United States
Environmental Protection
Agency
Office of Emergency and
Remedial Response
Washington DC 20460
&EPA
Superfund
OSWER Directive 9355.0-4A
Superfund Remedial
Design and Remedial
Action Guidance
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
OFFICE OF
SOLID WASTE AND EMERGENCY flESPONSE
9355.0-4A
SUPERFUND REMEDIAL DESIGN AND REMEDIAL ACTION GUIDANCE
The Superfund Remedial Design and Remedial Action Guidance
was first issued in February 1985, by the Environmental Protection
Agency's (EPA) Office of Emergency and Remedial Response (Directive
9335.0-4). This document provides assistance to EPA, States, U.S.
Army Corps of Engineers, and private parties who plan, administer
and manage remedial design (RD) and remedial action (RA) projects
to assure RD and RA projects are performed consistently and
expeditiously.
This revised June 1986 version of the Superfund RD and RA
Guidance (Directive 9335.04-A) is being issued to reflect program
changes that have occurred since the document was first issued.
Sections of this document that have significant changes are listed
below:
Section 2.4.5 Major Design Changes.
Section 3.3.3 Contingency Funds for Change Orders and
Claims-State Lead Remedial Action.
Section 3.4.2 Prefinal Inspection.
Section 3.4.3 Final Inspection and Certification.
Section 3.5.2 Operational and Maintenance.
Appendix B.1.6 Selection of RCRA Facilities.
References
The February 1985 version of this document (9355.0-4) is
superseded by the June 1986 version (9335.0-4A). This document
will be updated as necessary.
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OSWER Directive 9355.0-4A
SUPERFOND REMEDIAL DESIGN AND
REMEDIAL ACTION GUIDANCE
June 1986
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, D.C. 20460
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OSWER Directive 9355.0-4A
TABLE OF CONTENTS
1. INTRODUCTION
Page
Number
1.1 Purpose of the Guidance Document
1.2 Overview of the Guidance Document
1-1
1-1
2. REMEDIAL DESIGN
2-1
2.1 Architect/Engineer Selection Activities 2-1
2.1.1 Federal Lead Remedial Design 2-1
2.1.2 State Lead Remedial Design 2-4
2.2 Design Initiation 2-5
2.2.1 Remedial Planning Information 2-5
Provided to Lead Design Party
2.2.1.1 Record of Decision/Enforcement 2-6
Decision Document and Final Remedial
Investigation/Feasibility Study Report
2.2.1.2 Pre-Design Report 2-6
2.2.1.3 Technical Transfer Briefing 2-6
iii
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OSWER Directive 9355.0-4A
2.2.2 Type of Agreement 2-6
2.2.2.1 Federal Lead Remedial Design 2-9
2.2.2.2 State Lead Remedial Design 2-9
2.2.2.3 Responsible Party Remedial Design 2-9
2.2.3 Architect/Engineer Conflict of Interest 2-11
2.3 Elements To Be included in Statement of Work (SOW) 2-11
2.3.1 Plans and Specifications 2-13
2.3.2 Additional Studies 2-15
2.3.3 Operations and Maintenance Plan 2-15
2.3.4 Quality Assurance Project Plan 2-15
2.3.5 Site Safety Plan 2-16
2.3.6 Architect/Engineer Services During Construction 2-16
2.4 Design Reviews and Approvals 2-17
2.4.1 Preliminary Design 2-17
2.4.1.1 Environmental Review 2-18
2.4.1.2 Technical Review 2-18
2.4.2 Intermediate Design 2-18
2.4.3 Prefinal Design 2-18
2.4.3.1 Environmental Review 2-19
2.4.3.2 Technical Review 2-19
2.4.4 Final Design 2-20
2.4.4.1 Extent of Review 2-20
2.4.4.2 Final Approval 2-20
2.4.4.3 Plan-In-Hand Review • 2-20
iv
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OSWER Directive 9355.0-4A
2.4.5 Major Design Changes 2-21
2.4.6 Value Engineering 2-22
2.5 Permits, Approvals and Site Access 2-22
2.5.1 Permits and Approvals 2-22
2.5.1.1 Requirements 2-23
2.5,1.2 Responsibilities 2-23
2.5.2 Site Access 2-23
2.5.2.1 Requirements 2-24
2.5.2.2 Responsibilities 2-25
2.6 Community Relations Activities 2-25
2.6.1 Objectives 2-25
2.6.2 Implementation Activities and Techniques 2-26
2.6.3 Responsibilities 2-27
2.7 Cost Estimates for Construction 2-27
2.7.1 Estimated Cost of Project 2-27
2.7.2 Supervision and Administration (S&A) and. 2-28
Engineering and Design (E&D) During Construction
2.7.3 Contingency Limits 2-28
2.7.3.1 Bid Contingency 2-28
2.7.3.2 Changes Orders and Claims 2-29
2.7.4 Total Cost Estimate for Remedial Action 2-29
Agreements
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OSWER Directive 9355.0-4A
3. REMEDIAL ACTION 3-1
3.1 Remedial Action Initiation 3-1
3.1.1 Federal Lead Remedial Action 3-1
3.1.2 State Lead Remedial Action 3-1
3.1.3 Responsible Party Remedial Action 3-3
3.1.4 Conflict of Interest 3-3
3.2 Procurement Activities 3-3
3.2.1 Advertise for Bids 3-6
3.2.2 Site Inspection 3-6
3.2.3 Review of Bid Documents 3-6
3.2.4 Bid Protests 3-7
3.3 Monitoring and Oversight 3-7
3.3.1 Inspections 3-7
3.3.1.1 Full Time Inspector 3-8
3.3.1.2 Compliance with Environmental 3-8
Requirements
3.3.1.3 Compliance with Other Contract 3-8
Requirements
3.3.1.4 Review of Contractor Reports 3-9
3.3.2 Progress Reports to EPA 3-9
3.3.3 Contingency Fund for Change Orders and Claims 3-10
3.3.3.1 Federal Lead Remedial Action 3-10
3.3.3.2 State Lead Remedial Action 3-11
vi
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OSWER Directive 9355.0-4A
3.4 Remedial Action Completion and Acceptance 3-11
3.4.1 Prefinal Construction Conference 3-11
3.4.1.1 Participating Parties 3-12
3.4.1.2 Suggested Agenda Items 3-12
3.4.2 Prefinal Inspection 3-13
3.4.2.1 Inspecting Parties 3-13
3.4.2.2 Extent of Inspection 3-13
3.4.2.3 Prefinal Inspection Report 3-13
3.4.3 Final Inspection and Certification 3-14
3.4.3.1 Inspecting Parties 3^14
3.4.3.2 Extent of Inspection 3-14
3.4.3.3 Remedial Action Report 3-15
v's
3.4.4 Acceptance of Completed Project 3-15
3.5 Site Closeout 3-16
3.5.1 Deletion of Site from NPL 3-16
3.5.2 Operation and Maintenance 3-16
3.5.2.1 Operation and Maintenance Assumption 3-17
3.5.2.2 Operation and Maintenance Report 3-17
vn
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OSWER Directive 9355.0-4A
Appendix A - Sample USACE Work Assignments and Interagency A-l
Agreements
Appendix B - Elements to be Included in the Remedial Design B-l
Statement of Work
Appendix C - List of Acronyms C-l
Appendix D - Glossary of Terms D-l
REFERENCES
vm
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OSWER Directive 9355.0-4A
INDEX OF EXHIBITS
Page
Number
EXHIBIT
NUMBER TITLE
1-1 Remedial Process for Fund Lead Sites 1-2
2-1 Federal Lead Remedial Design Process 2-2
2-2 USACE Regional Assignments for Superfund Projects 2-3
2-3 Suggested Outline for Pre-Design Report 2-7
2-4 State Lead Remedial Design Process 2-10
2-5 Responsible Party Lead Remedial Design Process 2-12
3-1 Federal Lead Remedial Action Process 3-2
3-2 State Lead Remedial Action Process 3-4
3-3 Responsible Party Lead Remedial Action Process 3-5
B-l Basic Elements of Operation and Maintenance Plan B-7
IX
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OSWER Directive 9355.0-4A
1. INTRODUCTION
1.1 Purpose of the Guidance Document
This guidance document has been developed to assist agencies and
parties who plan, administer, and manage remedial design (RD) and remedial
action (RA) at Superfund sites. The guidance document pertains to
Fund-financed RD/RA (i.e., Federal lead and State lead) and responsible
party RD/RA, and provides procedural guidance to be followed in order to
ensure that RD/RA is performed properly, consistently, and expeditiously.
The guidance document has been developed primarily for use by:
Environmental Protection Agency Remedial Project Managers (EPA
RPM)
State Project Officers
U.S. Army Corps of Engineers (USAGE) personnel
Responsible parties.
Exhibit 1-1 highlights the focus of the document within the context and
sequence of activities required to complete an entire remedial response.
1.2 Overview of the Guidance Document
This guidance document has been organized to reflect the general
sequence of events that occurs prior to, during, and after remedial design
and remedial action at a Superfund site. Remedial design activities are
presented in Chapter 2, and remedial action activities are presented in
1-1
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OSWER Directive 9355.0-4A
EXHIBIT 11
REMEDIAL PROCESS
DISCOVERY
AND
INVESTIGATION
SUBJECT OF
RDIRA GUIDANCE
COST
RICOVHY
1CTIOI
1-2
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OSWER Directive 9355.0-4A
Chapter 3. The majority of both chapters pertains to Fund-financed and
responsible party projects, however, some sections apply only to
Fund-financed projects and are noted accordingly. Common information is
consolidated for discussion, and where necessary separate subsections are
provided for Federal lead, State lead, and responsible party RD/RA.
Additional guidance on oversight of responsible party RD/RA activities will
be provided by EPA in the future.
The discussion on responsible party RD/RA pertains only to those
Superfund sites where EPA has entered into a settlement agreement with the
responsible party(ies), and no trust fund monies are involved in the RD/RA.
If trust fund monies are involved, different procedures to be followed will
be provided in the future by EPA.
RD/RA conducted by other Federal agencies is not addressed directly in
this document. The forthcoming Federal Facilities Program Manual will
tailor the information in this document to address Federal Agency RD/RA
activities.
1-3
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OSWER Directive 9355.0-4A
2. REMEDIAL DESIGN
2.1 Architect/Engineer Selection Activities
Activities involved in selecting an architect/engineer (A/E) firm for
remedial design will be dependent on the lead party. A/E selection
activities pertaining to Fund-financed remedial design are discussed below.
2.1.1 Federal Lead Remedial Design
Exhibit 2-1 diagrams the Federal lead remedial design process. In
order to expedite the design phase, A/E selection activities may be
initiated prior to Record-of-Decision (ROD) approval if deemed appropriate
by the EPA RPM and EPA headquarters (HQ). The EPA Regional office will
issue a work assignment consistent with the standing Interagency Agreement
(IAGJ to USAGE Missouri River Division (MRD) to initiate Phase I design
activities based on the draft feasibility study (FS). The EPA RPM will
forward copies of the executed work assignment to EPA HQ and USACE HQ.
The map in Exhibit 2-2 shows the USACE Regional assignments for
Superfund Projects. Under MRD supervision, the appropriate USACE Design
District (i.e. Kansas City or Omaha) will perform the following Phase I
design activities to retain an A/E firm for the engineering design:
Synopsize requirements in Commerce Business Daily (CBD)
Develop A/E pre-selection list
Contact A/E firms on the pre-selection list to ascertain
interest in project
2-1
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OSWER Directive 9355.0-4A
EXHIBIT 21
FEDERAL LEAD REMEDIAL DESIGN PROCESS
COPIES TO
EPA HO
USAGE HO
t
ACTIVITIES PRIOR TO
ROD APPROVAL
ARE OPTIONAL IN
ORDER TO EXPEDITE
DESIGN INITIATION
EPA REGION ISSUES
WA FOR INITIATING
PHASE I DESIGN
ACTIVITIES TO
USACEMRD
EPA RPM & STATE
PROCESS STATE LETTER
OF REQUEST OR
AMEND EXISTING MOU
EPA REGION PREPARES
DRAFT SITE SPECIFIC
DESIGN IAG CONCURRENT
WITH EPA REGION
SUBMITTING FINAL ROD
PACKAGE FOR APPROVAL
USACE-MRD
DESIGN DISTRICT
-SYNOPSI2EREQMTS. INCBO
-DEVELOP AIE PRESELECTION LIST
-CONTACT AIE FIRMS TO ASCERTAIN INTEREST
-DEVELOP AIE SELECTION LIST WIN. 3 FIRMS)
"-SELECT AIE FIRM (TENTATIVELY)
SELECTION OF REMEDY BY EPA
ROD APPROVAL
REMEDIAL PLANNING
INFORMATION
PROVIDED TO
USACE MRD BY
EPA RPM
ACRONYMS KEY
RPM REMEDIAL PROJECT MANAGER
USAGE-MOD U.S. ARMY CORPS OF ENGINEERS -
MISSOURI RIVER DIVISION
IAG INTERAGUCV AGREEMENT
. ROD RECORD OF DECISION
SOW STATEMENT OF WORK
WA WORK ASSIGNMENT
CBD COMMERCE BUSINESS DAILY
•PI NATIONAL PRIORITIES LIST
MOU MEMORANDUM OF AGREEMENT
DESIGN DISTRICT
ISSUES SOW FOR
DESIGN TO A|E FIRM
AIE FIRM DEVELOPS
DESIGN PACKAGE
BASED ON SOW
DESIGN REVIEWS SCHEDULED
AT PRE DETERMINED
INTERVALS (I.E.. PRELIMINARY.
INTERMEDIATE. PREFINAL. FINAL!
