4-2
FMS (Financial Management Systftsi), 4-2
Hot Zone Entry and Exit Log, 5-7, 5-16
IAG (Interagency Agreement), 2-9, 3-2, Appendix F
IOL (Incident Obligation Log), 5-6, 5-8, 5-21
Intramural costs, 2-9
Investigatory costs, 2-11
-------
MOU (Memoranda of Understanding), 3-2, Appendix F
Mobilization, 2-4
NCP (National Contingency Plan), 1-1, 2-2, 2-3, 3-2, 4-1, 5-4
OSC (On-Scene Coordinator)
Log, 1-4, 5-6, 5-10, 5-11
responsibilities, 1-1, 1-2, 1-3, 2-1, 2-4, 2-7, 2-11, 3-1, 3-4,
3-5, 3-8, 3-9, 4-1, 4-2, 5-1
OSWER, 2-1
Personnel and Equipment Entry and Exit Log (see Entry and Exit Logs)
POLREP, 1-4, 5-6, 5-7, 5-9, 5-10, 5-13
Per diem, 2-5, 2-6
Preliminary assessment, 2-2
Project ceiling, 2-1, 2-7, 5-9
Regional Administrator, 2-1
Reimbursement, 3-2
Response equipment, 3-2
Response objectives, 2-2
Safety and Security Officer, 5-2
Site Entry and Exit Log, 5-6^ 5-7, 5-15
Standby procedure for equipment, 3-7
Statutory $1 million limit, 2-1, 2-7, 2-11
TAT, 2-1, 2-6, 2-8, 2-10, 3-5, 5-5
personnel rates, Appendix C
JSCG, 2--3 , j-«*
rabcoircracror ;nar^es , 3-o
Work Report, 5-6, 5-7/5-17
-------
APPENDIX A
EPA ACTION MEMO FORMAT FOR IMMEDIATE REMOVALS
r
t
L
Source: Superfund Removal Procedures - Revision #2 - U.S. Environmenta1
Protection Agency, Office of Solid Waste and Emergency Response,
Washington, D.C., August 1984, Appendix 2.
-------
L
f.
ir
I
EPA ACTION MEMO FORMAT FOR IMMEDIATE REMOVALS
This memorandum format is to be used for documentation of threat pursuant
to section 300.65 of the NCP and is a record of decision for both HO and RA
approved immediate removal actions.
I. HEADING
SUBJECT: Immediate Removal Request for the ABC Site, XY2 State —
ACnCN MEMORANDUM
Typical Memorandum Heading:
FROM: Cn-Scene Coordinator
TO: Regional Administrator
THRU: Regional Division Director as appropriate
NOTE: If the cost of the intnediate removal is expected to
exceed SI million the Action Memorandum is addressed to the
AA/CSWER, from the Regional Administrator, through the
Director/CERR and to the attention of Director/ERD.
II. PURPOSE
/
Basic Statement of Request: A short, narrative statement of the
immediate removal request.
III. BACKGROUND
A. Incident or Site Setting/Description
'?ic~urs3, diagrams, .raps, ana/cr sxeter.es are encouraged, i
1. Physical location - state the County (or Parish) ,
.nccrporatad unit; and State. Give distances iron nearest
populated areas and points of rsfsrar.cs as acsrspriaca,
^arsarai --laractsr -cf sita - descrisa -~e jica"^ iay -prcoi-^
jraaa. i,^, .:r^ws. suited -iquxcs, lagccns, scntamir-aca
etc. or; general nature of the incident - in the case of a
classic rsl^ase Jascrii» >jcw ihe incident occurrac.
3. Waste management - describe any existing structures, measures,
or conditions that would either mitigate or accslsrsts ihe
release of »ny materials en site. For instance, an unstable-
dike, a temporary containment system, adverse weather
conditions, site security, fencing, and similar measures.
~
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4. Surrounding Areas - describe the areas adjacent to the incident
or site in terns of nearby populations and ecosystems, and any
areas protected by statute such as parks, historic sites,
sensitive ecosystems, etc.
B. Quantity and Types of Substances Present: Descrioe tne hazardous
substances in terms of categories or classes of chemicals. Those
categories listed in the NFDC Consent Decree (also known as classes
of priority pollutants) may be used as a convenient reference. Any
substances of critical concern (e.g. PCBs, dioxins) should be
stated. If estimates of quantities of the classes of materials are
available, they should be given.
C. One sentence should state whether the site is on the NPL. If the
site is on the NPL, when later remedial action is expected.
IV. THPEAT
A. Threat of Exposure to Public or the Environment: The nature of
the threat at the site should be described in detail, relating the
threats to factors described in the National Contingency Plan
section 300.65(a). Any indications that all or any of the areas
described in III (A) (4) above, may be exposed to hazardous
substances should be described. Compare amounts of hazardous
substances shown to background or health standards as appropriate.
(NOTE: If the removal action will exceed the six-month/Sl million
statutory limits, the factors in section 300.65(d) of the NCP must
be addressed).
B. Evidence of Extent of Release: Any contaminated surface water or
drinking water wells, either private or municipal, should be noted
as well as any obvious evidence of ecosystem damage. If of f -sits
monitoring has been performed (either air or water) the link should
be made between subs tineas identified and "-hose en the site.
Concentrations ot oc'f-^ite pollutants snouid ce -presentee in the
.Tanner as fincse en-site.
C. Previous Actions to Abate Threat: Any Federal, State, local, or
privately sccnscrad activities that have ba«n carfcrrsd should be
sriafl -1escr:.oacS and -".e iates. costs, ina -^'factiveness 22 sucr,
ci be ^z
0. Current Actions to Abate Threat: Any Federal, State, local, or
privately sponsored activities tnat are currently underway snootd
be briefly described. The estimated costs and completion dates of
these activities should also be given, if the 6 month time clock
has started, note when the 5 months ends.
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V. ENFORCEMENT (This information should be referenced here as "see
attachment" and placed on a separate page entitled
Enforcement Sensitive)
A. Active/Inactive: Surrearize the enforcawnt strategy for notifying,
negotiating, and litigating against responsible parties. The
statement should tell whether the State or Federal enforcement
attorneys are actively pursuing informal negotiations, are actively
pursuing iicigation, or nave deciaed to postpone or not pursue
litigation.
B. Status of Notice Letters/Negotiations: A statement should be made
giving the date(s) that notice letter(s) were sent and a suimary of
responses of the recipients. If negotiations are underway, describe
the activities under discussion. A projection should be made on
whether to expect responsible party action, or feasibility of
issuing an Administrative Order.
VT. PROPOSED PROJECT AND COSTS
A. Objectives of the Project: A shore statement should be made
describing the specific tasks involved and the results sought by
the removal action as they pertain to the threats(s) discussed
in IV.
B. The estimated total'project ceiling and an itemized breakout of the
s following cost categories which comprise that ceiling: extramural
* costs allowed under the RA's $1,000,000 authority (consisting of
cleanup contractor costs, letter contracts with States, and site
specific LAGs), TAT costs, intramural costs, National Contract Lab
\S Program analytical costs and ERT/EERU costs. For example, the RA
. may set a total project ceiling in the following manner:
Claarup Contractors 375C,uCG
La-c-sr OCT. cracks for prccuranenc */ State :,JGG
Interagency agreement 7,000
IAT ccscs iO,JGC
NCLP analytical services "20-CCO
iTtcramurai :"iC and
\* any CS3CLA funds have alrsady baer. allocated for ihis size, give
the anount and tasks involved. Indicate obligations to date if
appropriate.
C. Project Scnedule: The estimated period of psrfscsanc* should be
given.
D. If applicable, describe how actions will be consistent with
ranedial plan.
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VII. REGIONAL FEO»ENDAXICN
Use a paragraph such as; "Becaus« conditions at the XYZ Site meet the
NO» section 300.65 criteria for an immediate removal, I reconrend your
approval of the immediate removal request. The estimated total project
coats are SX, of which SY are for extramural cleanup contractor costs.
You may indicate your approval or disapproval by signing below." If
the immediate removal will exceed tha six month/Si million statutory
limit(s), cite specific criteria of NCP section 300.65(d).
Approve: _ Date:
Disapprove: Dates
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APPENDIX B
EPA PROCEDURES FOR INITIATING IMMEDIATE AND PLANNED REMOVALS
i
•
Source: Superfund Removal Procedures - Revision #2 - U.S. Environmental
Protection Agency, Office of Solid Waste and Emergency Response.
Washington, B.C., August 1984, pp. 10-22.
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f.
EPA PROCEDURES FOR INITIATING IMMEDIATE AND PLANNED REMOVALS
As noted in Section A, the NCP seta forth criteria for determining
whether a release qualifies for an immediate or planned removal. Further,
the NCP establishes a procedural framework for arriving at that determination.
This chapter provides detailed guidelines to response personnel on how to
apply the NCP framework.
1. Conducting the Preliminary Assessment
The NCP requires a preliminary assessment of reported releases before
initiating a CZRCLA-financed response. The purpose of the assessment is to
provide an initial indication of the need for a Federal response, in the form
of an immediate removal, planned removal or remedial action. If the reported
release potentially requires an immediate removal, the CSC should conduct the
assessment as promptly as possible, based on readily available information.
Other releases shall be assessed as scon as practicable. The preliminary
assessment may include:
a. Evaluation of the magnitude of the hazard;
b. Identification of the source arid'nature of the release;
c. Determination of the existence of a non-Federal party (or
parties) that is ready, willing and able to undertake a proper response;
and ' "
d. Evaluation of factors necessary to determine whether an
immediate removal is necessary.
The NCP notes that a preliminary assessment at a hazardous waste
management facility may involve the review of data and photographs, personal
interviews, a perimeter (off-site) inspection and, where needed, an on-site
inspection if conditions are such that it may be performed safely.
g vie assessment:, v» CSC jncuid aecsraine «netner -Te .-
potential release involves a designated hazardous substance or a
icn-designatad pollutant: cr contaninar.t . CZXTlA raquirsa criat trie
or threat of release of pollutants and contaminants may present an imminent
arc; jucstanc.ajL iancer -.3 •puciz.c :ieai— t 3r -.e^-jars oercra rssnanse ^ar. is
A preliminary assessment snould be terminated when the CSC determines:
there is no release; *±se source rs ^either ^ vessel nor * facility? the
release involves neither a hazardous substance, nor a pollutant or contaminant
that may pose an imminent and substantial danger to public health or welfare;
the amount released does not warrant Federal response; a party responsible
fcr ihe release, cr any ocner person, is providing appropriate response, and
on-scene monitoring by EPA is not recontnended or approved, or the assessnent
is complete.
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Vtwn th* cotpleted preliminary assessment indicates tne potential need
for an uawilate removal, the 06C should further determine tr.e appropriateness
of the uanediate removal using the decision rationale set forth in Section
C.2 below. ttien the preliminary assessment indicates tnat a planned removal
may be appropriate, the C6C should conduct an evaluation and determination
of appropriate response as required by the NCP and described in Section C.5
of this document.
2. Recommending an Immediate Removal
If a preliminary assessment has indicated the potential need for an
immediate removal, the 06C must further determine the appropriateness of a
Fund-financed immediate removal and whether the response will require SA or
HO approval. The following decision rationale is suggested for use by the
OSCs when further evaluating the need Cor an immediate removal action (also
see Appendix 1) and preparing an action memorandum as described in Appendix 2.
This action memorandum replaces the 10-point document previously required.
a. Initial Qnergency Screen
This step is designed to facilitate responses to clear-cut,
time-critical emergencies for which only limited data are available, in tnose
cases, CSCs may have to rely primarily on the findings of the prelimiir.ary
assessment, without significant additional data collection. Nevertheless,
the analysis and interpretation of that data must be sufficiently rigorous to
document that the immediate removal action would oe consistent with the SCP.
Factors the CSC snould consider are the characteristics of the incident, v.e
substances involved, the prooacle impact of the release on public health arxl
environment, and selection of a mitigative action. Most of these incidents
will fall within the RA's authority, as outlined in Section C.3.a below. It
the incident falls outside tne RA's authority, the Region should rotify HO
that an LTinediate removal request requiring quick approval will be fortr.ocrurc.
Procedures for HQ approval are set forth in Section C.3.3. cf this iocumert.
-• Health/Environmental Ttvreat
'^•.sre ^~.a CSC "las ^
a ^ore tr.crougn analysis of the nealtr. and er.vircnner.tai tr.reats •».•;.,
tr.rcugn f'jrtr.ar j«anpi^ng and analysis) --i.il r« pcssxbla rs:cr* reccnrner--;-c
a CERCLA response. In conducting tr.is analysis, tne CSC snouid ccr.siier v.e
vuraar factors our.nrved :n ir.a =airp_e ac_icn r«mcrar.c;um •..-. -jypancix ^ sucr.
-ss -"rsac -,z -~a cuc_-- .'eaj.tr. or zr.a -ir.v.rcrsisr.T:. inc -~a -ixusr.t :~ -"-a
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c. Potential for Non-Federal Action
The Agency does not intend to conduct a CERCIA-financed umediate
removal where tiaely action by a potentially responsible party is expected
or the response is within the independent financial or technical capabilities
V of State and local agencies. Thus, after characterizing the threat"and
,- ascertaining that it meets the NCP criteria for an immediate removal, the
I CSC should examine the alternatives to a CERCLA removal action. Factors to
consider are the status of enforcement actions and the ability and willingness
of State and local agencies to take action.
f d. Recaiinendation of Response Action
E
t
If the review and analysis conducted in steps b and e above verify
the need for a CERCLA immediate removal, the OSC next should identify and
evaluate response options. These options should be directly related to
mitigation of the release threat or threats. Factors to be considered include
the technical feasibility and probable effectiveness of each alternative, the
duration and cost of each response option, public acceptance, opportunities
for State and local participation, and legal implications. Based on this
analysis, the CSC should select the preferred cleanup option for mitigation
of the threat.
3. Initiating the immediate Removal
After selecting a preferred immediate removal response action, the CSC
must obtain the appropriate Regional or HQ approval to coiroence the immediate
removal.
a. Regional Authority and Approval Procedures
Cn April 16, 1984, the Deputy Administrator signed a new delegation of
authority to Regional Administrators (RAs) concerning the selection and
performance of all removal actions costing up to 31,000,000 (see Appendix
*:„ 3y ^a.agatisr. .4-i-A, 3A's ray approve remcva. actions jesting -o cc
31,000,000 •iiat arst 1; -expectac :s last up :o 6 .-acntr^, 2! <5xpectsc, iron
the outset of the project, to last longer than 6 months and 3) expected
originally :c -as* jp co 5 jonsna, Jut ars .acsr iacamuned ;o require
continuation. Thus, in addition to the SI million approval authority, this
iz.cn disc ;ives ^Ifts me autncrity *.c ^ranc axemcrz-ons 10 tr.e '-, rscncr.
se« Section 1 ~f --.is -:oc.^nen- for ^xancnon
With tnis delegation SAs are authorized to initiate removal actions for
releases at both National Prioritiss List (MPL) sites and ncn-VFL si^ss :.-.
accordance with the criteria of the NCP. RAs may redelegate to their Division
Directors the authority to approve expenditures up to 51,000,000 for projects
lasting up to 6 months. Further, RAs may redelegate to CSCs authority to
approve actions costing up to 550,000. Removal actions costing more dwi
31,000,000 and continued removal actions after obligations of $1,000,000 must
be approved by the AA, OSVER in accordance with Delegation 14-2, described in
Section C.3.b of this document.
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the RA approves an immediate removal, he/she should .make the
deterainatioo that the criteria established by Section 300.65 of the NCP
have been net. These criteria are also discussed in Section A of this
guidance. Coordination with Regional enforcement and remedial staff is
important to assure that appropriate enforcement actions and/or subsequent
ranedial responses are initiated.
(1) The RA has the authority to obligate up to SI, 000, 000 in
removal costs for each site. This limit includes any previous obligations
ac a site and includes all extranurai costs and Headquarters and Regional
intramural costs, except for all enforcement costs. This means that costs
associated with commercial cleanup contractors, letter contracts for
procurement with States and localities, interagency agreements (IAG*),
response-related national contracts such as the Technical Assistance Team
(TAT), the National Contract Laboratory Program (NCLP), and the Environmental
Response Team's Environmental Emergency Response Unit (EERU), EPA Regional
Laboratories and Headquarters and Regional direct intramural costs (site
specific salaries, travel, per-diem, overtime) are to be included in the
limit. Because these costs must all be tracked against the $1 million limit
and the total project ceiling, all action memos must include an estimate of
these costs and an estimated total project ceiling. For example, the RA may
set a total project ceiling in the following manner:
Cleanup contractors $750,000
Letter contract for procurement w/State 5,000
Other Federal Agency cost through an Interagency
agreement (i.e. FEMA, USCG Strike Team) 7,000
TAT costs 10,000
NCLP analytical services 20,000
ERT/EERU 20,000
Regional laboratory services 5,000
Intramural (HO and Region) 45,000
TOTAL PROJECT CEILING $857,000
't) T^e "1,000,200 limit excludes sil -infcreanent Tests.
inforcaner.t costs ara ieiined as:
'a) Payroll hours charged to the site by technical
enforcement personnel in tne Regions and Heaaquarters.
'i; ?ayrcil .Tours rrargaci ~.3 --".a 31-3 :y Segicnai and
artsrs leqai personnel.
'-?) Enforcement related contract support tasks such as
responsible party sec.^hes and financial assessments, \7hia -orx is generally
contracted under the Technical Enforcement Support (TES) contract.)
(d) Travel costs charged to the site for technical
enforcement and legal personnel in the Regions and Headquarters.
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I1
Also.excluded from the $1 million limit are costs associated with CERCLA
104(b) investigative activities undertaken before the initiation of onsite
cleanup work. However, the routine documentation and evidence collection
(e.g. sampling to document presence of a hazardous substance) to support
the initiation of rsncval activity and possible future cost recovery action
should not be considered as enforcement costs, and thus do count against
the $1 million limit.
{35 The RA may redelegate to On-Scene Coordinators (OSCs)
authority to approve actions costing up to $50,000 at 1) classic releases
from transportation accidents, active or operating facilities, or deliberate
dumps; or 2) when there is a risk of death, injury, or catastrophic environ-
mental damage from hazardous substance releases at inactive or abandoned
facilities or sites. For purposes of this delegation the following
definitions are provided.
• Classic releases mean those incidents in which hazardous
substances have been released to the enviroment for a
relatively short tine from either a transportation related
source or from an active or operating facility. Such
release is either the result of an accident, fire,
explosion, or failure of a container or handling system
or the intentional disposal in a one tine incident to an
area not used (previously or presently) to dispose of
hazardous substances (i.e. midnight dunp).
s
• Risk of death, injury, or catastrophic environmental
danage from hazardous substance releases at abandoned or
inactive facilities includes imminent or actual events
such as 1) fire and explosion, 2) release of acutely
toxic liquids or vapors, or 3) acute contamination of a
water supply at the tap in a matter of hours or days.
The CSC's $"50,000 authority is -iart cf the '.A'- *!,OCO,COO authority, it '.3
not in aoaition to tnat authority. The CSC -sust -Jccument *..-. -a Tare to the
racers *n accordance witn cne action *nemo format in Appenaix 2 (but aaaressea
to the Division Director, instead of the ?A; the activation of the SSC.OOC
autnority. This memo must be prepared within 24 hours of initiating action.