OVERSIGHT BY EPA RPM
USACE MRD APPROVES AND
ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
REGION AND STATE
2-2
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EXHIBIT 22
USAGE REGIONAL ASSIGNMENTS FOR SUPERFUND PROJECTS
ro
CO
ESJ8%I Omaha District
Kansas City
District
o
CO
m
3J
O
3
a
to
u
01
01
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OSWER Directive 9355.0-4A
Develop A/E selection list (at least 3 firms)
Select A/E firm (internal tentative selection only).
These activities will take approximately 10 weeks to complete. Results and
progress will be coordinated by the USACE-MRD Design District with the EPA
RPM.
The tentative A/E selection will not be finalized by EPA, and no
further action will be taken by USAGE, .until the ROD is approved and USACE
has determined that the A/E is qualified to design the approved remedy. A
sample standing IAG and Phase I design work assignment are included in
Appendix A (Sample No. 1)'.
The EPA Region, with concurrence from EPA HQ, may request the USACE
to use one of the EPA remedial planning contractors as the A/E firm for RD
in limited situations. These situations could include:
Projects with a low RD cost ($50,000 - $100,000)
Projects where it is necessary to expedite the design phase and
RA initiation.
2.1.2 State Lead Remedial Design
In order to expedite the design phase, EPA encourages States to
retain the same A/E firm for RD and subsequent RA support activities that
provided services for the RI/FS. To accomplish this, EPA recommends that
the subagreement with the A/E firm contain an option for RD and RA support
activities. A class deviation from limited requirements of 40 CFR 33 has
been approved by EPA Grants Administration Division to allow States to
retain the same A/E firm for subsequent activities if the option approach
was not used. In most cases the State will have an A/E firm available for
design activities, and no special A/E selection activities will be
2-4
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OSWER Directive 9355.0-4A
required. The State officials and the RPM should refer to the following EPA
guidance documents for specific information and procedures:
State Participation in the Superfund Program, Volume I,
February 1984 as amended (hereafter referred to as the State
Manual, Volume I)
State Participation in the Superfund Program, Volume II: State
Procurement Under Superfund Remedial Cooperative Agreements,
March 1986 (hereafter refered to as the State Manual,
Volume II).
To be consistent with EPA policy, attention should be given to the
utilization of minority business enterprises and women's business
*
enterprises.
2.2 Design Initiation
Following selection of a remedy and Record of Decision
(ROD)/Enforcement Decision Document (EDO) approval by the designated EPA
official, action must be taken to initiate design activities. The lead
design party shall ensure the design package is developed consistent with
the approved ROD/EDO and applicable CERCLA policy and procedures. Remedial
planning information to be provided to the lead design party and the type of
agreement used to initiate design are discussed below.
2.2.1 Remedial Planning Information Provided to Lead
Design Party
When the lead design party is different than the lead RI/FS party,
the EPA RPM must provide remedial planning information to the appropriate
design party (i.e. USACE, State, responsible party) in order to initiate
design. If the lead party does not change from RI/FS to RD, this is not
required since the lead party should already have the information.
2-5
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OSWER Directive 9355.0-4A
2.2.1.1 Record of Decision/Enforcement Decision Document
and Final Remedial Investigation/Feasibility Study
(RI/FS) Report
Mandatory information to be provided to the lead design party
includes a copy of the approved ROD/EDO and the final RI/FS report(s). This
information should be forwarded as soon as possible after ROD/EDO approval
in order to facilitate initial design activities.
2.2.1.2 Pre-Design Report
A Pre-Design Report shall be prepared by the lead RI/FS party and
provided to the lead design party. The objective of the Pre-Design Report
is to describe the engineering parameters and institutional concerns of the
selected remedy,*and package all pertinent project information for
effectively transferring the project to the lead design party. The
Pre-Design Report replaces the conceptual design task of the FS. The
Pre-Design Report should be completed within 2 weeks following remedy
selection, and the cost should be limited to approximately 5 percent of the
cost of the feasibilty study. A suggested outline for the Pre-Design Report
is presented in Exhibit 2-3.
2.2.1.3 Technical Transfer Briefing
The EPA RPM should schedule a technical transfer briefing between
lead design party and the lead RI/FS party. The purpose of this briefing
would be to facilitate project transfer and resolve any outstanding issues
or questions.
2.2.2 Type of Agreement
The type of agreement used to initiate design is dependent on the
party that is responsible for design. For Federal lead remedial design,
action is initiated through an Interagency Agreement (IAG) with the USACE.
For State lead remedial design, action is initiated through a cooperative
2-6
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OSWER Directive 9355.0-4A
EXHIBIT 2-3
SUGGESTED OUTLINE FOR PRE DESIGN REPORT
1. Site Description
2. Summary of Selected Remedy
Description of remedy & rationale for selection
Performance Expectations
Site topographic map & preliminary layouts
Preliminary design criteria & rationale
Preliminary process diagrams
General operation and maintenance requirements
Long-term monitoring requirements
3. Summary of Remedial Investigation and Impact on Selected Remedy
Field studies
(Air, surface water, ground water, geology)
Laboratory studies
(Bench scale, Pilot scale)
4. Design/Implementation Precautions
Special technical problems
Additional engineering data required
Permits & regulatory requirements
Access, easements, rights-of-way
Health & safety requirements
Community relations activities
2-7
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OSWER Directive 9355.0-4A
EXHIBIT 2-3 (CONTINUED)
SUGGESTED OUTLINE FOR PRE DESIGN REPORT
5. Cost Estimates & Schedules
Implementation cost estimate (Order of Magnitude, + 50%/- 30%)
Preliminary annual O&M cost estimate and duration
Project schedule (design, construction, permits & access)
6. Appendices
Reports, data summaries, etc.
2-8
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OSWER Directive 9355.0-4A
agreement (CA) with the State. For responsible party remedial design,
action is initiated through a document of settlement with the responsible
party(ies) (i.e. judicial consent decree or administrative order on consent).
2.2.2.1 Federal Lead Remedial Design
To initiate design at a Federal lead site, the EPA RPM works with the
State to process a new State Letter of Request or amends the existing MOD to
include the remedial design if remedial design was not covered in the
original MOU. The RPM and the State officials should refer to the State
Manual, Volume I, for specific information.
Once the State Letter or MOU is processed, the RPM shall coordinate
with USACE-MRD and establish necessary funding for design. The EPA Region
should prepare a draft site-specific design IAG with USACE-MRD, concurrent
with submitting the final ROD package for approval. After ROD approval, the
EPA Region should finalize the design IAG with USACE-MRD. The RPM should
forward copies of the executed design IAG to EPA HQ and USACE-HQ (DAEN
ECE-B). USACE-MRD will initiate design activities through the appropriate
Design District. The RPM will monitor all design activities. The design
process is outlined in Exhibit 2-1. A sample (sample No. 2) site-specific
design IAG is included in Appendix A.
2.2.2.2 State Lead Remedial Design
To initiate design at a State lead site, the RPM works with the State
either to amend the existing CA or to develop a new CA for RD, or for both
RD and RA. The RPM and State should refer to the State Manual, Volumes I
and II, for specific information and procedures. Exhibit 2-4 graphically
depicts the State lead remedial design process.
2.2.2.3 Responsible Party Remedial Design
To initiate design for a responsible party clean-up, EPA enters into
a settlement agreement (consent decree or administrative order on consent)
with the responsible party(ies). The responsible parties will then proceed
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OSWER Directive 9355.0-4A
EXHIBIT 2-4
STATE LEAD REMEDIAL DESIGN PROCESS
STATE AND EPA RPM
PREPARE/AMEND
DRAFT CA CONCURRENT
WITH SUBMITTING
FINAL ROD PACKAGE
TO EPA HQ
SELECTION OF REMEDY
ROD APPROVAL
STATE AND
EPA RPM
FINALIZE CA
REMEDIAL PLANNING
INFORMATION PROVIDED
TO STATE(ONLY
REQUIRED IF STATE WAS
NOT LEAD RI/FS PARTY)
STATE ISSUES SOW
FOR DESIGN TO A/E FIRM
ACRONYMS KEY
CA COOPERATIVE AGREEMENT
RPM REMEDIAL PROJECT MANAGER
ROD RECORD OF DECISION
RI/FS REMEDIAL INVESTIGATION)
FEASIBILITY STUDY
SOW STATEMENT OF WORK
WA WORK ASSIGNMENT
I
A/E FIRM DEVELOPS
DESIGN PACKAGE
BASED ON SOW
DESIGN REVIEWS SCHEDULED
AT INTERVALS (PRELIMINARY,
INTEMEDIATE. PREFINAL.
FINAL)
OVERSIGHT BY EPA RPM
STATE APPROVES
AND ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
2-10
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OSWER Directive 9355.0-4A
ahead with the selection of a support contractor as needed to complete the
design, according to the schedule and conditions set forth in the document
of settlement. The process for responsible party lead is shown in Exhibit
2-5. This discussion pertains only to settlement agreements where no trust
fund monies are involved. EPA will provide additional guidance on
responsible party oversight in the future.
2.2.3 Architect/Engineer Conflict of Interest
In the process of selecting an A/E firm'for Fund-financed remedial
design, the State or EPA shall evaluate whether the prospective A/E has a
potential conflict of interest based on any potentially responsible party
(PRP) involvement at the site. This could include the situation where a
current client may be a PRP at the site. The EPA-Region should include a
provision in all CAs and lAGs regarding contracts with PRPs. Appendix F of
the State Manual, Volume I, suggests specific language to be included in a
CA provision and suggests specific clauses to be included by the State in
any contract for services or construction. lAGs should contain a provision
consistent with Appendix F, stating the USAGE will require interested
contractors to provide information and EPA will evaluate potential
conflicts. The USAGE should include a provision equivalent to Appendix F in
the contract for RD.
2.3 Elements To Be Included In Statement Of Work (SOU)
It is essential that the A/E firm retained to accomplish the design
for a specific remedial action have a clear understanding of the project
scope and subsequent required design documents. The following elements of a
statement of work are intended as guidance in preparing site-specific A/E
instructions and apply to Fund-financed and responsible party remedial
design (RD). The design Project Officer (PO) shall ensure that the
appropriate elements are addressed. Further requirements for preparing the
A/E statement of work are presented in Appendix B.
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OSWER Directive 9355.0-4A
EXHIBIT 25
RESPONSIBLE PARTY LEAD REMEDIAL DESIGN PROCESS
SELECTION OF
REMEDY
.EDO APPROVAL
EPA ENTERS INTO
SETTLEMENT AGREEMENT
WITH RESPONSIBLE
PARTY
REMEDIAL PLANNING
INFORMATION PROVIDED
TO RESPONSIBLE
PARTY
I
RESPONSIBLE PARTY
ISSUES SOW FOR
DESIGN TO AIE FIRM
OVERSIGHT BY EPA RPM
AfE FIRM DEVELOPS
DESIGN PACKAGE
BASED ON SOW
I
DESIGN REVIEWS SCHEDULED
AT INTERVALS (PRELIMINARY,
INTERMEDIATE. PREFINAL,
FINAL)
ACRONYMS KEY
EDO ENFORCEMENT DECISION DOCUMENT
SOW STATEMENT OF WORK
1
OVERSIGHT BY EPA RPM
RESPONSIBLE PARTY
APPROVES
AND ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
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OSWER Directive 9355.0-4A
2.3.1 Plans and Specifications
The SOW for remedial design should require the A/E to prepare the
final construction plans and specifications to accomplish the remedial
action alternative as defined in the Record of Decision/Enforcement Decision
Document (ROD/EDO). The specifications should include quality assurance
provisions in all proposed work. It should also state that the A/E shall
conduct the analysis and perform all work as required to prepare the
document package required for the remedial action. (For further detail see
Appendix B). In general, the plans and specifications portion of the SOW
should include the following phases:
Preliminary Design - The Scope of the preliminary design should
address not less than 30% of the total design and shall be based
on data furnished for the project.
Intermediate Design - Complex project designs may necessitate
review of the design documents between the preliminary and
prefinal/final design phases. At the discretion of the design
PO a design review may be required at 60% completion of the
design.
Prefinal/Final Design - Prefinal/final design documents shall be
submitted in- two parts. The first submission shall be at 90%
completion of design (i.e., prefinal). After approval of the
prefinal submission, the A/E shall execute the required
revisions and submit the final documents 100% complete with the
reproducible drawings and specifications ready for bid
advertisement. This portion of the document package as
submitted for prefinal/final design shall include, but not be
limited to the design analysis, final construction drawings and
specifications and cost estimate.
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OSWER Directive 9355.0-4A
Correlating Plans and Specifications - The coordination between
drawings and technical specifications is a principal requirement
of the A/E contract. The coordination shall be consistent with
the submission requirements of the drawings and specifications
through prefinal/final design.
Selection of Offsite Resource Conservation and Recovery Act
(RCRA) Facilities - The A/E shall ensure compliance with CERCLA
procedures for selecting an offsite RCRA facility and the
requirements specified in the ROD/EDO. Refer to Procedures for
Planning and Implementing Off-Site Response Actions, memorandum
from Jack McGraw, May 6, 1985 (reference 3), for specific
requirements.
Compliance with the Requirements of other Environmental Laws -
The A/E shall ensure that the design package submitted is in
accordance with CERCLA procedures on compliance with other
environmental laws. Refer to "CERCLA Compliance with Other
Environmental Statutes," Appendix to Preamble of the National
Oil and Hazardous Substances Pollution Contingency Plan; Final
Rule, (50 FR 2892.6), November 20, 1985 (reference 4), for
additional information. All applicable or relevant and
appropriate requirements identified in the ROD/EDO shall be
analyzed and incorporated into the design by the A/E. The A/E
shall identify the controlling parameters as required by such
standards.
Equipment startup and Operator Training - The AE shall prepare,
and include in the technical specifications governing treatment
systems, contractor requirements for providing: appropriate
service visits by experienced personnel to supervise the
installation, adjustment, startup and operation of the treatment
systems, and appropriate operational procedures training once
the startup has been successfully accomplished.
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OSWER Directive 9355.0-4A
2.3.2 Additional Studies
Remedial actions involving the on-site treatment or disposal of
contaminated wastes (i.e., groundwater, lagoon wastes, etc.) may require
additional studies to supplement the technical data available from the RI/FS
activities so that the optimum treatment or disposal methods may be
determined. Additional studies could include field work and/or bench and
pilot scale studies. For futher detail see Appendix B. The quality
assurance project plan and site safety plan from the RI/FS should be
tailored for any studies, as required.
The fact that such studies will be performed should be explicitly
addressed in the ROD, and if necessary, the ROD should authorize the Region
to make any necessary choice among treatment or disposal options.
2.3.3 Operation and Maintenance Plan
In most instances, remedial activities will result in the requirement
of a varying degree of operational and maintenance (O&M) activity associated
with the completion of a project. The RI/FS and ROD will indicate the types
of O&M activities required and provide a cost estimate. The RD will provide
more detail on the specifics and degree of O&M activities required, and
provide a more accurate cost estimate. To ensure correlation of the
separate but related phases of design and O&M, the A/E shall submit an
initial draft O&M plan simultaneously with the prefinal design document
submission and the final draft O&M plan with the final design documents.
For guidance on developing a comprehensive O&M plan see Appendix B. The O&M
plan will be finalized and submitted by the A/E or construction contractor
at the prefinal construction conference.
2.3.4 Quality Assurance Project Plan
A site-specific Quality Assurance Project Plan (QAPP) shall be
prepared by the A/E, if the project will involve any sampling or monitoring
activities. The plan will provide guidelines for project organization which
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OSWER Directive 9355.0-4A
shall outline and identify quality-control (QC) and quality assurance (QA)
responsibilities of the construction contractor, lead design party, or other
applicable agencies during construction. The QAPP should be consistent with
EPA QA/QC Procedures. The A/E shall submit a draft QAPP simultaneously with
the prefinal design documents and the final QAPP with the final design
documents submission. For guidance on the development and applicability of
the QAPP see Appendix B.
2.3.5 Site Safety Plan
An important aspect of a remedial action project, during both design
and construction, is the health and safety of the individuals who will be on
site and that of the surrounding communities. The A/E shall develop, in
response to site specific data, specifications to be used by the
Construction Contractor in developing a Site Safety Plan (SSP) that is
sufficient to protect on-site personnel and surrounding communities from the
physical, chemical, and/or biological hazards of the site. The A/E shall
submit draft specifications with the prefinal design document submission and
the final specifications with the final design documents. For guidance on
development and compliance requirements of the SSP see Appendix B.
2.3.6 Architect/Engineer Services During Construction
The party responsible for accomplishing a remedial action may deem it
desirable or mandatory that the A/E preparing the final design package
assume an active role in the on-site remedial action (construction) work.
"The use of A/E services during construction is encouraged in the following
areas:
Review construction contractor submittals
Attend conferences and visit project site
Provide field representative.
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OSWER Directive 9355.0-4A
For further information and guidance on possible services provided by the
A/E within these areas see Appendix B.
2.4 Design Reviews and Approvals
The concept for a Superfund remedial project is determined when EPA
selects a cleanup alternative based upon the feasibility study and
supporting documents, and as specified in the ROD or EDO. Once an A/E firm
is contracted to perform the design work necessary to implement the selected
remedy, the Government reviewing agencies are responsible for the review,
approval and acceptance of the final plans and specifications. Interim
outputs as well as the final product of the A/E must be reviewed to ensure
that the design is progressing in a manner consistent with the ROD/EDO and
existing environmental and construction standards. The Government design
review and approval responsibilities for all reviews are dependent on the
lead design party and are listed below. For responsible party RD, the
responsible party has the primary responsibility for design review and for
submitting the design documents to EPA for government review.
RD Lead
Federal
State
Government Review
Responsibility
USAC.E
State
Responsible Party EPA
2.4.1 Preliminary Design
Environmental
Review
Assistance
EPA and State
EPA
State
Technical
Review
Assistance
USAGE or EPA
Contractors upon
request
USAGE or EPA
Contractors upon
request
The preliminary design shall be submitted by the A/E when the design
effort is approximately 30% complete. The submittal should consist of the
plans and specifications previously described in Section 2.3.1. If bench
and pilot studies were required, the interim report should be included with
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OSWER Directive 9355.0-4A
the submittal. For responsible party RD, the preliminary cost estimate will
be submitted at the discretion of the responsible party. The preliminary
review is important to correct or modify any problems areas before extensive
design is completed.
2.4.1.1 Environmental Review
The preliminary design submittal shall be reviewed from an
environmental quality standpoint for Fund-financed and responsible party RD,
to ensure that all the necessary elements are included in the specifications
to address full compliance with the applicable or relevant and appropriate
Federal environmental and public health requirements which are identified in
the ROD/EDO (refer to reference 4).
2.4.1.2 Technical Review
The preliminary design shall be reviewed from a technical standpoint
for compliance with the SOW (refer to Section B.I.I), constructability, and
accuracy of the cost estimate.
2.4.2 Intermediate Design
At the discretion of the design PO, the intermediate design shall be
submitted for review when the design is approximately 60% complete. The
submittal shall consist of the plans and specifications described in Section
2.3.1.
2.4.3 Prefinal Design
The prefinal design submittal shall occur when the design is
approximately 9Q% complete and shall consist of the plans and
specifications, O&M plan, QAPP, and specifications for SSP previously
described in Sections 2.3.1 and, 2.3.3 - 2.3.5. The Government agencies'
major review should occur at this time. For responsible party RD, the cost
estimate will be submitted at the design PO's discretion.
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OSWER Directive 9355.0-4A
2.4.3.1 Environmental Review
The prefinal design submittal shall be reviewed for:
Compliance with all applicable or relevant and appropriate
environmental and public health requirements identified in the
ROD/EDO
Utilization of currently accepted environmental control
measures and technology
The adequacy of the O&M plan, QAPP, and SSP specifications
Consistency with ROD/EDO, and environmental and public impacts.
2.4.3.2 Technical Review
The prefinal design submittal shall be reviewed to ensure:
The bidability and constructability of the design
The accuracy of the construction cost estimate
Utilization of currently accepted construction practices and
techniques
The ability of a construction contractor to submit a fair and
reasonable bid based upon the bid schedule included in the
specifications
The accuracy of any estimated quantities of materials specified
in the design
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OSWER Directive 9355.0-4A
That the responsibilities and liabilities of the construction
contractor and the government are clearly defined and detailed
in the design documents (fund financed only).
2.4.4 Final Design
The final design submittal shall consist of the final design plans
and specifications (100% complete), the A/E firm's final construction cost
estimate, the final draft O&M Plan, final QAPP and SSP specifications. The
quality of the design documents should be such that the government or
responsible party is able to include them in a bid package and invite
contractors to submit bids for the construction project.
2.4.4.1 Extent of Review
The appropriate agencies from Secton 2.4 shall review this submittal,
to ensure that the A/E has adequately addressed all concerns and comments
generated during the prefinal design review process. If further revisions
to the design are required, the A/E firm shall be so directed.
2.4.4.2 Final Approval
The agency or party to whom the A/E is under contract shall have the
authority to approve and accept the design, with concurrence from the EPA
and the State on Federal-lead and responsible party projects, and from EPA
alone on State-lead projects.
2.4.4.3 Plan-In-Hand Review
Plan-In-Hand Review of the final design shall be made by the A/E and
coordinated with the design PO just before the advertisement for
construction of the project.
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OSWER Directive 9355.0-4A
2.4.5 Major Design Changes
It is the EPA RPM's responsibility during design reviews and
approvals to ensure that the design package being developed by the USACE,
State, or responsible party is consistent with the approved ROD/EDO. If it
appears that major design changes are occurring that would significantly
alter the remedy approved in the ROD/EDO, the RPM should notify the design
PO in writing to temporarily halt design activities and immediately notify
the EPA official delegated ROD responsibility of the situation. That EPA
official will determine if the design changes warrant a ROD/EDO amendment
and an additional public comment period. Minor design changes can be
approved by the design PO, with concurrence from the EPA RPM, consistent
with the approved ROD/EDO.
Technical scope changes and/or cost changes in the project could
constitute a major design change. Examples of changes which would
constitute a major change include:
Change from treatment remedy to disposal remedy or vice versa
Proposed remedy will not work due to field conditions
Significant increase in implementation cost results in another
alternative being potentially less costly.
Examples of changes which would not constitute a major change include:
Change from one treatment process to another with equivalent
performance
Cost savings achieved through value engineering review.
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OSWER Directive 9355.0-4A
2.4.6 Value Engineering
For Fund-financed projects, EPA recommends that the USACE and State
include value engineering screening during the design phase for all remedial
action projects where a potential for substantial cost savings exists.
Value engineering screening shall be limited to project refinements which
would not significantly change or alter the approved remedy, unless
otherwise approved by EPA. Value engineering screening will consist of
listing high cost items that have a potential for cost savings.
Those RA projects which, as a result of the value engineering
screening, show a reasonable promise for significant cost savings will be
recommended to EPA for approval of formal value engineering study by the
USAGE or State. Potential impacts on the RA project schedule and EPA
funding requirements for a formal value engineering study will be identified
by the USACE or State.
2.5 Permits, Approvals and Site Access
It is important to identify early in the design process all permits,
approvals and site access agreements, if any, required for the project.
Prompt action should be taken to obtain the required permits, approvals, and
site access agreements in order to avoid delays in implementing the remedial
action. The following discussion pertains to Fund-financed and responsible
party remedial design.
2.5.1 Permits and Approvals
The permits and approvals which may be required for a project and the
responsibility of obtaining them is dependent on the particular project and
the lead design party. Refer to reference 2 for additional information.
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OSWER Directive 9355.0-4A
2.5.1.1 Requirements
EPA has set forth a policy (Reference 4) addressing compliance with
other environmental statutes. On-site and off-site remedial actions shall
comply with the substantive requirements of applicable or relevant and
appropriate Federal laws identified in the ROD/EDO. For on-site remedial
actions, environmental permits are not required. However, if material is to
be taken off site, the receiving facility must possess all appropriate
environmental permits identified in the ROD/EDO. In general, the
construction contractor shall be responsible for obtaining any necessary
non-environmental construction permits and approvals (i.e., building permit,
electrical permit, etc.).
2.5.1.2 Responsibilities
The responsibility for obtaining the required permits and approvals
is dependent on the lead design party and is summarized below.
Environmental Permits
RD Lead (Off-site RA only)
Federal State
State State
Responsible Party Responsible Party
The design PO can request the A/E to provide assistance in obtaining
necessary permits and approvals.
2.5.2 Site Access
At many uncontrolled sites, cleanup actions may have to be taken
which could require short or long term use of adjoining property or property
within the site boundaries owned by parties other than the site owner. In
addition, the recommended remedial alternative at the site could include
actions which might restrict access to or use of both property within the
site boundaries and adjoining property. In these situations, it may be
necessary to obtain access to affected property prior to the initiation of
remedial actions.
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OSWER Directive 9355.0-4A
2.5.2.1 Requirements
At a site where property access is needed, it is first desirable to
obtain voluntary access agreements or rights-of-way from the involved
property owners. These access agreements should be obtained prior to the
completion of design of the cleanup alternative. By obtaining these
agreements at this time, there will be assurance that the remedial
construction will not be delayed due to disputes with property owners.
In some instances, it may be appropriate to acquire easements or
other interests in property. Guidance on aquisition will be forthcoming.
Any purchase of property or easements would be RA activities, requiring
State cost share for Fund-financed projects.
For Fund financed RA, if voluntary access cannot be achieved and
resistance from property owners is encountered, the State should make all
efforts to the extent of its legal authority to secure site access. If
State efforts fail to secure access, the State should notify EPA in writing,
and EPA may have to exercise its statutory authority under Section 104 of
CERCLA and an appropriate access order for entry may have to be secured from
a court having jurisdiction over the matter.
For responsible party RA, EPA or the State should assure that
responsible parties take all actions needed to obtain access in a timely
manner, and should step in and take legal action if necessary to secure
access.
Once again, access agreements, acquisition of interest in property,
or court orders for access should occur during the design phase of cleanup,
prior to the initiation of remedial construction, so that possible costly
delays will not be encountered. Property access should extend for the
duration of the cleanup and associated operation and maintenance, as
necessary.
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OSWER Directive 9355.0-4A
2.5.2.2 Responsibilities
The responsibility for obtaining access to the site and adjacent
properties, as well as for all rights-of-way and easements necessary to
implement the remedial action is dependent on the lead design party and is
summarized below. For Federal lead RD, the state or EPA must assure the
USAGE that site access has been obtained prior to the USAGE initiating
procurement activities for RA.
RD Lead Responsibility
Federal State
State State
Responsible Party Responsible Party
2.6 Community Relations Activities
A Community Relations Plan (CRP) should be revised to include any
changes in the level of concern or information needs of the community during
design and construction activities. Community relations activities during
design and construction are discussed below, and pertain to Fund-financed
and private party projects.
2:6.1 Objectives
The basic objectives of the Superfund community relations program
from remedial investigation through construction are as follows:
To gather information about the community in which a site or
incident is located;
To inform the public of planned or ongoing actions;
To give the public the opportunity to be involved in decision
making; and
To focus and resolve controversy.
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OSWER Directive 9355.0-4A
•
2.6.2 Implementation Activities and Techniques
The implementation of an active community relations program as
outlined in Community Relations in Superfund: A Handbook, requires
utilization of two-way communication. Community relations techniques are
selected to fit the specific needs of the site community as determined by
conducting on-site discussions. Small public meetings, fact sheets, press
releases, contact lists, door-to-door visits, local information repositories
and comment periods are some of the most effective techniques, especially
during the design process, to ensure that the public is involved in the
decision-making process.