The $50,000 authority "an *» ..jsed to '.r.itiata rasccnse ^nd :an ^a jsed ncra
•jian -nca at i 3ica :er project restarts cue :e ".asr ,..^s -jnreatar.ing ever.ns.
but -ict for continuations 3S *ort. .n ^reqrass. '.:. rnay ~a used ;cr i rastart
•_iat: *culcl axcaad ins iiX-mcntr. .^aiz .- ."ie* l.i;? "^irsataniiTg aventj cccur, .
but not for continuations of routine work. For such a restart, a request
for an exemption co tne six-montn limit iiiust oe prepared in accoraance with
the format in Appendix 8 (but addressed to the Division Director, instead of
the RA). The $50,000 authority may not be used for a restart that would
cause total removal costs to exceed the RAs 51,000,000 approval authority,
unless a ceiling increase is obtained; nor ;ray it ba used past the S3CO,CCO
checkpoint (described in Section E of this document) unless an HO exemption
to the $l million limit is obtained. In these emergency circumstances
verbal approval may be obtained, but it must be followed up within 24 hours
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with a ceiling increase request in accordance with the action MOD format
in Appendix 4. Wien activating the OSC's $50,000 authority the Region must
send a copy of the action name- to ERD within 5 days.
(4) vtien using the RA's authority/ the Region must prepare an
action memo in accordance with the format in Appendix 2. The request should
be originated by the OSC and forwarded to the RA (or the Division Director,
if the RA has redelegated that authority). The Region must submit to the
Qnergency Response Division (ERD), within 5 days of the initiation of an RA
approved response activity, a copy of the signed action memorandum. This
submission may be made by Telefax (1202-755-2155) or by overnight Regional
pouch mail. The Region should also notify the Removal Operations Team by
phone (18-382-2188) or TWX (1710-822-9269) as soon as possible when the RA
has approved any removal.
(5) If it is necessary at any time to discuss a potential
immediate removal action with ERD, contact the Removal Operations lean,
Response Operations Branch, at 8-382-2188. Removal Operations lean staff
are available to assist in the preparation of inmediate removal requests
either in Regional offices or on-site.
b. HQ Authority and Approval Procedures
In accordance with Delegation 14-2, signed by the Deputy
Administrator on April 16, 1984 (see Appendix 3), the AA, C6WER will approve
iiwediats rsnoval actions for all cleanups initially or ultimately requiring
over $1,000,000 in obligations (as defined in Section C.3.a.l above).
Procedures for contacting BQ during duty and non-^uty hours are as
follows.
(1) During REGULAR WORKING HOURS the following approval
sequence shall be used:
(a) The OSC shall notify the Removal Operations Teas,
Emergency Response Division i ERD) or cne fteqion's intent to racuest HQ
approval co iruciacs an .jnneciata rancvai. i?r.one t 3-382-2138, rtagnarax
* 202-755-2155, TWX * 710-822-9269).
The OSC shall then provide «:.K.a I. ".formation set *crth
:.ie acticn "nemo :crrat :.r. -"cperwix 2 {previous 10 point
-BUS* ^s signed T/ -".a ?A. arid "3s -addrsssecl ic v.s ."•
Oiractcr, ,2RR* -c one ittsnt^cn it tr.a Directcr, i^C.
!c) T?5» asracvai Cperations Tsam, 23E, will review the
action memo, coordinate and gain concurrences from other offices as necessary
(e.g., the Office of Waste Programs Enforcement, CQC, and Remedial), and
relay the request and a reconnendation for approval/denial to the Director,
Office of Qnergency and Remedial Response (OERR), The Director, CERR, will
review the request and forward it with his recommendation to the AA, OSVER,
for final approval.
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*
•(d) The ERD will then communicate the CSVER decision
back to the OBC aa quickly as possible. Written•confirmation of the decision
will be forwarded to the OSC by ERD as soon as practicable.
(e) In an eraergency, the initial request or request to
exceed SI million may be made verbally. Within 24 hours, the OSC shall
provide the information set forth in the action memo format in Appendix 2
and Appendix 4 respectively. The request must be signed by the RA.
(2) During NON DUTY HOURS (after 5:00 p.m. EST on weekdays,
on Saturday, Sunday, and holidays), the following approval sequence will be
used:
(a) The OSC will call the National Response Center (NRC),
800-424-8802, identify himself/herself, and ask to be put in contact with the
EPA ERD duty officer.
(b) The NRC will contact the EPA ERD duty officer.
(c) The ERD duty officer will contact the OSC and ask
for the information listed in Appendix 2, and notify the supervisory duty
officer, the Director, OERR, and the Assistant Administrator, OSVCR, who will
approve or deny the request.
(d) The .ERD duty officer will communicate the decision
and the appropriate accounting information to the OSC as quickly as possible
and will confirm the decision in writing by the end of the next work day.
Until the end of the fiscal year, if the decision is to proceed and the site
is new and has no previous site identifier, the ERD duty officer will provide
the OSC with a site identification number. All other accounting information
(i.e. account number using the new identification number, or the document
control number) snould be obtained from the Regional Office in accordance
with established procedures. After October 1. 1984, the site identification
2a ;ct3i::aDia ^'rcsn -".a ^etj;cnai Office.
(e) The formal request from the RA in action memo
fcrra^ „ snail ze 5anc co £?X> *;inir. 24 ncurs or on ir.e next «orx;r>g cay.
\s •iiscuased ',n 3r?ct;.on "„". leave, •^medians rsreavai-S ira ioprcvec -y
cne Segionai Aaninistrator or the AA, OS>ER, with an estimated total project
ceiling level specifying the anourt of funds available fcr the project.
In order to exceed this ceiling, a formal ceiling increase request (see
Appendix 4) must be approved by the RA or the AA, OSWER, as detailed below.
T!".a amount of information required in a ceiling increase request will
vary fron site to site, depending on the circumstances. In general, the
request should include information on the current site conditions, actions
taken to date, costs to date, and the reasons why the ceiling increase is
required (e.g., changed site conditions, increased volume of waste, revised
estimates). It is important to detail whether the increase is necessary due
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to the need to perform more work to mitigate the threat in the original scope
of work, or if there is an additional threat to human health, welfare or the
environment, not previously documented, requiring additional removal measures.
If additional threata are disclosed, a new finding should be made that they
meet the NCP criteria.
a. Regional Approval
The Regional Administrator's authorities include the ability to
approve ceiling increases up to 51,000,000 as follows: as wich the RA's
$1,000,000 approval authority, this authority applies to cleanup contractor
costs, letter contracts with States, site-specific interagency agreements,
EPA Regional Laboratories, HQ and Regional intramural costs, and costs
associated with TAT, NCLP and the ERT/EERU. The Region oust transmit to
ERD, within 5 days of the RA's approval of the ceiling increase, a copy of
the signed action memorandum. This must provide the information specified
above and should be in accordance with the format specified in Appendix 4.
The submission should be made by Telefax (1202-755-2155) or by overnight
mail. The Region should also notify the Ranoval Operations Team by phone
as soon as possible of the ceiling increase approval (18-382-2188) or TWX
(1710-822-9269).
Delegation 14-2, (see Appendix 3) requires the approval of the AA,
OSVER, for removals initially or ultimately costing more than $1,000,000.
Therefore, removals begun under the RA's authority should exceed $1,000,000
only due to unforeseen circunstances. In these situations, HQ approval is
required. The unforeseen circumstances should be fully explained in the
ceiling increase request to HQ.
b. Headquarters Approval
Ceiling increases to cover costs for projects that exceed the RA's
51,000,000 authority (see Section C.3.a.) are approved by the AA, QSVER.
Ceiling increase requests that require HQ approval must be submitted under
the 3igr.af.ur5 of the 3A. include the information specified above, and be \n
accordance w.tr. the «omat specified \n Appendix 4, If a SI million exemp-
tion nas not previously oeen approved oy cfte AA, CSVE3, cne ceiling increase
car be requested in the SI million exemption request in accordance with the
format specified in Appendix 9 (see Section E). The request snouid be sent
through -.he Tiractor, CSHR, to the attention of the "Director, ERE, so that
.•; 13 racsived oy tr.e iccrcpriata Trrrect ^fficar in i!RE as seen as pcssicie,
^i;s .3 especial.-/ crv:icai *nen, iecause of unforeseen oxrcjnscancas, little
:.me .3 availac^a zc procass tr.e rsquest. "•^venever'pcssiciis, requests sncu-c:
be submitted at least one week before the project ceiling will be reacned to
ensure enough time £'or processing and, ultimately, to ensure .that the project
will be continued uninterrupted. It is recommended that when a request is
urgent, it should be Telefaxed (#202-755-2155) or sent by overnight mail.
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5. Evaluation and Determination of Appropriate Response
Section 300.66 of the NCP provides for more extensive investigation
of an incident to determine appropriate action (1) upon completion of an
immediate removal action or (2) when a preliminary assessment made under
5300.64 of the NCP indicates that a Fund-financed response other than an
immediate removal may be necessary. When either of these two situations
exists, the Region should conduct, as soon as practicable, further
evaluation of the incidenc to determine whether planned removal or remedial
action is needed.
In addition to inspections to assess the nature and extent of the
release, the evaluation may include investigations, monitoring, surveys,
testing and other information gathering as appropriate. The evaluation
should be coordinated with the State. The decision rationale presented in
Section C.2 of this document for determining the need for immediate removal
may be useful in evaluating the need for planned removal, as well.
The evaluation may result in a determination by the Region that planned
removal is appropriate, in which case the procedures outlined below in Section
C.6. should be followed. Alternatively, new information may cone to light
that necessitates further immediate removal. If so, a request to initiate
(or continue) an immediate removal should be made as described in Section C.3
of this guidance.
6. Initiation of Planned Removal
As mentioned in Section C.3 of this document, the Deputy Administrator,
through Delegation 14-1-A, delegated authority for all removal actions costing
under 51,000,000 to the RAs, thereby allowing RAs to approve planned removal
actions. This delegation also allows redelegation to the Division Director
level, authority to approve actions costing up to 51,000,000, provided, they
do not exceed 6 months in duration. Further, by this delegation, the RA may
qrant exemptions fron the 6 month limit in accordarca with the •srxedurss in
.Section £ ot en 13 oocunent. I"he information presented in Section C. 3,a.(l)
and 2] jf ;r. is jcosnenc jr. costs ^nciuaea in,. and exciuced iron, the
51,000,000 limit apply to planned removals as well as immediate removals,
Approval of planned removals costing more than 51,000,000 will be mace oy
the AA. CS>€R, in accordance with ^legation 14-1.
ional \corcva-
For RA-approved planned removals, the following approval sequence
is to be used duririg ncraal weekday hours {plannec raaovaj. approval requests
may not occur during off-duty hours) :
(1) Because planned removals involve considerable processing,
tne decision to approve a planned removal should be thoroughly coordinated
within the Region. It is particularly important to coordinate all requests
through Regional enforcement personnel to avoid unnecessary processing where
private party response could be obtained.