Specific activities which must be conducted during the design stage
are the following:
Revise the site community relations plan at the start of design
to reflect knowledge of citizen concerns and involvement at
this stage of the process; and
Prepare and distribute a public notice and an updated fact
sheet at the completion of engineering design.
Specific activities to be conducted during the construction stage
could be the following:
Depending on citizen interest at a site at this point in the
remedial process, community relations activities could range
from small group meetings to site visits to fact sheets on the
technical status.
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OSWER Directive 9355.0-4A
2.6.3 Responsibilities
Responsibility for amending the CRP and implementing community
relation activities is dependent on the lead party for the RD/RA and is
outlined below.
RD/RA Lead Amend CRP Implement CRP Provide Assistance
Federal EPA EPA State or USACE
State State State EPA
Responsible EPA EPA State and/or Responsible
Party Party
2.7 Cost Estimates For Construction
The importance of accurately estimating the costs for accomplishing
site-specific construction (i.e., remedial action) can not be over
emphasized. The development of an accurate total cost estimate is essential
in order to provide adequate funding for a remedial action SSC/IAG or CA,
and to determine State cost share. The following section discusses the
elements included in the total cost estimate for a remedial action, and
pertains only to Fund-financed remedial actions.
2.7.1 Estimated Cost of Project
The preparation of a high quality set of plans and specifications is
inadequate unless the project cost estimate is prepared to the same
standards. The process for developing an accurate project cost estimate is
discussed in Appendix B. The project cost estimate becomes more refined as
the design progresses from the ROD to the preliminary design to the
prefinal/final design. For most projects, the final project cost estimate
should be within +15% to -10% of the actual cost. The importance of the
accuracy of the final project cost estimate is magnified since estimates of
additional costs discussed in Sections 2.7.2 and 2.7.3 are based on the
project cost estimate.
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OSWER Directive 9355.0-4A
2.7.2 Supervision and Administration (S&A) and Engineering
and Design (E&D) During Construction
Supervision and Administration (S&A) and Engineering and Design (E&D)
costs during construction must be established for each remedial action.
These costs are best represented as percentages of the project cost. The
following are percentages recommended to be used in estimating costs.
8% S&A for contracts up to $2,000,000"
6% S&A for contracts over $2,000,000
1.5% E&D for contracts up to $2,000,000
1.0% E&D for contracts over $2,000,000
The percentage used may vary even more for very small or very large projects.
2.7.3 Contingency Limits
A contingency fund should be established for each site-specific
remedial action project to cover unforeseen cost variances which may occur
before construction commences or during construction.
2.7.3.1 Bid Contingency
The lowest responsive bid submitted during the procurement process
may exceed the project cost estimate due to complexity of the project,
changes in the bidding climate, etc. Bid contingencies are best represented
as a percentage of the project cost. The recommended amount for a bid
contingency is 15% of the project cost.
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OSWER Directive 9355.0-4A
2.7.3.2 Change Orders and Claims
During construction, unforeseen site conditions, changes in estimated
quantities, project delays and other problems associated with the project
are likely to develop and lead to change orders and claims. A contingency
for change orders and claims is best expressed as a percentage of the
project cost. The following percentages are recommended.
10% contingencies for contracts up to $2,000,000
8% contingencies for contracts over $2,000,000
2.7.4 Total Cost Estimate for Remedial Action Agreements
The total cost estimate to be .used in developing SSCs should include
all costs discussed in Sections 2.7.1 - 2.7.3. The total cost estimate to
be used in obligating funds for CAs and lAGs should be the total cost less
the contingency for change orders and claims.
Any amount of the bid contingency not needed would be applied towards
the contingency for change orders/claims up to the recommended amount in
section 2.7.3.2. Any additional amount left in the contingency would be
deobligated or any amount still needed for change orders/claims will be
available from the Region's SCAP.
Example calculations for estimating the total cost for RA are
presented on the following page.
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OSWER Directive 9355.0-4A
Total Cost Estimate for IAG or CA
Estimated cost of project $3,500,000
S&A during construction (.06 x $3,500,000) 210,000
E&D during construction (.01 x $3,500,000) 35,000
Bid contingency or contingency for change
orders/claims (.15 x $3,500,00) 525,000
Total $4,270,000
Total Cost Estimate for SSC
Total cost estimate for IAG $4,270,000
Contingency for change orders/claims
(.08 x $3,500,000) 280.000
Total $4,550,000
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OSWER Directive 9355.0-4A
3. REMEDIAL ACTION
3.1 Remedial Action Initiation
Following completion and approval of the RD package, action must be
taken to initiate remedial action (RA) activities. The type of agreement
used to initiate RA is dependent on the party that will implement the RA and
is discussed below.
3.1.1 Federal Lead Remedial Action
To initiate RA at a Federal lead site, the RPM works with the State
to prepare and execute a Superfund State Contract (SSC). The RPM and the
State should refer to the State Manual, Volume I, for specific information.
Preparation of the SSC should commence during the RD phase of the project
with SSC execution occurring at the completion of RD.
Once the SSC is executed, the EPA Region should prepare and execute
a site-specific RA IAG with USACE-MRD. The RPM should forward copies of the
executed RA IAG to EPA HQ and USACE-HQ. Upon completion of procurement
activities (Section 3.2), USACE-MRD will initiate RA activities through the
appropriate USACE Construction District. The RPM will maintain oversight of
all RA activities. The process is outlined in Exhibit 3-1. A sample
site-specific RA IAG is included in Appendix A (Sample No. 3).
3.1.2 State Lead Remedial Action
If the existing CA covers RA, no special action is required. If
this is not the case, the RPM should work with the State to amend the
existing CA for RA in order to initiate RA at a State lead site. The RPM
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OSWER Directive 9355.0-4A
EXHIBIT 3-1
FEDERAL LEAD REMEDIAL ACTION PROCESS
COPIES TO
EPA HO
USAGE HO
ACRONYMS KEY
RPM REMEDIAL PROJECT MANAGER
SSC SUPERFUND STATE CONTRACT
USACE MRD U.S. ARMY CORPS OF ENGINEERS •
MISSOURI RIVER DIVISION
RA REMEDIAL ACTION
IAG INTERAGENCY AGREEMENT
NPl NATIONAL PRIORITIES LIST
O&M OPERATION & MAINTENANCE
EPA RPM & STATE
PREPARE SSC
_L
SSC EXECUTED
AT COMPLETION
OF REMEDIAL
DESIGN
EPA RPM & USACE MRD
PREPARE & EXECUTE
SITE SPECIFIC RA IAG
USACE DESIGN DISTRICT
CONDUCTS PROCUREMENT
ACTIVITIES (FIRM FIXED
PRICE CONTRACT)
USACE MRD INITIATES
RA ACTIVITIES
THRU APPROPRIATE
CONSTRUCTION DISTRICT
_L
USACE CONSTRUCTION
DISTRICT OVERSIGHT
AND MONITORING
CONSTRUCTION TO
ENSURE COMPLIANCE
WITH ENVIRON. AND
CONTRACTURAL REQMTS.
CONTRACTOR
COMPLETES
CONSTRUCTION
OVERSIGHT BY EPA RPM
ADDITIONAL OVERSIGHT
BY EPA RPM
PREFINAL CONST.
CONFERENCE WITH
CONTRACTOR
PARTICIPANTS
PREFINAL
INSPECTION
PARTICIPANTS
USACE CONSTRUCTION
DISTRICT PREPARES
PREFINAL INSPECTION
REPORT FOR SUBMISSION
TO EPA. REGION AND STATE
FINAL INSPECTION
AND
CERTIFICATION
USACE CONSTRUCTION
DISTRICT PREPARES
RA REPORT FOR
SUBMISSION TO EPA
REGION AND STATE
_L
EPA
ACCEPTANCE OF
COMPLETED PROJECT
USACE CONSTRUCTION DISTRICT
EPA REGION
STATE
CONTRACTOR
USACE CONSTRUCTION DISTRICT
EPA REGION
STATE
CONTRACTOR
PARTICIPANTS
USACE CONSTRUCTION DISTRICT
EPA REGION
STATE
CONTRACTOR
DELETION OF SITE
FROM NPL
STATE ASSUMES
O&M RESPONSIBILITY
O&M REPORT
PREPARED BY STATE
3-2
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OSWER Directive 9355.0-4A
and State should refer to the State Manual, Volume I, for specific
information and procedures. Exhibit- 3-2 graphically depicts the State lead
remedial action process.
3.1.3 Responsible Party Remedial Action
The document of settlement issued by EPA where no trust fund monies
are involved will have covered RD and RA, and no special action is required
to initiate RA at a responsible party site. The process for responsible
party lead remedial action is shown in Exhibit 3-3.
3.1.4 Conflict of Interest
In the process of'selecting a contractor for Fund-financed RA, the
State or EPA shall evaluate whether there is a potential conflict of
interest based on any PRP involvement at the site. The EPA Region should
include a provision in all CAs and lAGs regarding contracts with PRPs.
Appendix F of the State Manual suggests specific language to be included in
a CA provision and suggests specific clauses to be included by the State in
any contract for services or construction. lAGs should contain a provision
consistent with Appendix F, stating the USACE'will require interested
contractors to provide information and EPA will evaluate potential
conflicts. The USAGE should include a provision equivalent to Appendix F in
the contract for construction.
3.2 Procurement Activities
The responsibility for procurement activities for Fund-financed
remedial action is dependent on the lead party for the remedial action
(RA). For Federal lead RA, the USACE will conduct procurement activities in
accordance with USACE procurement procedures. For State lead RA, the State
will conduct procurement activities in accordance with 40 CFR Part 33,
Subpart E and the State Manual, Volume II.
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OSWER Directive 9355.0-4A
EXHIBIT 32
STATE LEAD REMEDIAL ACTION PROCESS
EPA RPM AMD STATE
AMEND CA
IF NECESSARV
STATE CONDUCTS
PROCUREMENT ACTIVITIES
(FIXED PRICE CONTRACT)
ACRONYMS KEY
CA COOPERATIVE AGREEMENT
RPM REMEDIAL PROJECT MANAGER
NPl NATIONAL PRIORITIES LIST
O&M OPERATION & MAINTENANCE
STATE OVERSIGHT
AND MONITORING OF
CONSTRUCTION TO
ENSURE COMPLIANCE
WITH ENVIRON. AND
CONTRACTURAL REOMTS.
1
CONTRACTOR 1
COMPLETES
CONSTRUCTION 1
|
PREFINAL CONST. 1
CONFERENCE WITH
CONTRACTOR
|
PREFINAL 1
INSPECTION
ADDITIONAL OVERSIGHT 1
ANDIOR DESIGNEE |
PARTICIPANTS SES™0"
1 CONTRACTOR
[PARTICIPANTS EPA REGION
™T"^^™"
STATE PREPARES
PREFINAL INSPECTION
REPORT FOR
SUBMISSION TO
EPA
1
FINAL INSPECTION
AND
UUNIHAUlUn
| PARTICIPANTS 1™?™°*
__ 1™™^!,°",,,, J rnHTD.rTnp
STATE PREPARES
RA REPORT
FOR SUBMISSION
TO EPA
1
EPA ACCEPTANCE
OF COMPLETED
PROJECT
1
DELETION OF SITE
FROM NPL
1
' STATE ASSUMES O&M
RESPONSIBILITY
O&M REPORT
PREPARED BY STATE
3-4
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OSWER Directive 9355.0-4A
EXHIBIT 3-3
RESPONSIBLE PARTY LEAD REMEDIAL ACTION PROCESS
RESPONSIBLE PARTY
OVERSIGHT AND
MONITORING OF
CONSTRUCTION TO
ENSURE COMPLIANCE
WITH ENVIRON. AND
CONTRACTURAL REQMTS.
ADDITIONAL OVERSIGHT BY
EPA-RPM OR DESIGNEE
CONTRACTOR
COMPLETES
CONSTRUCTION
PREFINAL CONST.
CONFERENCE WITH
CONTRACTOR
PARTICIPANTS
PARTICIPANTS
ACRONYMS KEY
NPL NATIONAL PRIORITIES LIST
O&M OPERATION & MAINTENANCE
RESPONSIBLE PARTY
PREPARES PREFINAL
INSPECTION REPORT
FOR SUBMISSION TO
EPA
FINAL INSPECTION
AND
CERTIFICATION
RESPONSIBLE PARTY
PREPARES
RA REPORT
FOR SUBMISSION
TO EPA
EPA ACCEPTANCE
OF COMPLETED
PROJECT
DELETION OF SITE
FROM NPL
X
O&M REPORT
PREPARED BY
RESPONSIBLE PARTY
EPA REGION
STATE
CONTRACTOR
RESPONSIBLE PARTY
EPA REGION
STATE
CONTRACTOR
RESPONSIBLE PARTY
PARTICIPANTS
EPA REGION
STATE
CONTRACTOR
RESPONSIBLE PARTY
RESPONSIBLE PARTY
ASSUMES O&M
RESPONSIBILITY
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OSWER Directive 9355.0-4A
3.2.1 Advertise for Bids
Procurement for remedial action should be through a fixed-price
contract (lump sum, unit price, or a combination of two), and should be by
formal advertising to assure full and free competition. Procurement by any
means other than formal advertising must be approved by the award official.
The specifications are rigid and require absolute conformance. Sealed bids
are required at a certain place, date, and time and are publicly opened,
read, and recorded. The bidder whose price is low and who is otherwise
responsive and responsible is awarded a contract. The solicitation ..should
require all proposals to explain how the prime contractor would utilize
minority business enterprises and women's business enterprises.
3.2.2 Site Inspection
The USAGE or State may deem it desirable, or mandatory in some cases,
to conduct a site visit with the bidders in order to answer questions
regarding the design or implementation. Copies of the RI/FS and the design
document will be made available for review during the procurement phase,
either in the USAGE Design District Office or in a local public library.
3.2.3 Review of Bid Documents
This review shall be limited to determining whether or not the bidders
are both responsive to the requirements of the bid solicitation, (i.e. are
the bid bonds there in the proper form and amount, is the required insurance
'binder provided, etc.); and responsible (i.e. does each bidder possess the
capability and experience as required in the solicitation to perform the
remedial action in a safe and timely manner at the price bid, is there any
potential conflict of interest, if RA involves off-site disposal does the
off-site facility have RCRA compliance inspection, etc.)
The government bid review responsibility is dependent on the lead
design party and is summarized below. For responsible party RA, the
responsible party has the primary responsibility for bid review and for
submitting the bid documents for government review.
3-6
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OSWER Directive 9355.0-4A
Government Review
RD Lead Responsibility Assistance
Federal USAGE EPA and State
State State EPA (USAGE or EPA Contractors)
upon request)
Responsible Party EPA State (USAGE or EPA
Contractors upon request)
3.2.4 Bid Protests
Bid protests have the potential to significantly delay the RA.
Procedures for avoiding bid protests, and lodging and dealing with protests,
should be consistent with 40 CFR Part 33 and the State Manual, Volume II,
for State lead projects and with USAGE procedures for Federal lead
projects. The key is often a complete and well documented bid specification
which clearly describes the work to be performed and the
responsi ve/responsi ble requi rements.
3.3 Monitoring and Oversight
Records and reports maintained during these activities must be
adequately documented since they will be used in the final certification of
a remedial action. Monitoring and oversight of construction activities are
discussed below, and pertain to Fund-financed and responsible party RA
except where noted.
3.3.1 Inspections
The responsibility for construction inspection is dependent on the
lead' party for the RA and is summarized below.
RA Lead Inspection Oversight
Federal USAGE EPA
State State EPA (USAGE or EPA
Contractors upon request)
Responsible Party Responsible Party EPA (State, USAGE, or EPA
Contractors upon request)
3-7
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OSWER Directive 9355.0-4A
3.3.1.1 Full Time Inspector
During all on-site construction activities the party responsible for
inspection will provide a full time on-site inspector with expertise in
federal construction projects and proceedings. The on-site inspector shall
be authorized to stop all activities not in compliance with 3.3.1.2 and
3.3.1.3 below, or which endanger the health and welfare of on-site personnel
and surrounding residents. For large sites or complex projects, additional
on-site inspectors may be required.
For Fund lead RA, construction oversight will occur at intervals
determined by the complexity of the project, by the EPA RPM on Federal lead
RA and the EPA RPM or USAGE on State lead RA.
For responsible party RA, construction oversight will be provided by
the EPA RPM or his designee (i.e. State or USACE) on an ongoing basis. The
document of settlement will specify the authority of the oversight personnel
in regards to construction activities.
3.3.1.2 Compliance with Environmental Requirements
Inspections should verify compliance with all environmental
requirements identified in the contract. These inspections shall include,
but not be limited to air quality and emissions monitoring records, waste
disposal records (e.g., RCRA transportation manifests), etc. The inspector
also should ensure compliance with all health and safety procedures.
3.3.1.3 Compliance with other Contract Requirements
The inspector shall review all daily reports and construction
activities to verify that all work is in compliance with all contract
requirements and shall note and resolve all discrepancies immediately. The
EPA RPM can assist in resolving discrepancies upon request.
3-8
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OSWER Directive 9355.0-4A
3.3.1.4 Review of Contractor Reports
The on-site inspector shall review all reports (daily, weekly, and
monthly, etc.) and initial each. All comments on these reports should be
noted in the inspector's daily log.
3.3.2 Progress Reports to EPA
Detailed progress reports will be required throughout the duration
of the project. The progress reports will be prepared and submitted to EPA
Regions and HQ in accordance with the following:
RA Lead Preparer Frequency of Report
Federal ' USAGE Monthly
State State Quarterly
Responsible Party Responsible Party Monthly
The progress reports will be used by EPA to monitor the remedial
construction activities. The content of these reports will be sufficient to
develop a chronological record of all site activities and should include the
following elements:
Estimate of the percentage of project completed and the total
project cost to date
Summaries of the following items for the reporting period:
Work performed on the site
Community relations activities including community
contacts, citizen concerns, and efforts to resolve any
concerns
Change orders and claims made on the contract
Problems or potential problems encountered
3-9
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OSWER Directive 9355.0-4A
Status of contingency fund to date (Fund-financed RA only)
Projected work for the next reporting period
Copies of contractor daily reports, change orders, RCRA
manifests, and laboratory/monitoring data.
3.3.3 Contingency Fund for Change Orders and Claims
This fund is available for unforseen site conditions and other
problems with cleanup, containment, need for alternate disposal sites,
additional sampling or monitoring which develop and lead to change orders,
claims, etc. Problems which would alter ROD decisions are not subject to
use of the contingency fund and require HQ and/or Region approval. A site-
specific list of items not applicable to contingency fund use may need to be
developed as the project progresses. This section pertains only to
Fund-financed RA.
3.3.3.1 Federal Lead Remedial Action
The USACE is reponsible for processing change orders and'claims in
accordance with USACE procurement procedures.
The USAGE'S project manager will be delegated authority to approve
any change order up to 20% of the project contingency fund. Any change
order exceeding 20% of the contingency fund will require approval of the EPA
RPM. If 75% of the total contingency is spent, the USACE's project manager
will formally notify the RPM in writing and state whether additional funding
may be necessary. The USAGE'S project manager must receive written approval
from the EPA RPM in order to exceed 75% of the project contingency fund. At
no time will the USACE exceed 100% of the contingency fund.
3-10
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OSWER Directive 9355.0-4A
3.3.3.2 State Lead Remedial Action
The state is responsible for processing change orders and claims
with assistance and guidance from EPA, and in accordance with 40 CFR 33.
The State Project Officer (SPO) may be delegated the authority to
approve any change order which totals up to 20 percent of the project
contingency fund. Any change order that exceeds this 20 percent limit
requires RPM approval. The SPO may continue to approve such change orders
until 75 percent of the total contingency fund has been depleted.
Thereafter, the State should request a CA amendment for additional funds,
unless the project is near completion and no other change orders are
anticipated. The State must receive written approval from EPA to exceed 75%
of the project contingency fund.
Before any change order may be approved, the State must conduct a
cost or price analysis (see 40 CFR 33). Superfund program procedures also
require the State to perform a technical and administrative analysis (see
the State Manual, Volume II, for more detail).
EPA will consider funding claims management costs and claims
allowable to the project via an amendment of the existing CA (see the State
Manual, Volume II for details).
3.4 Remedial Action Completion and Acceptance
As the project nears completion, roles and responsibilities of EPA,
the State, and where appropriate the USACE and responsible parties, must be
clearly defined to ensure proper project completion, approval, and
closeout. Final inspection and closeout activities are discussed below.
3.4.1 Prefinal Construction Conference
Upon preliminary project completion, a prefinal construction
conference with the contractor is required for Federal lead remedial action
3-11
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OSWER Directive 9355.0-4A
(RA) and recommended for State lead and responsible party RA. The objective
of the conference is to discuss procedures and requirements for project
completion and closeout. The conference will be scheduled and chaired by
the agency that has primary responsibility for construction inspection.
3.4.1.1 Participating Parties
The parties that participate in the prefinal construction conference
will vary depending on the lead party for the RA. In general, participants
should include the following:
Party RA Lead
EPA-Region all leads
State all leads
Contractor all leads
USAQE Federal lead (State and responsible party when
requested)
Responsible Party Responsible party lead
Design A/E when requested
3.4.1.2 Suggested Agenda Items
A list of suggested items to be covered at the conference includes
but is not limited to:
Final O&M plan submission
Cleanup responsibilities
Demobilization activities
Security requirements for project transfer
Prefinal inspection schedule
Facility startup and testing
Operator training
3-12
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OSWER Directive 9355.0-4A
3.4.2 Preflnal Inspection
A prefinal inspection will be conducted upon preliminary project
completion for Federal lead, State lead, and responsible party RA.
3.4.2.1 Inspecting Parties
The prefinal inspection will be led by the agency that has primary
responsibility for construction inspection. The other parties involved in
the inspection will vary depending upon, the lead party for the RA. In
general, participants should include all parties from the prefinal
construction conference.
3.4.2.2 Extent of Inspection
The prefinal inspection will consist of a walk-through inspection of
the entire project site. The RPM and State should inspect the completed
site work to determine whether the project is complete and consistent with
the contract documents and the EPA approved remedy. Any outstanding
construction items discovered doing the inspection should be identified and
noted by the RPM and State.
When the RA includes construction of a treatment system, the
facility start-up and shakedown shall have been completed as part of the
RA. The Contractor shall have certified that the equipment has performed to
meet the purpose and intent of the contract specifications. Retesting shall
have been successfully completed where deficiencies were revealed.
Shakedown may have taken several months. Determination of remedy
effectiveness for other types of remedial actions will be addressed on a
case-by-case basis.
3.4.2.3 Prefinal Inspection Report
Upon completion of the prefinal inspection, a prefinal inspection
report will be prepared and processed in accordance with the following:
3-13
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OSWER Directive 9355.0-4A
RA Lead Preparer Submitted to
Federal USAGE EPA, State
State State EPA
Responsible Party Responsible Party EPA, State
The prefinal inspection report should outline the outstanding
construction items, actions required to resolve items, completion date for
these items, and date for final inspection.
3.4.3 Final Inspection and Certification
Upon completion of any outstanding construction items, a final
inspection will be conducted for Federal Lead, State lead, and responsible
party RA.
3.4.3.1 Inspecting Parties
The final inspection will be led by the agency that has primary
responsibility for construction inspection. The other parties will vary
depending on the lead party for the RA. In general, participants should
include all parties form the prefinal inspection.
3.4.3.2 Extent of Inspection
The final inspection will consist of a walk-through inspection of
the project site. The prefinal inspection report will be used as a
checklist by the RPM and the State, with the inspection focusing on the
^outstanding construction items identified in the prefinal inspection. The
contractor's demobilization activities should be completed, except for
equipment and materials required to complete outstanding construction items,
at the time of inspection. The RPM and State will confirm that all
outstanding items have been resolved. If any items are still unresolved,
the inspection shall be considered a prefinal inspection requiring another
prefinal inspection report.
3-14
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OSWER Directive 9355.0-4A
3.4.3.3 Remedial Action Report
Upon satisfactory completion of the final inspection, a
remedial action report will be prepared-and processed in accordance with
Section 3.4.2.3 and submitted within 60 days after final inspection. The RA
report will include the following elements:
Brief description of outstanding construction items from the
prefinal inspection and an indication that the items were
resolved
Synopsis of the work defined in the SOW and certification that
this work was performed
Explanation of any modifications to work in the SOW and why
these were necessary for the project
Certification that the remedy is operational and functional
Documentation necessary to support deletion of the site from
the NPL.
For a responsible party RA, the document of settlement may specify
different final inspection/certification conditions.
3.4.4 Acceptance of Completed Project
The remedial action report will be reviewed by the RPM for State
lead- RA and by the RPM and State for Federal lead and responsible party RA.
If the RPM or RPM/State are satisfied that the remedy is complete and
performing adequately, the Regional Administrator shall provide written
notice to the appropriate party of EPA's acceptance of the completed project.
3-15
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OSWER Directive 9355.0-4A
3.5 Site Closeout
After acceptance of the completed RA by EPA, site closeout
activities need to be conducted for Fund-financed and responsible party
projects.
3.5.1 Deletion of Site from NPL
The EPA Region can recommend deletion of a site from the NPL after
completion of a RA, if one of the following deletion criteria has been met:
EPA, in consultation with the State, has determined that
responsible parties have completed all appropriate response
actions
EPA, in consultation with the State, has determined that all
appropriate Fund-financed response actions have been completed
and that no further cleanup by responsible parties is
appropriate.
For detailed information on the criteria and mechanism used to
delete sites from the NPL, the RPM should refer to the EPA memorandum
entitled "Interim Procedures for Deleting Sites from National Priorities
List." Final procedures for NPL deletion are under development.
3.5.2 Operation and Maintenance
In most instances, there is a requirement for some degree of regular
operation and maintenance activity associated with the completed remedial
action.
3-16
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OSWER Directive 9355.0-4A
3.5.2.1 Operation and Maintenance Assumption
The date certified in the remedial action report that the project is
complete and the remedy is operational and functional, is the date when O&M
commences.
For Fund lead projects, this is the date the State assumes
operational responsibility for O&M. If necessary, the RPM and State must
either amend the existing CA or develop a new CA covering O&M cost sharing.
This CA should be processed as soon as reliable cost estimates for O&M are
available, and need not wait until final project completion. For
responsible party projects, this is the date the responsible party assumes
O&M responsibility.
3.5.2.2 Operation and Maintenance Report
At the completion of Fund financed O&M activities, the State shall
prepare and submit to EPA an O&M report. This report will include the
following elements:
Description of O&M activities performed
Results of site monitoring, indicating that the remedy meets
the performance criteria
Explanation of additional operation and maintenance (including
monitoring) to be undertaken at the site.
For responsible party O&M, the document of settlement may specify
different O&M conditions.