B-9
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(2) Tt» Region should obtain a written assurance fron the
Governor or hit/her designee of the State's willingness to participate in a
specific planned renoval action and intent to provide the miniaum cost-share
contribution. The letter from the Governor or designee (letter of intent)
should be s«nt to the Regional Administrator and must include the following:
(a) A description of the nature and extent of the release;
(b) A description of actions taken or underway at the site;
(c) A description of the proposed planned removal; and
(d) Assurances that the State will pay at least
10 percent of the costs of the action (for a site privately owned at the
time of disposal), or at least SO percent (for a site owned by the State or
a subdivision thereof, at the tine of disposal) and 100% of all operation
and maintenance upon termination of the planned removal. These assurances
are regulatory ones under the NCP $300.67(5)(4), and are not pursuant to
CERCLA section 104(c)(3).
(3) The Region should prepare a planned removal action
memorandum (as described in Appendix 5) and include a copy of the letter of
intent from the State's Governor or his/her designee. The request should be
originated by the OSC and forwarded to the RA (or the Division Director if
the RA has redelegated that authority). A copy of the action memo should be
sent to ERD in HO within 5 days of the approval.
(4) Enforcement will be consulted to assure that 1) notice
letters, if appropriate, have been sent to all known responsible parties and
2) that no known responsible parties will take over the cleanup. See Section
K.2 of tnis document for more information on this subject.
b. Headquarters Approval
Headquarters approval will be accomplished using the same procedures
listad above ^xcapt that action ,-nemos are sr'.ginacad in tr.e ^ecicn, -signed ry
the ?A, ind jufcmirtad to ".he AA, OSWE3, along with a cscy of the latter zz
intent iron tne State Governor. The request snould be sent through the
Director, OERR-, to the attention of the Director, ERD. so that it is received
by the appropriate ERD project officer. ERD will coordinate the request with
CSPR and ^f_K.er '-jQ cfrices, tr.en forward \- vi^n a raccrtmendacicn for acprcvai
or ^aniai 13 -"»e director, CEPJR, --^nc *i_:. focvard iz -3 -~e .4A, 'CSV£3. icr
^inai decision, iPD -^ill notify tne Region of tnac dec-isicn.
At this point, the remainder of the procedure for processing a planned
removal depends on whether the -State or EPA will lead in the action. The two
procedures are discussed in Sections C.7 and C.8 below. These procedures
reflect Delegation 14-1-B, dated April 16, 1984, by which RAs have been
delegated the authority to enter into cooperative agreements and Superfur.d
State contracts (53C) for removal actions.
BrIO
-------
L
Ceiling increases and major -changes to the scope of work for planned
reacval actions will be prepared in accordance with Sections C.4.b and C.10
respectively. Whenever such requests are approved, the SSC or cooperative
agreement with the State must be amended appropriately.
7. Planned Removals - EPA Lead
Concurrent with the procedure for procuring a cleanup contractor
(described in Section D), the Region should work with the State to prepare a
Superfund State Contract (SSC). The SSC must be coordinated with Regional
Counsel to produce a final document to be signed by the RA, and forwarded to
the State for signature. This document is not a procurement contract; rather,
it outlines EPA's and the State's responsibilities as wall as payment
schedules for the State's cost share and related information. A sample
format for the SSC is in Appendix 7. Cn-site action will not cauueitc* until
the SSC is fully executed. Contact the Guidance Development Team, ERO, at
8-382-2200, for further information on preparing and negotiating this document.
8. Planned Removals - State Lead
If a State leads the removal, the State, not EPA, is responsible for
procurement of a cleanup contractor. Further, instead of an SSC, the State
and EPA must negotiate a cooperative agreement. Since these agreements have
L been so infrequent in the removal program, Regional personnel are advised
~ to consult with the ERD Guidance Development Team (8-382-2200) for current
information en processing planned removal cooperative agreements prior to
submitting a State-lead planned removal action.
9. Cost Share Calculations for EPA Lead Actions
a. As discussed above, States are required to contribute a cost
share for planned removals. This cost share can be composed of cash,
verified State credits, and/or services, pursuant to the provisions cf ".heir
SSC. Sucn services .trust c& autncrizea in advance oy cne CSC as being *
necessary par-: cf --.e :iaanup action. Ccscs .ncurrec cy ine State prior co
the initiation or after the completion of the planned ranoval cannot be
l.Tcluded .n -~.eir ccst snare.
3. .is jccn 33 ccasiiie afzar •cCTcia^isn of v.~a --zRcva-L .icticr
cne 3ec,ion and ine 5 tats snouic »acr. -rsocuca -j".s:.r raspacnve jita
cnis guidance and Chapter 1 of the Federal Procurement Regulations
51-15.703.1. EPA's cleanup contractor costs will 'oe based on che c'inai
invoices received by The Financial Management Division (FMD).
c. The State should submit its cost information in the fora of a
letter to the QSC. The letter snould include the following infcmaticn:
1) Identification of the total amount being claimed.
2) Listing of the units of goverment which incurred the
costs (i.e., State, county, local).
B-lf
-------
3) The coats for each governmental unit in detail by cost
elenent (i.e.,. labor, travel, equipment, etc.).
4) Brief description of specific functions performed by each
governmental unit as it pertains to the site (i.e., as specified in the SSC).
To be allowable, services provided must have been authorized by the CSC.
5) A certification that the costs claimed have not been
reimbursed under any other Federal program or grant, nor by non-Federal
sources such as potentially responsible parties. This certification must be
signed by the State's fiscal manager or the State Agency's financial director.
6) The complete name, address and telephone number of the
State official who should receive a billing, if one is necessary.
7) Other pertinent information, as appropriate.
d. The State's costs will be reviewed by the Region to make a
determination of alienability under CERCLA. This review will consider the
following specifications: that the costs claimed were necessary and
reasonable for the specific action, and not a general expense required to
carry out the overall responsibilities of the State Government; that the
costs were EPA authorized; that the costs were not prohibited by State/local
law; and that they are not accountable to or included as costs of any other
Federally financed program.
e. EPA and the State wilf discuss and resolve any questions
about costs. The cost of the allowable State services will then be added to
EPA costs to detennine the Total Project Cost (TPC); the State's cost share
is ten or fifty percent of this figure. The value of the State services
will be subtracted from the ten percent cost share.
The following examples, which assure a ten percent cost share, may
help clarify this procedure:
£?A Services
Allowable State Services
c^ Zest
Sice 1
5450,000
50.000
lequirad I
Allowable State Services
t 10%
iu,JCC
-50,000
0» No cash
contribution
needed from
State.
5470,000
30,000
:o,.;oo
-30,000
:c,cco
State «ouid
owe this as
a cash
contribution
(could also
be satisfied
with verified
State credits)
B-12
-------
F
L
Site 3
EPA Services $440,000
Allowable State Services 60,000
•total Project Ccat $500,000
x 10%
Itequired State Cost-Share 50,000
Allowable State Services -60,000
-10,000 » State contributed services above
and beyond their required cost
share - not reimbursable
i
| f. EPA will notify the State of these computations, if the
State's allowable costs for services and verified State credits total less
; than ten percent (or fifty percent if appropriate) of the TPC, a bill will
be sent to the State for a cash contribution.
L. ^
g. If the State's allowable costs for services and verified
State credits are more than, or equal to, ten percent (or fifty percent if
appropriate) of the TPC, a letter acknowledging that the cost share has
been met will be sent to the State and the verified State credit, if any,
will be reduced by the amount used to satisfy the cost share. There will
be no reimbursement to the State or increase to the verified State credits
for State costs which exceed the cost share requirement.
h. All costs may be subject to audit by EPA's Office of the
Inspector General. There is no statute of limitations as to when this audit
may be done. If a discrepancy is found, arrangements will be made to reconcile
u'
NOTE: A matrix summarizing all of the approvals contained in Section C has
been included is Aceend.'.s ^-
13. Cf^anges co Project Scope of frtork - Immediate and Planned Removals
If major cnanges/alterations in the project scope of work are necessary
at v. approved ramcval »cticr.„ rur .^srrec" -cs-s remain jnaf'fac'ac, -ie
iccrcwa.., ccrcurrsr.es :r -J~.a iutrenrsa crf^cidi »nc ji^nea one or^gina..
action rserrc .3 rac^jirsd. r?i-J »i** provide dccunentar.^cr ".o V.e r-»cc.rd -f
-"s r'jangs .r. prc;sc- jccpa ar.2 .-sflirscricn of cuncs ror the new tasxs to
be performed.
Changes to a project scope of work which increase the total project
ceiling will be approved/documented in a ceiling increase request. See
Section C.4 of this dcojnent.
B-13
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APPENDIX C
FEDERAL GOVERNMENT AND TAT PERSONNEL RATES
L
-------
I
FEDERAL GOVERNMENT AND TAT PERSONNEL RATES
1. FEDERAL GOVERNMENT PERSONNEL RATES
j a. Basic Hourly Rates
The basic hourly rates below have been calculated based on annual
p gross salaries as of January 1985. Future hourly rates can be calculated
L
using the formula:
r
i
/ $ Hourly Rate = $ Annual Gross Salary
) , 2,087
Step: 1 2 3 4 5 6 7 8 9 10
GS-3 5.49 5.67 5.86 6.04 6.22 6.41 6.59 6.77 6.95 7.14
GS-5 6.90 7,13 7.36 7.59 7.S2 8.05 8.23 S.51 8.74 3.57
GS-7 8.54 8.83 9.11 9.39 9.68 9.96 10.25 10.53 10.82 11.10
GS-9 10.45 10.80 11.14 11.49 11.84 12.19 12.54 12.89 13.23 13.59
' GS-11 12.64 13.06 13.48 13.90 14.33 14.75 15.17 15.59 16.01 16.43
x
GS-12 15.15 15.66 16.16 16.67 17.17 17.68 18.18 18.69 19.19 19.70
P<
53-12 .3.22 13.o£ 19,22 I'-3.32 20.^2 21.J2 21. j2 22.22 22.32 22. *2
i
GS-14 21.29 22.00 22.71 23.42 24.13 24.84 25.55 26.26 26.97 27.68
I GS-15 25.04 25.88 26.71 27.55 28.38 29.22 30.05 30.88 31.72 32.55
»• i The aoove basic aouriy rates ir-i iot r.iiLv oaaefl. "he" io iot
_ include fringe benefits (Federal health insurance, pension contributions,
I
etc.) or overhead (indirect support and management costs). At a future
date hourly rates will be loaded to include these factors. For now, the
15 percent cost factor (Step 8 of Section 2.1 in the manual) will cover
these other costs.