3-17
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OSWER Directive 9355.0-4A
APPENDIX A
SAMPLE USAGE WORK ASSIGNMENTS
AND INTERAGENCY AGREEMENTS
SAMPLE NO. 1
IAG FOR
FIRST PHASE DESIGN WORK
A-l
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OSWER Directive 9355.0-4A
US ENVIRONMENTAL PROTECTION AGENCY 1
WASHINGTON. OC 20460
INTERAGENCY AGREEMENT/AMENDMENT 3
Part 1 — GENERAL INFORMATION
5. Name and Address of EPA Organization
*
6
I
I
I
C
IAG Identification Number
. Type of Action
New Agreement
2. Funding Location by Region
4. Program Abbreviation
*
. Name and Address of Other Agency
(e'partment of Defense
J.S. Army Corps of Engineers (USAGE)
:ngineering Division, Missouri River
)maha, Nebraska 68101-0103
7. Project Title
First Phase Design Work - FY 1985
8. EPA Project Officer (Name. Address. Telephone Number! S
*
10. Project Period
10/01/84 - 09/30/85
i
1 2. Scope of Work (Attach additional sheets, as needed/
This agreement obligates no more than $ *
. Other Agency Project Officer (Name. Address. Telephone Numoerl
William Mulligan FTS/864-7227
USAGE, Engineering Division, Missouri River
P. 0. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
1 . Budget Period
10/01/84 - 09/30/85
and generally no more
project to the USAGE to Initiate the selection of Architectural/Engin<
the engineering design phase of Federal lead remedial action projects
perform all action necessary to retain an A/E firm for engineering de
the following:
Phase I -
than $7,000 per
jering firms for
The USAGE will
sign, including
Synopslze requirement in Commerce Business Daily
Designate A/E pre-selection and selection boards
Develop A/E pre-selection list
Contact A/E firms to ascertain interest in project
Approve A/E selection list
Tentatively select A/E firm
13. Statutory Authority for both Transfer of Funds and Proiect Activities
CERCLA. E.G. 12316 & the Economy Act of 1932, as amended (31USC1535)
FUNDS
IS. EPA Amount
16. EPA In-Kind Amount
17 C'her Agency Amount
1 8. Other Agency In-Kind Amount
19 Total Proiect Cost
PREVIOUS AMOUN1
AMOUNT THIS ACTION
*
*
20 Fiscal nformaiion
Program Element FY
TFAY9A 85
Appropriation Doc. Control No.
68/20X8145 *
Account Number Obiect Cl
* 25.76
14 Other Agency Type
Federal
AMENDED TOTAL
ass Obligation/Oeobngj: cr. Ami
*
EPA ' orm 1610-1 (Rev. 8-84) Previous editions are obsolete.
Page 1 of 5
A-2
-------
OSWER Directive 9355.0-4A
PART II - APPROVED BUDGET
IAG IDENTIFICATION NO
21. Budget Categories
Total Itemizition of
Estimated Coat to Date
(•) Personnel
(b) Fringe Benefits
'el Travel
Idl Equipment
(t) Supplies
HI Procurement/Assistance
(a) Construction
|h) Other
|i) Tot«l Direct Charges
$ Breakdown not available.
lil Indirect Costs: Rate
a Base
Will be provided as part of
(k) Total
(EPA Share 100 %|
(Other Agency Share 0
request for reimbursement.
$ *
22. Is equipment authorized to be furnished by EPA or acquired with EPA funds? [J ym R] No
(Idfntiff til tquipm»at costing 11.0OO or mortl
23. Are any of these funds being used on extramural agreements? fj Yes J3 No (S»* him 21ft
LJ Grant. LJ Cooperative Agreement, or l_l Procurement
Contactor/Recipient Name (H knowni
Total Extramural Amount Under This Project Percent Funded by EPA dl know
PART III — PAYMENT METHODS AND BILLING INSTRUCTIONS
24. Gal Disbursement Agreement:
OS Reimbursement
D Advance
LJ Allocation Transfer
Request for reimbursement of actual costs will be itemized on SF 1081 or SF 1080 and
submitted to the Financial Management Office. Environmental Protection Agency. 26 West St.
Clair. Cincinnati. OH 4S268:
to] Monthly LJ Quarterly LJ Upon Completion of Work
Only available for use by Federal agencies on working caonal fund or with appropriate justifica-
tion of need for this type of payment method. Unexpended funds at completion of worn win oe
'•turned to EPA Quarterly cost reports will be forwarded to the Financial Management Office.
Environmental Protection Agency, 26 West St. Clair. Cincmati. OH 45268
Used to transfer obligation*! authority or transfer of function between Federal agencies Must
receive prior approval by the Office of the Comptroller. Budget Division. Budget Formulation and
Control Branch. EPA Headquarters
25. LJ Reimbursement Agreement
Other Agency's IAG Identification Number
Billing Address
Silling Instructions and Frequency
EPA Form 1610-1 (Rev. 8-84)
Page 2 ot 5
A-3
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OSWER Directive 9355.0-4A
PART IV - ACCEPTANCE CONDITIONS
LAG IDENTIFICATION NO.
26. General Conditions:
The other agency covenants and agrees that it will expeditiously initiate and complete the project work for
which funds have been awarded under this agreement.
27. Special Condition!:
Work assignments for A/E selection will be initiated via a letter signed by the
« or his designee. The letter will
identify the particular site, provide the necessary account numbers, and describe any
adjustments, including increases in the site dollar ceiling ($7,000) and/or changes
to the scope of work.
The USAGE will initiate Phase I actions upon receipt of EPA authorization. Phase II
actions will not begin until EPA has notified the USAGE of the selection and approval
of a remedy and EPA approval of an Interagency Agreement for Phase II actions.
EPA acting as manager of the Hazardous Substance Response Trust Fund, requires current
information on CERCLA response actions and related obligations of CERCLA funds for
these actions. In addition, CERCLA authorizes EPA to recover from responsible parties
all government costs incurred during a response action.
(See Attachment A)
PaftV- OFFER AND ACCEPTANCE
NOTE: 1) For disbursement actions, the agreement/amendment must be signed in duplicate and one original
returned to the Grants Administration Division for Headquarters agreements and to the appropriate
EPA IAG administration office for Regional agreements within 3 calendar weeks after receipt or within
any extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
the address cited in Item 28 after acceptance signature.
Receipt of a written refusal or failure to return the properly executed document within the prescribed
time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
agency subsequent to the document being signed by the EPA Action Official which the Action Official
determines to materially alter the agreement/amendment shall void the agreement/
amendment.
2) For reimbursement actions, the other agency will initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature. ~he> agreements/
amendments will then be forwarded to the appropriate EPA TAG administration office for acceptance
signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
EPA IAG Administration OH ice /tor Kjminntritift/mtntgtmem ttsituncfl
EPA Program Office Hot tnhnietl tssistancti
28. Organization/Address
29. Organization/Address
Decision Official on Behalf of the Environmental Protection Agency Program Office
30. Signature
Typed Namt and Title
Date
Action Official on Behelf of the Environment*! Protection Agency
3V Signature
Authorizing
32. Signature
Typed Name and Title
*
Official on Behelf of the Other Agency
Typed Name and Title
Oete
Date
EPA Form 1610-1 (Rev. 8-84)
Page 3 of S
A-4
-------
OSWER Directive 9355.0-4A
ATTACHMENT A
27. SPECIAL PROVISIONS (continued)
In order to help assure successful recovery of CERCLA funds, the USACE
shall maintain site-specific accounts and documentation of the following:
Employee hours and salary (timesheets)
Employee travel and per diem expenses (travel authorizations, paid
vouchers, and treasury schedules)
Receipts for materials, equipment, and supplies
Any other costs not included in the above categories
In order to assist in the development and prosecution of a cost recovery
action, within three weeks from the date of a request from EPA or the
Department of Justice (DOJ), the USACE will provide to EPA or DOJ
site-specific costs and copies of the back-up documentation which supports
those costs. EPA and DOJ may periodically request updates of the costs and
documentation after the initial request. The USACE will provide EPA with a
contact for obtaining such site-specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
USACE will provide access to its files concerning the project on an
on-going basis for EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USAGE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reimbursement is contingent upon receipt and approval by EPA of monthly
progress and financial reports by site, containing an accounting of funds
and status of activities.
The USACE will provide a letter report summarizing each A/E selection to
the Regional Technical Project Officer.
A-5
-------
OSWER Directive 9355.0-4A
Mr. William Mulligan
U.S. Array Corps of Engineers
Engineering Division, Missouri River
P. 0. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
Dear Mr. Mulligan:
This letter serves to initiate a work assignment for the U. S. Army Corps
of Engineers (USAGE) to select an architectural/engineering firm to design the
remedial action at the following superfund site:
The selected activities must be consistent with the Interagency Agreement
No. DW96******-01-0 between the USAGE and the Environmental Protection Agency
(EPA). Funding for costs incurred while providing these services to EPA,
authorized under the authority of the Comprehensive Environmental Response,
Compensation and Liability Act of 1980 (CERCLA), is not expected to exceed:
Enclosed is the Phase I Design Authorization Form. This document contains
the necessary account numbers that apply specifically to this work assignment.
These numbers must be used on all financial and management reports.
i
Sincerely yours,
(Title)
Enclosure
cc; Richard Ruhe
Noel Urban
Paul Nadeau
Ivery Jacobs
A-6
-------
OSWER Directive 9355.0-4A
AUTHORIZATION FORM FOR PHASE I DESIGN
AUTHORIZATION IS HEREBY GIVEN TO INITIATE THE FIRST PHASE OF DESIGN
WORK AS DESCRIBED IN IAG # DW96930***-01-0. THE FOLLOWING INFORMATION
IS PROVIDED FOR COST TRACKING PURPOSES:
SITE NAME
REGION
EPA SITE I.D. #
HQ TECHNICAL PROJECT OFFICER
REGIONAL SITE MANAGER
PERIOD OF PERFORMANCE
PHONE
PHONE
FROM
TO
ACCOUNTING INFORMATION
DEOBLIGATE FROM:
OBLIGATE TO:
DOCUMENT
CONTROL NO.
*l<
*!'
1*1*1*1*
'1*1*1*1*
1
1
1
I IAG NO .
|D|W|9|6|*|*|*|*
|D|W|9|6|*|*|*|*
1
1
1
1
*I*|0|1|0|
*l*|0|l|0|
SUPERFUND
ACCOUNT NO.
5|T|F|A|*|*
5|T|F|A|*|*
1*
1*
1 1
I OBJECT |
I CLASS |
I CODE |
|N|0|0|2|5|7|6
|N|*
l*|2|5|7|6
Isl
ISl
NOT TO
EXCEED
AMOUNT
'1*1*1*1
*l*l*l*l
I
1
1
|
(Title)
DATE
EPA PROJECT OFFICER
DATE
(individual who certifies funds)
DATE
Original to: Richard Ruhe, EPA
Cincinnati, OH
cc: William Mulligan, USAGE
Noel Urban, USAGE
Paul Nadeau, EPA
Ivery Jacobs, EPA, Room 3623M
Financial Reports and Analysis Branch
A-7
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OSWER Directive 9355.0-4A
SAMPLE NO. 2
IAG FOR
DESIGN OF REMEDIAL ACTION
A-8
-------
OSWER Directive 9355.0-4A
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. DC 20460
INTERAGENCY AGREEMENT/AMENDMENT
Part I — GENERAL INFORMATION
1. IAG Identification Number
3. Type of Action
New Agreement
2. Funding Location by Region
4. Program Abbreviation
5. Name and Address of EPA Organization
*
6. Name and Address of Other Agency
• Department of Defense
U.S. Army Corps of Engineers (USACE)
Engineering Division, Missouri River
Omaha, Nebraska 68101-0103
7. Project Title
Remedial action at
8. EPA Project Officer (Name. Address. Telephone Number)
*
9. Other Agency Project'Officer (Name. Address, leleohoge Number)
William Mulligan FTS/86%-7227
USACE, Engineering Division, Missouri River
P. 0. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
10. Project Period
*
11. Budget Period
* (same as project period)
11. Scope of Work {Attach additional sheets, as needed)
This agreement obligates a total of $ * to the U.S. Army Corps of Engineers
(USACE) for implementation of the remedial action at *
* (EPA ID0 * ).
divided as follows:
1. $
for implementation of the remedial action.
2. $ for supervision and execution of the contract awarded based on
the Invitation for Bid (IFB). Specific USACE responsibilities are detailed
in the appended Scope of Work (Attachment A).
13 Statutory Authority for both Transfer nf Funds and Project Activities
CERCLA, E.O. 12316 & Economy Act of 1932, as amended (31USC1535)
14. Other Agency Type
Federal
FUNDS
PREVIOUS AMOUNT
AMOUNT THIS ACTION
AMENDED TOTAL
IS. EPA Amount
16. EPA In-Kind Amount
17 C'her Agency Amount
18. Other Agency In-Kind Amount
19 Total Proiect Cost
20 Fiscal Information
Program Element
TFAY9A
FY
85
Appropriation
68/20X8145
Doc Control No
Account Number
Object Class
25.76
Obligation/ Oeobhganon Ami
EPA Form 1610-1 (Rev. 8-84) Previous editions are obsolete.
Page 1 of 5
A-9
-------
OSWER Directive 9355.0-4A
PART II — APPROVED BUDGET
IAG IDENTIFICATION NO
21 Budget Categories
Total Itemuation of
Estimated Cost to Date
a> P»f»onnel
(bl Fringe Benefits
1C) Trt
(dl Equipment
(el Supplies
ifl Procurement/Assistance
(o) Construction
(Ml Other
III Toial Direct Charges
$ (Breakdown not available.
(il Indirect Costs Rate
»8ase
Will be provided prior to
(k) Total
(EPASha** 100 %)
(Other Agency Share 0 %)
reimbursement.)