C-1
-------
b. Overtime Hourly Rates
Overtime hours (e.g., hours in excess of a "standard day") are priced
at one-and-a-half times the basic hourly rate. However, the overtime
hourly rate shall not exceed $22.43. This ceiling is adjusted as the
Federal rate structure changes.
2. TAT PERSONNEL RATES
The on-site average rate for TAT personnel is $65/hour as of October
1984. This is a fully loaded figure that includes per diem, travel,
fringe benefits and overhead. This rate should be used in calculating
TAT rates (straight and overtime) on removal sites.
C-2
-------
APPENDIX D
COST PROJECTION EXAMPLE
I
i(
-------
COST PROJECTION EXAMPLE
This example goes through the procedures to develop a prefunding cost
estimate for an imaginary CERCLA site. A brief background is provided
about the site in order to develop an estimate of the duration and cost
of the project. The example presented will follow the 9 suggested steps
for development of cost estimates explained in Chapter 2. The elements
of the cost estimation that are listed in this example are for
illustrative purposes. Presumably there are other approaches to the
cleanup that could accomplish the task as effectively.
• 1. BACKGROUND SITE SUMMARY
A State investigation of a site located in ERGS Zone 1 reveals that
an estimated 2,000 drums cf various industrial wastes are buried on the
s
site. About a hundred of these drums are partially buried and samples
are taken and analyzed. The results indicate that there are two major
categories of hazardous substances: flammable non-halogenated organic
solvents and flammable paint waste solids. Because the partially buried
irons aave leteriorataa -ina nave ^.eaKea some of tneir contents, it is
assumed that the remaining buried drums are leaking and that the soil is
contaminated. Based on compatibility testing of samoles taken from the
par-idily auriea drums. :ne liauia solvents -an :>e '-mikea. Sampling if
::ie par'^ai^y Buried arums suggests tnat approximately 10 percent of the
drums contain solid wastes and the remaining 90 percent contain liquid
wastes .
D-1
-------
2. DEVELOPMENT OF PREFUNDING COST ESTIMATE
2.1 Preliminary Assessment. A preliminary assessment of the site
has been conducted and completed by the State. The major findings have
been summarized in the previous background site summary.
2.2 Identify Response Objectives. The response objectives are
threefold: first, to excavate the buried drums (including the partially
buried drums) and contaminated soil from the site; second, to dispose of
the hazardous material properly; and third, to return the site to a
stable condition.
2.3 Develop Scope of Work. In order to meet the response
objectives, the following major tasks will be undertaken:
• Mobilize response;
• Install silt screens for erosion control;
• Define area of buried drums;
• Excavate contaminated soil and drums;
1 Stage ir\m)3 ;
• Bulk liquids;
• Transport and dispose hazardous wastes;
ica; -ina
• Demobilize response.
0-2
-------
i
2.4 Develop Time Frame. After identifying the major tasks needed
to complete the removal, the tasks are organized into different phases of
work, and the resources (e.g., personnel, equipment) that are needed to
implement each phase are identified. The OSC has estimated that this
project will take 27 working days to complete.
I 2.5 Identify Personnel' and Equipment Requirements. Based on the
scope of work and the timeframe of the project, a detailed list of
L personnel and equipment needed for the cleanup is developed. (See
Exhibits D-l and D-3.)
r' 2.6 Determine Cleanup Contractor Costs. The cleanup contractor
costs for this example are calculated using negotiated ERCS Zone 1
races. Services that are provided by ERCS subcontractors should be
s
identified at this point. In developing the total cost of the ERCS
service, a handling charge is normally added to subcontractor costs. The
,/ percentage rate used to determine the handling charge is different for
each ERCS zone. The individual rates and total costs for the ERCS
r
services are snown in the foI.lowing Exhibits:
f
Zxnibit D-i snows a partial list of negotiated ERCS
contractor personnel rates fir ^one 1. •
Exhibit 0-2 shows -alculatad ZHCS :ontracror personnel
'_ ;as~3 far :li^j ore;.tic~icn
r~* Exhibit D-3 shows °. partial list of negotiated ZRC3
contractor equipment rates for Zone 1; and
Exhibit D-4 shows calculated ERCS contractor equipment
,;osts for chis projection.
D-3
-------
In addition, transportation and disposal costs must be estimated for the
drum wastes, the empty drums, and the contaminated soil. Several waste
management facilities have been identified to receive the various waste
material. The estimates are obtained for the site and are summarized in
Exhibit D-5.
The OSC estimates that 200 of the approximately
2,000 buried drums (10 percent) contain solid
paint wastes which require disposal at a 1
hazardous waste management facility, located
about 100 miles from the removal site. Three
truckloads are needed to transport the 200
drums. Transportation cost for each fully loaded
truck is estimated to be $6.30/loaded mile. The
disposal cost is estimated at $30/drum.
The remaining 1,800 drums are assumed to '
contain various non-halogenated liquid organic
solvents. Compatibility tests indicate that ?
these solvents can be safely bulked for i
transportation to another waste management
facility located 200 miles away. Incineration
has been selected as the disposal option. The
approximate 99,000 gallons of bulked solvents are £
to be transported usingx!8 truckloads of 5,500 ™
gallons each. The transportation cost for a
fully loaded truck is $6.30/loaded mile.
Incineration cost is $0.41/gallon.
The 1,800 empty drums are to be crushed and *
disposed of in a sanitary landfill. Six
truckloads of 300 drums each (approximately 9 ,
tcnsN will be transtsor~ad ~o a sanitary landfill
located 75 Tiiles zuav. The transportation -.ast
for a fully loaded truck is $6.30/loaded mile.
The disposal cost is SSO/tcn.
One hundred-seventy v.ibic Mris '104 tans'! TT
".onnarainated soil caused by organic soii/enzj
leaking from detanorating arums/ must be
Hxcavataci and disposea -r _r. a wasta icanagemenc
facility. Ten loads of contaminated soil will be
transported to a facility located 100 miles
away. The transportation cost for a fully loaded
truck is $6.30/loaded mile. The disposal cost is
estimated to be $65/ton.
D-4
-------
A contingency allowance is always added to the contractor cost
estimate to cover unforeseen expenses (i.e., discovery of additional
hazardous materials and delays due to poor weather conditions or
equipment failure). In this case the OSC decides to use a contingency
. allowance of 20 percent.
f 2.7 Calculate Direct EPA, other Federal and TAT Personnel Costs.
The projected costs for direct EPA and TAT personnel are given in
[ Exhibit D-6. No other Federal personnel are anticipated on site.
2.8 Estimate Other Costs. To cover other EPA intramural costs,
0
] . such as off-site Headquarters and Regional personnel, indirect support
and management costs, and fringe benefits, 15 percent is added to the
V- total cost of the removal.
/
2.9 Calculate Project Ceiling. After all the above costs have been
estimated, the project ceiling is now calculated. Exhibit D-7 provides a
listing of the various cost categories and the project ceiling estimate.
D-6
-------
EXHIBIT D-1
NEGOTIATED ERCS CONTRACTOR PERSONNEL RATES1J
Hourly Rate ($)
Personnel Category
Supervisor
Foreman-Level 2
Cleanup Technician-Level 2
Laborer
Equipment Operator-Level 2
Carpenter
Security Guard
Field Clerk/Typist
Regular
52.50
31.50
25.00
18.00
31.50
23.00
9.50
19.00
Overtime and
Saturday
64.50
42.00
33.00
25.50
41.00
31.50
12.50
27.50
Sunday and
Holiday
69.50
46.50
36.50
28.50
45.50
36.00
12.50
30.50
1J Partial list for Zone 1.
o-e
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0
EXHIBIT D-2
ERCS CONTRACTOR PERSONNEL COSTS
Personnel Category
Supervisor
Foreman
Cleanup Technician
Laborer
Equipment Operator
Carpenter
Security Guard
Field Clerk/Typist
Quantity
1
1
2
3
3
1
1
1
Duration
27 days
27 days
27 days
27 days
20 days
3 days
26 days
27 days
Cost f$)
14,823
9,072
14,364
15,795
20,040
741
2,626
5,589
( Subtotal 83,050
*•
j Per diem charges 305 diems @ $60/day 18,300
TOTAL 101,350
assume .10 hours/day for weexdays. (This example assumes no work on
weekends.1
0-7
-------
EXHIBIT D-3
NEGOTIATED ERCS CONTRACTOR EQUIPMENT RATES1-1
Rate ($)
Equipment Category
Backhoe, Cat 225
Front-end loader, wheel
Grappler, drum hydraulic
Truck, pickup 2J
Trailer, decontamination, 40 ft.
Trailer, office 8 x 30 ft.
Trailer, equipment storage
Pump, trash 3"
Steam jenny
Emergency lighting
Generator - 10 kw
Personal protective equipment-Level B
Metal detector
Hand tools (no power tools)
Tank, portable holding
Drum, 85 gal. overpack
Portable radio
Cascade system
Portable eye wash, 10 gal.
Non-sparking tool set
Passenger van 2J ^
Barrel pump, explosion proof
Daily
556.00
371.00
134.00
62.00
206.00
77.00
41.00
123.50
154.50
62.00
82.50
154.50
31.00
12.50
62.00
100
8
51.50
16.50
56.50
72.00
31.00
Weekly
2503.00
1668.50
540.50
278.00
824.00
309.00
165.00
494.50
618.00
278.00
371.00
—
128.50
51.50
247.00
drums @ 8250
36.00
231.50
72.00
257.50
32^.50
123.50
Monthly
7107.00
4892.50
1631.50
772.50
2884.00
1081.50
463.50
1442.00
1854.00
803.50
1071.00
--
283.00
173.00
695.00
115.50
721.00
230.50
807.50
849.50
360.50
1J Partial list for Zone 1.
2J Mileage rate extra - $0.15/mile.
0-8
-------
EXHIBIT D-4
ERCS CONTRACTOR EQUIPMENT COSTS
Equipment Category
r
Backhoe, Cat 225
Front-end loader, wheel
Grappler, drum hydraulic
Truck, pickup
Passenger van
Trailer, equipment storage
Trailer, decontamination, 40 ft.
Trailer, office 8 x 30 ft.
Pump, trash 3"
Steam jenny
Emergency lighting
Generator - 10 kw
Personal protective equipment-
Level B
Metal detector
Hand tools (no power tools)
Barrel pump, explosion proof
Tank, portable holding
Portaoie radio
Cascade system '
Portable eye wash, 10 gal.
Non-sparking tool set
Drum, 85 gal. overpack
Vehicle mileage surcharge
Truck, pickup
Passenger van
TOTAL
Quantity
Duration RateIJ Cost ($)
1
2
1
1
1
1
1
1
1
1
1
1
7
1
1
1
1
5
1
1
1
100
20 days
20 days
20 days
27 days
27 days
27 days
27 days
27 days
20 days
(standby on
1 day
27 days
(standby on
3 days
27 days
3 days
3 days
15 days
15 days
27 days
27 days
27 days
27 days
1 @ 50 mi/day 27 days
1 @ 50 mi/day 27 days
M
M
M
M
M
M
M
M
S
site)
D
S
site)
D
D
D
D
2W/1D
2W/1D
M
M
M
M
15C/mi
15C/mi
7,107
9,785
1,632
773
850
464
2,884
1,082
649
155
362
248
29,201
93
38
278
556
578
721
231
808
8,250
202
202
D ~ daily, tf - weekly, M - monthly, S - standby (45% M). Use the
time duration to der.ernine vhir.h TiHCS r.it.j ^.o -har^e ror =n equipment
Gwever
.: -tie -iszim
:aa rant ion
0-8
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EXHIBIT D-5
TRANSPORTATION AND DISPOSAL COSTS
Category
Unit Cost
Solid Waste, 200 drums incld.
Transportation (3 loads)
Disposal
$6.30/loaded mile
?30/drum
Quantity
100 miles/load
200 drums
Cost ($)
1,890
6,000
Bulked Liquid, 99,000 gal.
Transportation (18 loads)
Incineration
$6.30/loaded mile
$0.41/gal.
200 miles/load 22,680
99,000 gal. 40,590
Empty Drums, 1800
Transportation (6 loads)
Disposal
$6.30/loaded mile
$50/ton
25 miles/load 945
54 tons 2,700
Excavated Soil, 170 yd
Transportation (10 loads)
Disposal
$6.30/loaded mile
$65/ton
100 miles/load 6,300
204 tons 13,260
TOTAL
94,365
0-10
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EXHIBIT D-6
DIRECT EPA, OTHER FEDERAL AND TAT PERSONNEL COSTS
Catetory
Quantity
Hourly Rate
(10 hrs/day)
Duration
Cost ($)
OSC, GS-12/Step 2
Straight Time
Overtime
Per Diem
Travel
TAT, Level 2
1
1
29
1
$15.66/hrlj
$22.43/hr1J
$60/day
$65 >J
8 hrs/day x 29 days 3,633
2 hrs/day x 29 days 1,301
1,740
200
33 days 21,450
TOTAL
See Appendix C for explanation of this rate.
28,324
0-11
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EXHIBIT D-7
SUMMARY -- CALCULATION OF PREFUNDING PROJECT CEILING
Category Cost ($)
ERGS
Personnel 101,350
Equipment 67,149
Transportation and Disposal 94,365
Handling Surcharge (8%1J of ERGS subcontractors for
transportation and disposal) 7,549
Contingency allowance (20%)IJ 54,083
Direct EPA, TAT Personnel 28,324
Subtotal 352,820
Other Costs (15% of all costs above) 52,923
TOTAL 405,743
*s
PROJECT CEILING ESTIMATE 410,000
1J Rates vary among ERCS zones.
2J See Sec. 2.1, Step 6 of manual and Sec. 2.6 of this Appendix for
-Lcn rf C3nr^nganc7 ilicwanca.
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APPENDIX E
EPA ADMINISTRATIVE PROCEDURES FOR SECURING ASSISTANCE
FROM OTHER FEDERAL AGENCIES AT SUPERFUND 3ITES
f
Source: Superfund Removal Procedures - Revision #2 - U.S. Environmental
Protection Agency, Office of Solid Waste and Emergency Response,
Washington, D.C., August 1984, pp. 47-53.
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EPA ADMINISTRATIVE PROCEDURES FOR SECURING ASSISTANCE FROM
OTHER FEDERAL AGENCIES AT SUPERFUND SITES
1. U.S. Coast Guard
Only EPA or the U.S. Coast Guard (USCG) may provide the lead in responses
at non-Federal facilities. On October 9, 1981, the USCG redelegated to EPA
certain authorities previously delegated to USCG under Executive Order 12316.
r These redelegated authorities give EPA the lead responsibility for removal
actions for a release or threat of release of hazardous substances -at active
or inactive hazardous waste management facilities located in the coastal
zone, Great Lakes waters, and ports and harbors.
' The USCG retained the response authorities in the coastal zone, Great
Lakes waters, and ports and harbors, as follows: responses to releases or
[ threats of releases from vessels; immediate removal actions concerning releases
i or threats of releases at facilities other than active or inactive hazardous
waste management facilities; and immediate removal actions concerning releases
( or threats of releases at active or inactive hazardous waste management
[ facilities when a Coast Guard CSC determines that such action must be taken,
pending the arrival on-scene of an EPA CSC. Unless otherwise agreed upon by
jr EPA and the Coast Guard, the USCG will not exercise this authority unless
|\ the EPA OSC is scheduled to arrive on-scene within 48 hours of notification
1 of the release or threat of release.
r* 2* The Federal Emergency Management Agency
1 /
•ection 101(23) of CERCIA defines removal to include evacuation and
temporary relocation. Such activities are undertaken when the public health
' and welfare is threatened by: 1) the release of a hazardous substance or
contaninant; 2) actual or potential releases of a hazardous substance as a
result of response efforts, e.g., threat of inhalation of contaminated dust
f created during response efforts.
- Under CERCIA and the Disaster Belief Act of 1974., the *-deral 3»r;ency
Xanagsaenc .Agency ,?SHA; -a autnoriad co oarticipace in tanccrmry relocation
jGZiv-.z-ss ssacciacac. •*itn .aaaediata ^Bracvais. e&A'a participation may
- consist of technical assistance to EPA and/or a State as well as actual
lapi.srne.Tcacicn c: a caaporary relocation. EPA and FEMA currently are
1 developing an MDU which vill yismarizs policy and prccsdura jcveming :he
ai Assistance say .;-sciace: ccncrisuting co ine idencificacion of
relocation options, identifying the necessary elements of a relocation action
ard, 3stl!&ating raiccacicn casts. /E?iA also may assist in determining the
need for a temporary relocation, although the final decision rests with EPA.
Either FEWA or a State may lead the relocation. "Aen 7S»IA assuaes the
lead, it Is raspcrsibls fsr the following: providing ail affected residents
with adequate housing; ensuring provision of appropriate welfare services;
and ensuring that maintenance requirements and costs are covered. Section
0.5.C outlines procedures OSCs should follow in contacting and coordinating
with ?EHA.
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3. Health and Human Services
As authorized by section 104{i) of CEBOA, the Department of Health and
Binan Services (HHS) will establish registries; conduct appropriate health.
surveys and studies; develop and provide testing for exposed individuals in
cases of public health emergencies; develop and maintain information on
health effects of toxic substances; and maintain a list of areas restricted
or closed because of toxic substance contamination.
BBS activities in support of specific removals are conducted by the
Centers for Disease Control (CDC) and the national Institute or Occupational
Safety and Health (NIQSH). At the request of the CSC, CDC's activities may
include on-site data collection and review of site information to evaluate
the potential for hunan exposure to toxic substances and to determine if any
threat to human health exists. Following this analysis, CDC may issue a
Public Health Advisory that OSCs can use in selecting appropriate removal
activities. This health advisory is a tool that CSCs can use to determine
the need for response, however, it is not a prerequisite to a removal action.
EPA CSCs are advised to always obtain such advisories on dioxin, lead, and
asbestos sites or other chronic threats which could lead to acute effects.
In addition, during removal operations CDC can monitor the health of
residents who have been exposed to the hazardous materials or who live in
close proximity to the release. At the request of the 06C, NIOSB may provide
technical assistance to OSHA and EPA's Occupational Health and Safety staff
in testing worker protection equipment and gathering information for guidance
manuals.
4. Other Federal Agencies
In addition, EPA may use the specialized expertise of other agencies to
assist in providing response actions. These agencies and their areas of
expertise are listed below.
a. The Department of Agriculture
^e w"r.-.2C jtacss £zparsaent of ^grieuiC'-ra v J5ZA/ manages
agrlcoiturax , ^orssr:, and tfildesraassa ^rsaa; prcvicea scientific support jnd
expertise in examining the effects of pollutants on soil, plants, and animals;
prsvices asaiscanos in animal disease outsrsaxa; procures emergency food
supplies; and conducts damage assessment estimates for natural rssourcs
ihe .-iaticnal Oceanic and ASacapberic /kininiatration
the Department of Camt>rce (DOC) will provide scientific support during
response actions on hazardous spills in coastal and marine areas. NOAA also
is responsible for the federal trusteeship for natural resources in coastal
and *arine vatsrs and certain upland areas. Scientific support provided
during response actions can involve expertise in areas unique to maritime
incidents, including meteorology, hydrology, and oceanography.