*
22. Is equipment authorized to be furnished by EPA or acquired with EPA funds?
Wenfi/V •// Kjuipmem east my S1.0OO or monl
Y(a
\ No
23 Are any of these funds being used on extramural agreements? ££1 Yes D No ISn Item 21 fl
LJ Grant. LJ Cooperative Agreement, or 2SI Procurement
Contactor/Recipient Name /if known)
Unknown
Total Extramural Amount Under This Project
* (estimate)
Percent Funded by EPA i'it known)
100*
PART III — PAYMENT METHODS ANO BILLING INSTRUCTIONS
24
I Disbursement Agreement
£3 Reimbursement
D
Advance
I Allocation Transfer
Request for reimbursement of actual costs will be itemized on SF 1081 or SF 1080 and
submitted to the Financial Management Office. Environmental Protection Agency. 26 West Si
Clair. Cincinnati. OH 4S268:
£5J Monthly LJ Quarterly LJ Upon Completion of Work
Only available for use by Federal agencies on working cao'tal fund or with appropriate tustifica-
tion of need for this type of payment method. Unexoenoed iunu> oi lonitiietion of v.c.-l; ...:: be
returned to EPA Quarterly cost reports will be forwarded to the Financial Management Office.
Environmental Protection Agency. 26 West St Clair. dncmati. OH 45268
Used to transfer obligational authority or transfer of function between Federal agencies Must
receive prior approval by the Office of the Comptroller. Budget Division. Budget Formulation and
Control Branch. EPA Headquarters.
25
n
Reimbursement Agreement
Other Agency s IAG Identification Number
Billing Address
Billing Instructions and Frequency
EPA Form 1610-1 (Rev. 8-84)
2 of 5
A-10
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OSWER Directive 9355.0-4A
PART IV - ACCEPTANCE CONDITIONS
IAC IDENTIFICATION NO.
26. General Condition*:
The other agency covenants and agrees that it will expeditiously initiate and complete the project work for
which funds have been awarded under this agreement.
27. Special Condition!:
Reimbursement is contingent upon receipt and approval by EPA of the monthly progress
reports from USAGE described below and any other reports described in the appended scope
of work. The monthly progress reports will be submitted to (Regional P.O.) in EPA
(Hq P.O.)
Region
and
in EPA, Washington, O.C.
EPA acting as manager of the Hazardous Substance Response Trust Fund, requires current
information on CERCLA response actions and related obligations of CERCLA funds for
these actions. In addition, CERCLA authorizes EPA to recover from responsible parties
all government costs Incurred during a response action.
(See Attachment A)
Pert V - OFFER AND ACCEPTANCE
NOTE: 1) For disbursement actions, the agreement/amendment must be signed in duplicate and one original
returned to the Grants Administration Division for Headquarters agreements and to the appropriate
EPA IAG administration office for Regional agreements within 3 calendar weeks after receipt or within
any extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
the address cited in Item 28 after acceptance signature.
Receipt of a written refusal or failure to return the properly executed document within the prescribed
time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
agency subsequent to the document being signed by the EPA Action Official which the Action Official
determines to materially alter the agreement/amendment shall void the agreement/
amendment.
2) For reimbursement actions, the other agency will initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature ~he agreements/
amendments will then be forwarded to the appropriate EPA TAG administration office for acceptance
signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
EPA IAG Administration Office Hoi taministniitt/minigemem luiginctl
EPA Program Office Ifor iKhmcil Htisttncei
28. Organization/Addrai*
29. Organization/ Address
Decision Official on Behalf of tha Environmental Protection Agency Program Office
30. Signature
Typed Name and Title
Oat*
Action Official on BeheH of the Environmental Protection Agency
31. Signature
Authorizing
32. Signature
Typed Name and Title ft
Date
Official on Behalf of the Other Agency
Typed Name and Title
Date
EPA Form 1610-1 (Rev. 8 841
Page 3 of 5
A-ll
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OSWER Directive 9355.0-4A
REMEDIAL DESIGN
Scope of Work
SITE [Name, City, State]
PURPOSE
The purpose of this assignment is to obtain assistance from
the U.S. Army Corps of Engineers (USAGE) for the design of a
remedial action at the [site name].
BACKGROUND
[Briefly summarize the site in 1 or 2 paragraphs to include]
o [Location of site]
o [Brief history of operations, releases, response actions,
etc.]
o [Quantity, types, and concentrations of hazardous substances]
o [Extent of contamination]
A Record of Decision (ROD) was signed by the [AA-OSWER or
RA] on [date] selecting [description of remedy] as the cost
effective remedy for the [site name].
REMEDY
The remedy selected by EPA and the State of [state name]
includes the following components:
[List major components in bullet form]
WORK STATEMENT
The USACE will be responsible for:
1. Developing the technical statement of work and awarding
and managing a contract to a private firm for the
design of [description of remedy]. The design package
will consist of the plans and specifications along with
[include as necessary -O&M Plan, QAPP, Site Safety
Plan, etc.).
2. Review of the design package in coordination with the
EPA-RPM at approximately 30%, 60% (if necessary),
95%, and 100% completion. Approval and acceptance of
final design, with concurrence from EPA.
3. Providing other support to include [permit assistance,
community relations assistance, etc.].
4. Reproducing design documents.
Specific USACE responsibilities are detailed in the
Superfund Remedial Design and Remedial Action Guidance.
A-12
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OSWER Directive 9355.0-4A
27. SPECIAL PROVISIONS (continued)
In order to help assure successful recovery of CERCLA funds, the USAGE
shall maintain site-specific accounts and documentation of the following:
Employee hours and salary (timesheets)
Employee travel and per diem .expenses (travel authorizations, paid
vouchers, and treasury schedules)
Receipts for materials, equipment, and supplies
Contract costs (paid invoices, treasury schedules and copy of the
contract)
Any other costs not included in the above categories
In order to assist in the development and prosecution of a cost recovery
action, within three weeks from the date of a request from EPA or the
Department of Justice (DOJ), the USACE will provide to EPA or DOJ
site-specific costs and copies of the back-up documentation which supports
those costs. EPA and DOJ may periodically request updates of the costs and
documentation after the initial request. The USACE will provide EPA with a
contact for obtaining such site specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
USACE will provide access to its files concerning the project on an
on-going basis for EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USACE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reporting requirments are as follows:
The USACE will provide the EPA with a completed signed SF 1080 and
monthly reports containing:
a. USACE estimate of the percentage of project completed.
b. USACE estimate of dollars expended on the project to date.
c. Summaries of all change orders and claims made on the contract
during the reporting period. Attach copies of all change
orders as appendix.
d. Summaries of all contracts with representatives of the local
community, public interest groups or State government during
the reporting period.
e. Summaries of all problems or potential problems encountered
during the reporting period.
f. Projected work for the next reporting period.
A-13
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OSWER Directive 9355.0-4A
SAMPLE NO. 3
IAG FOR
IMPLEMENTATION OF REMEDIAL ACTION
A-14
-------
OSWER Directive 9355.0-4A
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. DC 20460
INTERAGENCY AGREEMENT/AMENDMENT
Part I — GENERAL INFORMATION
1. IAG Identification Number
3. Type of Action
New Agreement
2. Funding Location by Regioi
*
4. Program Abbreviation
5. Nome and Address of EPA Organization
*
6. Name and Address of Other Agency
Department of Defense
U.S. Army Corps of Engineers (USAGE)
Engineering Division, Missouri River
Omaha, Nebraska 68101-0103
7. Project Title
Design of remedial action at
8. EPA Project Officer (Name. Address. Telephone Numtierl
*
9. Other Agency Protect Officer /Name. Address. Telephone Number)
William Mulligan FTS/864-7227
USAGE, Engineering Division, Missouri River
P. 0. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
10. Protect Period
*
11. Budget Period
* (same as project period)
12. Scope of Work (Attach additional sheets, as needed)
This Interagency Agreement obligates a total of $ * to the U.S. Army Corps of
Engineers (USAGE) for the design of remedial action at *
(ID*
). These funds are divided as
follows:
1. $ *
for a contract to design the remedial action.
2. $ * for supervision and execution of the contract. Specific USAGE
responsibilities are detailed in the appended Scope of Work (Attachment A).
13 Statutory Authority for both Transfer nf Funds and Project Activities
CERCLA, E.O. 12316 & Economy Act of 1932, as amended (31USC1535)
14. Other Agency Type
Federal
FUNDS
PREVIOUS AMOUNT
AMOUNT THIS ACTION
AMENDED TOTAL
15. EPA Amount
16. EPA In-Kind Amount
17. C'her Agency Amount
18. Other Agency In-Kind Amount
19 Total Project Cost
20 Fiscal Information
Program Element
TFAY9A
FY
85
Appropriation
68/20X8145
Doc. Control No.
* .
Account Number
*
Object Class
25.76
Obligation/Deo&iiga: on Ami
*
EPA Form 1610-1 (Rev. B-S4) Previous editions are obsolete.
Page I of 5
A-15
-------
OSWER Directive 9355.0-4A
PART II - APPROVED BUDGET
21. Budget Categories
Total Itemizanon of
Estimated Cott to Oate
la) Personnel
Ibl Fringe Benefits
jcl Travel
(dl Equipment
(el Supplier
(f) Procurement/Assitta nee
(ol Construction
IhlOth>
$ (Breakdown not available.
Ill Total Direct Charges
(il Indirect Costs Rate
«Ba»e
Will be provided prior to
(k) Tout
(EPA Shirt 100
%) (Other Agency Share
reimbursement.)
*
22. Is equipment authorized to oe furnished by EPA or acquired with EPA funds? fj Yes
l/dtnlify til tQUtpmtnt costing 3I.OOO or mart)
I No
23. Are any of these funds being used on exlramural agreements? ffl Yes C NofSt* Htm 21II
LJ Grant. LJ Cooperative Agreement, or £&1 Procurement
Contactor/ Recipient N*m* lit tnownl
Unknown
Total Extramural Amount Under This Protect
* (Estimate)
Percent Funded by EPA lit known/
100
PART III — PAYMENT METHODS AND BILLING INSTRUCTIONS
24 \Ol Disbursement Agreement
23 Reimbursement
D
D
Advance
Allocation Transfer
Request for reimbursement of actual costs will be itemized on SF 1081 or SF 1080 end
submitted to the Financial Management Office. Environmental Protection Agency. 26 West Si.
Clair. Cincinnati. OH 45268:
2fl Monthly LJ Quarterly LJ Upon Completion of Work
Only available for use by Federal agencies on working capital fund or with appropriate justifica-
tion of need lor this type of peymeni method. Unexoenued iunu« ai u»nuletiori ofwart: v. ;1!:;
returned to EPA Quarterly cost reports will be forwarded to the Financial Management Office.
Environmental Protection Agency. 26 West St Clair. Cmcmati. OH 4S268.
Used to transfer obligational authority or transfer of function between Federal agencies. Must
receive prior approval by the Office of the Comptroller. Budget Division. Budget Formulation and
Control Branch. EPA Headquarters
25. LJ Reimbursement Agreement
Other Agency s IAG Identification Number
Billing Address
Billing Instructions and Frequency
EPA Form 1610-1 (Rev. 8-84)
Page 2 of 5
A-16
-------
OSWER Directive 9355.0-4A
PART IV - ACCEPTANCE CONDITIONS
IAC lOINTIf ICATION NO.
26. General Conditions:
The other agency covenants and agrees that it will expeditiously initiate and complete the project work for
which funds have been awarded under this agreement.
Reimbursement is contingent upon receipt and approval by EPA of the monthly progress
and financial reports from the USAGE described below and any other reports described
in the appended scope of work. The monthly progress reports will be submitted to
(Regional P.O.) In EPA Region .(city) . (state) ^ and (Hq P.O.) In
EPA, Washington, D. C.
EPA acting as manager of the Hazardous Substance Response Trust Fund, reouires current
Information on CERCLA response actions and related obligations of CERCLA funds for
these actions. In addition, CERCLA authorizes EPA to recover from responsible parties
all government costs Incurred during a response action.
(See Attachment B)
Pert V - OFFER ANO ACCEPTANCE
NOTE: 1) For disbursement actions, the agreement/amendment must be signed in duplicate and one original
returned to the Grants Administration Division for Headquarters agreements and to the appropriate
EPA IAG administration office for Regional agreements within 3 calendar weeks after receipt or within
any extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
the address cited in Item 28 after acceptance signature.
Receipt of a written refusal or failure to return the properly executed document within the prescribed
time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
agency subsequent to the document being signed by the EPA Action Official which the Action Official
determines to materially alter the agreement/amendment shall void the agreement/
amendment.
2) For reimbursement actions, the other agency will initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature The agreements/
amendments will then be forwarded to the appropriate EPA TAG administration office for acceptance
signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
EPA IAG Adminiitrmon Qfliet Hot Klminiaritni/n<»n»gtintm laitttntil
EP* Program Office Her tectimctl tssisttncn
28. Organization/Addrm
29. Organization/Addrea
Decision Official on BeheM of the Environment*) Protection Agency Program Office
30. Signnura
Typed Hunt *nd Title
Out
Action Official on B«h«H of the Environmental Protection Agency
31 . Signature
Authorizing
32. Signature
Typed Name and Till*
*
Official on BeheH of the Other Agency
Typed Name and Title
Date
Date
EPA form 1610-1 (Rev. 8-84)
3 of 5
A-17
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OSWER Directive 9355.0-4A REMEDIAL ACTION
Scope of Work
S_IT_E [Name, City, State]
PURPOSE
The purpose of this assignment is to obtain assistance from
the U.S. Army Corps of Engineers (USAGE) for the implementation
of a remedial action at -the [site name].
BACKGROUND
[Briefly summarize the site in 1 or 2 paragraphs to include]
o [Location of site]
o [Brief history o'f operations, releases, response actions,
etc. ]
o [Quantity, types, and concentrations of hazardous substances]
o [Extent of contamination]
A Record of Decision (ROD) was signed by the [AA-OSWER or
RA] on [date] selecting [description of remedy] as the cost
effective remedy for the [site name].
The remedial design (RD) for the remedy was performed by the
[USAGE or other party].