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c. The DepaiUuent of Defense
The Department of Defense (DOD) provides assistance in disposing
of explosive ordnance, engineering support and salvage. Included within
the Department of Defense is the U.S. Army Corps of Engineers, which has
expertise in flood control, water supply, maintenance of navigation, and the
environmental effects of discharging dredged material into navigable waters
and the oceans.
d. The Department of Energy
The Department of Energy (DOE) is capable of evaluating radiolc-
gically contaminated sites in order to determine if some response measures
are warranted to protect public health and safety. In addition, DOE can
participate in response actions through the conduct of engineering studies,
the removal and disposal of radioactive releases, and certification of final
site decontamination. See Section X of this guidance for further information.
e. The Lepartanent of the Interior
Expertise the Department of the Interior (DOD offers includes
damage assessment capability and expertise in managing natural resources and
public lands under its jurisdiction, including those underlying the Outer
Continental Shelf. It also provides expertise on the geological and hydro-
logical movement of hazardous suostances uirougn land surfaces, subsurface
strata, ground and surface water, and endangered species.
f. The Department of Justice
The role of the Department of Justice (DOJ) is to represent the
j united States in litigation arising under the CWA and CERCLA, and assist in
training officials of the United States and States in matters relating to
^ civil and criminal enforcement of law.
;. "^.a Vuclaar '5ieGul.iC3rv Crsaniasicn
The '•Juclaar •tegulacrry "rami^aijn ,NPC* will assist m rsspcrses
to incidents involving NRC licensees in accordance with existing plans
licensees *i^- 7ont..r!ue .-a 'iciu.r/ -SRC or xnc^cert^s in accordance
aocut the status of eacft incident, and F"EMA and the NPC wil provide all
necessary inforaation *:o ".he MPT, See Seedier. X of this guidar.cs fcr further
inforaation.
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h. The Department of
The Department of Labor's (DDL) role is to provide advice on labor
and employment related issues, as well as advice, guidance, and assistance
regarding health and safety hazards to persons involved in oil and hazardous
substance emergency actions. Regional OSHA compliance personnel will enforce
existing health and safety standards at the site. Advice or assistance
provided by the Department of Health and Hunan Service's National Institute
of Occupational Safety and Health in these areas will not preempt the applica-
tion of standards developed 'Jy the Department of Labor's Occupational Health
and Safety Administration under section 4(b)(l) of the Occupational Safety
and Health Act.
i. The Department of state
The Department of State (DOS) develops joint international
contingency plans and coordinates international response when an oil
discharge or hazardous substance release crosses international boundaries
or involves foreign flag vessels or facilities.
j. The Department of Transportation.
The Department of Transportation (DOT) provides expertise on all
nodes of transporting oil and hazardous substances. DOT, through the United
States Coast Guard (USCG), offers expertise in port safety and security;
maritime law enforcement; ship navigation and construction; and the manning,
operation, and safety of vessels and marine facilities. The USCG also
maintains continuously manned facilities which can be used for command,
control, and surveillance during oil and hazardous substance response
operations. For those areas where it provides the OSC, the USCG chairs the
Regional Response Team, which develops, implements, and revises regional and
local contingency plans as necessary.
5. AAninistrative Procedures
Uus jection sescricea current aaturtiscrative procedures irr arranging
for and compensating technical assistance from and response activities of
ctfler fecera* agendas at ncn-feoerai facilities, for most of cne agencies,
OSCs will use the procedures described in Section 0,5,3.- for the TJECG and
er. '-"a trccacuras lijcussetj ..rs 3ecr:.cns 0,5..:. and ",,.5,c.
a. General Procedures
The OSC is responsible for identifying whether technical assistance
from another Federal agency is needed. OSCs may contact the Removal Operations
Team (382-2188) of ERD for assistance in making initial contact with and
arranging for the ir.voly«=E*er.t cf the pertinent Federal agency.
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In general, there are two mechanisms for funding the response and
.response-related activities of another Federal agency: that agency's
Superfund budget or an interagency agreement (IAG). The nature of the other
agency's involvement trill determine the compensation mechanism. For example,
if the service provided is defined as an "ongoing" activity, for which the
other agency has received a Superfund budget, no further transfer of funds
will occur. Bowever, if the service involves site specific response actions,
the other agency typically will receive reimbursement through an LAG (except
as noted in Sections O.S.fc. and O.5.C.). IAS procedures are described in
Section O.S.d. below, and QSCs should contact the ERD Guidance Development
Team for assistance in determining whether the other agency's involvement is
an ongoing activity or site-specific response activity requiring an LAG.
b. U.S. Coast Guard (U50G)
A Memorandum of Understanding (MOU) between EPA and USCG, signed
on January 4, 1982, allows the USCG to use the GERCLA Trust Fund for vendor
(extramural) costs incurred in Superfund response actions. Site specific
LAGs are used to reimburse USCG for out of pocket (personnel and equipment)
costs.
Coast Guard QSCs may obligate up to $250,000 for a single response
to a hazardous substance release, without first obtaining EPA BQ permission.
They must, however, obtain special reserved account numbers from EPA during
normal working hours or by contacting tne NRC during non-duty hours. The
Coast Guard will then use its own contracting mechanism and send a copy of
the contract or other obligating document as well as certified invoices to
EPA Financial Management (Financial Management Officer, Accounting Operations
Office (MD-32) EPA, Research Triangle Park, Durham, N.C. , 27711) for payment.
If the cost of the response exceeds $250,000, then CG obtains funding
fron the EPA Assistant Administrator, OSVER, via a request to ERD. Likewise,
if the response cost will exceed $1,000,000, the statutory finding of CERCLA
134 -'c) ',3 prasencad -.3 "JB M, 3*£2, »nc vill prcv-.cie j'-^ncir^ Jcr ir.e
rssccnse The r3cuest shculd ^cntai:*. iria sane ;nf snaaticn raquiraa -zf i?A CSC3
and described in Appendix 2. The Coast Guard must submit POLREPS to ERD as
•Jetail-ad Li Section I.
£?A legions sneuid
tcra rier-ailsd
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C. FEMA ^
FEMA participates in removal actions that necessitate evacuation
or temporary relocation. At the present tine, EPA and FEMA are negotiating
an MOO that will establish the general policies and procedures for FSMA
participation. In the interim, CSCs should use the following procedures.
The QSC has responsibility for deciding to undertake evacuation
and/or temporary relocation as part of a removal action. In carrying out
this responsibility the CSC must coordinate with FEMA and the pertinent
State and local health authorities as follows: ]
• The CSC may consider evacuation or temporary
relocation on his own or at the request of State *
and local officials.
• In either case, subsection 300.33(b)(6) of the
NCP requires the CSC to advise FEMA immediately
of any potential major disaster situations as
well as situations that may require evacuation
or temporary housing. CSCs should contact their
FEMA Regional counterparts.
• In order to determine the need for and scope
of the evacuation cr temporary relocation, the M
OSC may request, that FEMA provide technical ™
assistance by identifying, evaluating and
estimating the costs of alternative temporary
relocations. FEMA should report its findings
to the CSC as expeditiously as possible.
rii
e The CSC also may rely on State and local
information and may request a Health Advisory
fron CDC to support the iecisicn :c jrder^K3
an evacuation or tamccrary rs-Lccac.cn..
As with other agencies, funding :.s *ithar via 4 Supsrfund
for cngcing activities or an IA3 for site-specific activities. Until
negotiations are oonnletsd,, the 3C should s«sx issxscancs r'rra :3D' - t
rscacures are ciescrii'»cl in Seccicr.
d. IA3 Prpcedures
Regions will approve, negotiate and award lAGs for site-specific
response actions. This includes:
• JEMA XAGs for temporary relocation.
• Coast Guard lAGs for assisting in EPA removals (Coast
Guard intramural costs).
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For these LAGs, Region personnel should use the following procedures:
• Regional Administrator or designee approves the action if
it is $1 million or less; requests AA, Q6VCR approval of
the action if it will cost over SI million.
• Regional Program Division prepares the LAG funding package,
consisting of a Ccramitaent Notice, Transmittal memo and
EPA Form 1610-1.
• Regional legal and administrative staff review funding
package.
• Regional Management Division adds accounting data and
commits funds in their Document Control Register. A
copy of the committnent notice must be sent to FKD
Cincinnati for commidnent in the FMS.
• Regional Grants Office negotiates and signs LAG: sends
signed LAG to other agency for execution.
• Regional Grants office distributes executed LAG to:
Regional Management Division finance staff and Program
Division, FMD Cincinnati, HO FMD-Financial Reports and
Analysis Branch, HQ Budget Division, and CERR Funds
Control Center.
LAG teems should require that monthly reports on technical program
and costs be sent to the Regional Program Division. For Coast Guard LAGs,
the Region will authorize reimbursement based on vouchers; FEMA receives a
transfer allocation, processed by the Comptroller, at the onset of the
evacuation/tanporary relocation.
other I*Gs vr.ll •» ^rrxsssed -ind forced at Seadcuarrars.
Region snouia concact £RD's ftsnoval cceraticns Ta^ra fs
cypea of IAuo are
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, APPENDIX F
» t
MEMORANDUM OF UNDERSTANDING BETWEEN
THE U.S. COAST GUARD AND
THE ENVIRONMENTAL PROTECTION AGENCY
r
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L
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n
r
MEMORANDUM OF UNDERSTANDING
BETWEEN
THE U.S. COAST GUARD
AND
THE ENVIRONMENTAL PROTECTION AGENCY
* **
A Mechanism for Funding Vendor Costs Incurred by the
U.S. Coast Guard During Emergency Response to Releases
or Threats of Releases of Hazardous Substances
PURPOSE;
The U.S. Coast Guard (USCG) and the Environmental Protection Agency (EPA) agree that
a mechanism is required to fund USCG costs incurred during emergency response to
releases, or the threats of releases of hazardous substances or pollutants or
contaminants. This Memorandum of Understanding establishes the accounting,
contracting, and fund management control policies and procedures for USCG response
actions.
AUTHORITY;
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA) (94 Stat. 2796; 42 USC 9615) authorizes the President to respond to releases
or threats of releases into the environment of hazardous substances, or pollutants or
?enMnsinar.J3 vhieh T.ay srs&ent in '..Tirninent ind substantial Jarjjpsr :o *±a puolis i«Ai:r.
3r "»«if.irs- ~sy the USCG in
response to a specific incident of a release, or threat of a release, of hazardous
substances.
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The vendor costs are only those costs which qualify as allowable uses of the Hazardous
Substance Response Trust Fund when the USCG undertakes response activities pursuant
to CERCLA, Executive Order 12316, and the National Oil and Hazardous Substances
Contingency Plan. Examples of vendor costs include, but are not limited to, the
following:
e contractor and consulting coats;
e lease or rental of equipment; and
e supplies, materials, and equipment (including transportation costs) procured for
the specific response activity and expended during a response.
Vendor costs do not include USCG out-of-pocket expenses which are:
• travel and per diem for military and civilian personnel, and overtime costs for
civilian personnel;
e fuel for vessels, aircraft, or vehicles used in sisj>port of a response activity; and
• replacement or repair costs for non-expendable equipment.
Funding for out-of-pocket expenses and other non-vendor costs will be the subject of a
separate agreement between the EPA and the USCG.
The Coast Guard will advise all of its District Commanders, predesignated On-Scene
Coordinators (OSC), and Regional Response Team members of the terms of this
Memorandum. The USCG will provide to EPA a current listing of District personnel who
will serve as appropriate contacts for EPA on matters relating to contracting and
accounting for response activity.
CONTRACTING AND ACCOUNTING;
The TJ5CC -ind M*.e "?.i ig-^e '.hat *^e ~?A 'vi.il sarform -tli ^csountiruj -'or -'
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p.
I
Guard, where the USCG OSC if acting in the capacity of first responding Federal
official, pursuant to the National Contingency Plan, shall remain in effect only during
the period that the USCG is the OSC.
Any contract for immediate removal actions in response to releases, or threats of
releases, of hazardous substances or pollutants or contaminants, entered into by the
Coast Guard pursuant to the authority delegated under Executive Order 12316, and
retained by the USCG in Section (c) of the Instrument of Redelegttion, executed 2
October 1981 by the Secretary of Transportation and consented to on 9 October 1981 by
the Administrator of the Environmental Protection Agency, shall remain in effect only
during the period that the USCG is acting under this authority.
The USCG and the EPA agree on the following procedures for coordinating the EPA
accounting system and the USCG contracting system.
1. Obtain account number
For each incident where CERCLA funds are obligated, the USCG OSC must
obtain & ten-digit account number from EPA Headquarters which identifies a
specific sits/spill irscident. The number is obtained by calling:
Chief, Response Operations Branch
Emergency Response Division
Office of Emergency and Remedial Response
Environmental Protection Agency
401 M Street, S.W.
Washington, DC 20460
(202) 245-3057
The uSCG OSC wU provide tn estimate of *^e resDcns* »ssts sancar.itant v:t
the request for an account number.
The *an-dj?it tcccunt -.umfc«r -will -ct "5« Lssuad urJess CI3C1A 'unds IT*
.'or cne rssnons* action.
2. Accounting codes
Specific accounting information is required by the EPA Financial Management
System in order to process response contracts. There are five categories of
acceuntir,g and control numbers which must be entered on each contract and
financial document. They are:
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• Appropriation Number; This number is permanently assigned to the trust
fund.
68-20X8145
• Account Number: The ten-digit account number obtained for each incident
from EPA Headquarters (see II). The Jl and SS portions will vary to
identify each separate release incident.
FTFA72RZSS
Where: R » EPA Region where the release occurred
SS * Site/spill identification number
e Document Control Number: The OSC will develop a set of document
control numbers for a specific release incident in the following format:
RSSXXX
*
Where: R * EPA Region where the release occurred
SS * Site /spill identification number
XXX * Contract document number
Each contract entered into relative, to each release must have a unique
document control number issued in ascending numerical sequence beginning
with XXX = 001 for the first contract issued for that release. The jl and SS
portions are obtained from the Account Number.
For Example: RSSOOl for 1st contract and its modifications
RSS002 for 2nd contract and its modifications
* O-'ft'?* Class; This number !j permanently
2535
I.;rtrict .n
3. Transmit Contract to EPA
in order ioe £?A to process payments for response contracts, a legible certified
true copy of the contract and modifications to the contract must be submitted
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by certified mail within 72 hours of award by a USCG District Contracting
Officer to the EPA paying office:
Financial Management Officer
Accounting Operations Office (MD-32)
Environmental Protection Agency
Research Triangle Park
Durham, NC 27711
The USCG will assure that the USCG contract number and the EPA accounting
codes (appropriation number, account number, document control number, object
class, and dollar amount) are clearly and legibly presented on the contract
document. The USCG will assure that the EPA accounting codes and USCG
contract number are made known to the contractor. The original contract will
be retained by the USCG.
4. Process Contractor Invoices
4.1 Contractor Responsibilities;
The contractor will:
e Send the original invoice to the EPA paying office. The address for
the paying office is:
Financial Management Officer
Accounting Operations Office (MD-32)
Environmental Protection Agency
•Durham,
e Submit a duplicate copy of the invoice to the USCG OSC.
e Assure that the USCG contract number and the EPA accounting codes
r urn cum; ir-s jiear:y *nc .j^isiv
the invoice and its copy. Contractors submitting invoices for work
performed uncer a contract are to numoer each invoice sequentially
beginning with one (1) and make a notation on the last invoice under
the contract with *..v.e phrase "FINAL INVOICE."
4.2 USCG OSC Responsibilities;
e The USCG OSC must certify each correct and proper invoice. A
correct and proper invoice is one in which the services performed are
acceptable and are consistent with the services billed and the
accounting data properly transcribed.
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The certification statement to b« used by OSC1* of both agencies for
all CERCLA eases.
"It , certify to the best of my
IOSC NAME)
knowledge and belief that the services have been performed and are
accepted, and that applicable Pollution Incident Reporting System
(FIRS) and EPA Spill Prevention Control and Countermeasure (SPCC)
information has been correctly and complstely submitted."
(OSC's Signature)
(date)
e The OSC will forward by certified mail the accepted and certified
invoice, within 72 hours of receipt of the invoice from the contractor,
to the EPA paying office (address shown above).
e The USCG OSC shall not, certify invoices which include discrepancies
between services performed and services billed. In the event that
there are discrepancies in the invoices, the USCG representative
shall, immediately upon receipt of the invoice, take appropriate
action to notify the contractor and to resolve the discrepancies.
Within 72 hours of receipt of an invoice containing unresolved
discrepancies, the OSC shall forward the invoice by certified mail to
*.ne i?A paviraj -;£!!c-s 'address shown ibo**}. The '.nvoica *n'll b«
sndorseo *;tfl --.e
"This invoice contains unresolved discreoancies. DO NOT PAY THIS
I^YCICS JliTIL '.'-'J 12C2T/"i .^BITTIM .•rCTZriCATICsI TH.i?
IS REISSUED."
TOSC signature)
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4.3 EPA Responsibilities;
• The EPA hms the responsibility to process contract invoices and to
make contract payments in a timely manner. Contract payments are
normally made within 30 days after invoice receipt.
• Payment will be contingent on the EPA paying office receipt of the
original invoice from the contractor and the USCG OSC* certified
copy of the invoice.
• The paying office will withhold payment for contractor services if the
OSC has not certified the invoice. Payments will be made when the
discrepancies are resolved and the invoice is reissued and received at
the paying office.
• The paying office will not pay any response costs in excess of the
dollar amount of the contract. In the event that a contractor's
service exceeds the dollar amount of the contract, the EPA paying
office will inform the USCG District Representative who will take
appropriate action.
FINANCIAL^ MANAGEMENT;
r
The USCG and EPA agree that the USCG may obligate up to $50,000 per release without
[ prior approval from EPA. Approval to obligate amounts in excess of the $50,000 ceiling
must be obtained from:
r
Cp-eraiicns jJrancr.
Hesponse 3ivtsion
Office of Emergency and Remedial Response
Zr,vijronm*ntai Protection .Agency
401 M Street. S. W.
' 202) 'J-4S-105?
The USCG will modify, as necessary, any existing contracts to reflect each ceiling
increase. Certified copies of the contract modification must be submitted to the EPA
paying office.
The USCG and EPA recognize that CERCLA requires that response actions cease when
$1 million is obligated or 6 months have elapsed from the date of initial response, except
as authorized under Section 104(cXD, thereof.
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REPORTING REQUIREMENTS: POLREPS
The USCG and th« EPA agree that tht EPA, toting in the capacity as manager of th«
Hazardous SubfUnoe Response Trust Fund, requires up-to-date information on CERCLA
response actions and the related obligations of CERCLA funds for these actions.
Pollution Reports (POLREPS) are submitted by USCG OSC*t to USCG District
Commanders. POLREPS provide factual operational data relating to a release and a
current accounting of project coats. The USCG OSC will submit a duplicate copy of all
POLREP's to the Director, Emergency Response Division, EPA, (TWX * 710-«229289) for
the purpose of communicating CERCLA response and fund obligation data to EPA. The
initial POLREP will be sent within 24 hours of initiating a response action, if information
is available. Once the initial report is completed, progress POLREPS should be sent on a
routine basis.
PERIOD OF AGREEMENT:
This Memorandum shall continue in effect until modified or amended by the assent of
both parties or terminated by either party upon a thirty (30) days advance written notice
to th« ether p«?ty.
Nothing in this agreement is intended to diminish or otherwise affect the statutory
authority of the agencies involved.
This Memorandum will become effective at noon on the date of the last signature below.
r r>
.-
CHRIST(*?RXJ. CAPPER
Office or Soua rfasxts *nc
S.Ti.srjsr.av Gascons*
DATE ' DATE
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