REMEDY
The remedy selected by EPA and the State of [state name],
and detailed in the IFB includes the following components:
[List major components in bullet form]
WORK STATEMENT
The USAGE will be responsible for:
1. Conducting procurement activities for remedial action.
2. Managing the contract for remedial action.
3. Providing oversight and monitoring of construction in
coordination with the EPA-RPM, to ensure compliance
with all contract requirements.
4. Conducting final inspection and certification of
completed remedial action in coordination with the
EPA-RPM.
Specific USAGE responsibilities are detailed in the
Superfund Remedial Design and Remedial Action Guidance.
A-18
-------
OSWER Directive 9355.0-4A
27. SPECIAL PROVISIONS (continued)
In order to help assure successful recovery of CERCLA funds, the USAGE
shall maintain site-specific accounts and documentation of the following:
Employee hours and salary (timesheets)
Employee travel and per diem expenses (travel authorizations, paid
vouchers, and treasury schedules)
Receipts for materials, equipment, and supplies
Contract costs (paid invoices, treasury schedules and copy of the
contract)
Any other costs not included in the above categories
In order to assist in the development and prosecution of a cost recovery
action, within three weeks from the date of a request from EPA or the
Department of Justice (DOJ), the USACE will provide to EPA or DOJ
site-specific costs and copies of the back-up documentation which supports
those costs. EPA and DOJ may periodically request updates of the costs and
documentation after the initial request. The USACE will provide EPA with a
contact for obtaining such site specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
USACE will provide access to its files concerning the project on an
on-going basis for EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USACE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reporting requirments are as follows:
The USACE will provide the EPA with the following reports:
1. A completed signed SF 1080.
2. A monthly progress report containing:
a. USACE estimate of the percentage of project completed.
b. USACE estimate of dollars expended on the project to date.
c. Summaries of all change orders and claims made on the contract
during the reporting period. Attach copies of all change
orders as appendix.
A-19
-------
OSWER Directive 9355.0-4A
d. Summaries of all contacts with representatives of the local
community, public interest groups of State government during
the reporting period.
e. Summaries of all problems or potential problems encountered
during the reporting period.
f. Projected work for the next reporting period.
Weekly telecon construction status update(s) to * ,
EPA, Region * .
A-20
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OSWER Directive 9355.0-4A
APPENDIX B
ELEMENTS TO BE INCLUDED
IN THE REMEDIAL DESIGN STATEMENT OF WORK
The objective of this Appendix is to provide guidance and clarification of
submission requirements for the Architect/Engineer (A/E) retained to provide
the final document package, which shall include all the required plans and
specifications, in response to the statement of work (SOW) issued for a
remedial design project.
B.I Plans and Specifications
The final construction plans and specifications prepared by the A/E to
accomplish the remedial action proposed in the SOW shall be required to
comply to certain standards and submissions as outlined herein.
B.I.I Preliminary Design
Submission of the preliminary construction plans and specifications
shall reflect the A/E design effort at 30% completion. At this stage the
A/E shall have field verified the existing conditions of the site. The
preliminary design shall reflect a level of effort such that the technical
requirements of the project have been addressed and outlined so that they
may be reviewed to determine if the final design will provide an operable
and usable remedial project. Supporting data and documentation shall be
provided with the design documents defining the functional aspects of the
project. The initiation of construction drawings by the A/E shall reflect
organization and clarity. The scope of the technical specifications shall
be outlined in a manner reflecting the final specifications. The A/E shall
include with the preliminary submission design calculations reflecting the
same percentage of completion as the designs they support.
B-l
-------
OSWER Directive 9355.0-4A
B.I.2 Intermediate Design
Complex project design may necessitate review of the design documents
between the preliminary and the prefinal/final design. At the discretion of
the design PO, a design review may be required at 60% completion of the
project. The intermediate design submittal should include the same elements
as the prefinal design.
B.I.3 Prefinal/Final Design
The prefinal/final construction plans and specification submission shall
reflect 90% and 100% completion as outlined herein.
At 90% completion of design and after all checking and coordinating have
been completed by the A/E, prints shall be furnished to the design PO for
review purposes. Marked prints and/or written comments will be returned to
the A/E for correction of tracings. After corrections have been
incorporated, the A/E shall furnish new prints of the corrected sheets and
the original tracings. The A/E shall also return all the marked-up prints
as evidence that the plans have been completely checked.
Final specifications shall be submitted by the A/E for review when the
overall project is approximately 90% complete. After making any necessary
corrections, the typed original speciifications shall be sent to the design
PO with the complete design.
The design analysis and design calculations will be furnished for reyiew
of prefinal design. After making any corrections required, reproducible
sheets shall be submitted.
B.I.4 Estimated Cost of Project
An estimate and estimate summary sheet will be required with prefinal
design submittal ( 90 percent) and the final bid estimate. One copy of the
quantity take off sheets, including the appropriate items, i.e., treatment
equipment, linear feet of piping, linear feet of wells, quantity of
B-2
-------
OSWER Directive 9355.0-4A
hazardous waste to be removed, etc., will be included with each estimate
submitted. All work items (mobilization, excavating, transportation of
hazardous waste, disposal costs, site containment/rehabilitation, etc.) will
be broken down into labor, material and plant. The A/E shall provide basis
for development of all unit prices used in the estimate. Unit prices,
overhead, and profit, and other such categories shall be shown as separate
items. The final (bid) estimate will be based on the advertised plans and
specifications including amendments. It will include any changes made by
the design PO during final design review, and should reflect current prices
for labor, material, and equipment. The final estimate must fit the
specifications bid form and be submitted to arrive not later than 15 days
prior to the scheduled opening of bids.
B.I.5 Correlating Plans and Specifications
General correlation between drawings and technical specifications, is a
basic requirement of any set of working construction plans and
specifications. Before submitting the project specifications, the A/E
shall: (1) Coordinate and cross-check the bid form, specifications and
drawings; (2) Complete the proofing of the edited specifications and
required cross-checking of all drawings and specifications. These
activities shall be completed prior to the 95% prefinal submittal to the
design PO.
B.I.6 Selection of Resource Conservation and Recovery Act (RCRA) Facilities
The A/E working in conjunction with the lead design party and the
EPA-Region should include a provision in the plans and specifications to
solicit information from bidders on proposed off-site disposal facilities in
order to evaluate acceptability of proposed facilities. EPA's current
policy on "Procedures for Planning and Implementing Off-site Response
Actions," dated May 6, 1985, requires the following basic procedures be
followed in using off-site facilities:
B-3
-------
OSWER Directive 9355.0-4A
Facility must have applicable RCRA permit or interim status, or
other applicable permit.
A RCRA compliance inspection must be conducted at candidate TSD
facilities within 6 months of the actual receipt of wastes.
The TSD facilities must meet the minimum technical requirements of
the 1984 RCRA reauthorization, including double liners, as
applicable.
Interim status land disposal facilities must have adequate
groundwater monitoring data to assess whether the facility poses a
threat to groundwater.
CERCLA-derived wastes are prohibited from going to an offsite TSD
that has significant RCRA violations (Class I or other), or other
environmental conditions that affect the satisfactory operation of
the facility unless the following conditions are met:
Owner or operator has committed through an enforcement
agreement to correct the problem prior to contract award and
Disposal only occurs at a unit not contributing to the adverse
conditions at the facility.
B.I.7 Compliance With the Requirements of Other Environmental Laws
All applicable or relevant and appropriate requirements identified in
the ROD/EDD shall be analyzed and incorporated into the design by the A/E.
Specific A/E responsibility shall include identifing the following: (1) The
permitting authority(ies); (2) Construction/operating permits required; (3)
Time required by the permitting agency(ies) to process the applications(s);
(4) Fee schedule including filing/application fees, emissions fees,
certification testing, etc; (5) Monitoring and/or compliance testing
requirements; and (6) Actual agency regulations governing applications,
exemptions, variances, etc.
B-4
-------
OSWER Directive 9355.0-4A
At the design PO's discretion the A/E may obtain all required
applications forms, complete all technical sections, and provide the
partially completed forms to the design PO. The A/E shall notify the design
PO of any major discrepancies existing between the A/E SOW and the pollution
abatement criteria. Copies of all correspondence from permitting agencies
which either details permit requirements or indicates that no permits are
necessary, shall be furnished to the design PO by the A/E.
B.I.8 Equipment Start-up and Operator Training
The A/E shall prepare, and include in the technical specifications
governing treatment systems, contractor requirements for providing:
appropriate service visits by experienced personnel to supervise the
installation, adjustment, startup and operation of the treatment systems,
and appropriate operational procedures training once the startup has been
successfully accomplished.
B.2 Additional Studies
Remedial actions may require additional studies to supplement the
available technical data. At the direction of the PO for any such studies
required, the A/E shall furnish all services, including field work as
required, materials, supplies, plant, labor, equipment, investigations,
studies and superintendence. Sufficient sampling, testing and analyses
shall be performed to optimize the required treatment and/or disposal
operations and systems. There shall be an initial meeting of all principal
personnel involved in the development of the project. The purpose will be
to discuss objectives, resources, communication channels, role of personnel
involved and orientation of the site, etc. The Contractor shall submit an
interim report for the purposes of review when he is approximately 90%
complete with the testing. The interim report shall present the results of
the testing with the recommended treatment or disposal system (including
options). The report shall include economic analyses of the various
alternatives. A review conference shall be scheduled after the interim
report has been reviewed by all interested parties. The final report of the
B-5
-------
OSWER Directive 9355.0-4A
testing shall include all data taken during the testing, a recommendation
for a facility to most efficiently provide the treatment or disposal system
and a cost estimate of such a facility.
B.3 Operation & Maintenance Plan
Remedial actions vary greatly in scope. However, in most instances,
there is a requirement for some degree of regular operation and maintenance
activity associated with the completed project. Appropriate elements are
listed in Exhibit B-l and should be used by the A/E as a guide in preparing
the site-specific O&M plan. An initial draft O&M Plan shall be submitted by
the A/E to the design PO for review and approval with the prefinal design
documents. After making necessary corrections, the A/E shall submit the
final draft O&M plan with the final design documents. The O&M plan will be
finalized and submitted by the Construction contractor at the prefinal
construction conference.
B.4 Quality Assurance Project Plan
The A/E shall prepare a site-specific Quality Assurance Project Plan
(QAPP). The plan will include a precise description of the project and
scope of work. The QAPP must provide guidelines for project organization
and responsiblity including identification of quality control and quality
assurance responsibilities for the construction contractor, lead design
party, and other appropriate agencies during remedial construction. In
addition, the QAPP will define quality assurance objectives and other
appropriate elements to be included in the plan based on information
provided by the design PO. The plan shall later be used as a guide by the
contractor to develop a Contractor Quality Control Plan (CQCP) which must be
approved by the design PO before Notice to Proceed is given. More specific
guidance will be given to the A/E if more specific information or detailed
testing procedures are known by the design PO and are considered necessary.
A detailed "discussion of elements to be included in a State lead QAPP are
discussed in Appendix L of the State Manual, Volume I. QAPPs for federal
B-6
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EXHIBIT B-l
Basic Elements of Operation and Maintenance Plan
A. Description of Normal Operation and Maintenance
1. Description of tasks for operation
2. Description of tasks for maintenance
3. Description of prescribed treatment or operating
conditions
4. Schedule showing frequency of each O&M task
B. Description of Potential Operating Problems
1. Description and analysis of potential operating problems
2. Sources of information regarding problems
3. Common remedies
C. Description of Routine Monitoring and Laboratory Testing
1. Description of monitoring tasks
2. Description of required laboratory tests and their
interpretation
3. Required QA/QC
4. Schedule of monitoring frequency and when, if so
provided, to discontinue.
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EXHIBIT B-l (Cont'd)
D. Description of Alternate O&M
1. Should systems fail, alternate procedures to prevent
undue hazard
2. Analysis of vulnerability and additional resource
requirements should a failure occur
E. Safety Plan
1. Description of precautions, of necessary equipment, etc.,
for site personnel
2. Safety tasks required in event of systems failure (May be
linked to site safety plan developed during remedial
responses)
F. Description of Equipment
1. Equipment Necessary to plan
2. Installation of monitoring components
3. Maintenance of site equipment
4. Replacement schedule for equipment and installed
components
G. A/E also shall prepare an O&M annual budget which should
include but not be limited to the following:
1. Cost of personnel
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EXHIBIT B-l (Cont'd)
2. Costs of preventive and corrective maintenance
3. Costs of equipment, supplies, etc.
4. Costs of any contractual obligation (e.g., lab expenses)
5. Costs of operation (e.g., energy costs, etc.)
H. Records and Reporting Mechanisms Required
1. Daily Operating Logs
2. Laboratory Records
3. Records for Operating Costs
4. Mechanism for reporting emergencies
5. Personnel and maintenance records
6. Monthly/Annual Reports to State agencies
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lead and responsible party projects should be consistent with the guidelines
of Appendix L. A draft QAPP shall be submitted by the A/E to the design PO
with the prefinal design documents. After making necessary corrections the
A/E shall submit the final QAPP with the final design documents.
B.5 Site Safety Plan
An important aspect of this project, both during design and
construction, is the health and safety of the individuals who will be on
site. The A/E responsible for the design of this project shall review the
project information provided and develop specifications for a Site Safety
Plan (SSP) that are sufficient to protect on-site personnel from the
physical, chemical, and/or biological hazards particular to the site. The
specifications will describe the minimum health, safety and emergency
response requirements for which the construction contractor will be made
responsible, and which must be included in the SSP developed by the
contractor. Site Safety Plan guidance, along with sample SSPs, is included
in the State Manual, Volume I, and should be used as a guide by the A/E in
developing specifications for the SSP. Draft SSP specifications shall be
submitted by the A/E to the design PO with the prefinal design documents.
After making necessary corrections, the A/E shall submit the final SSP
specifications with the final design document.
To ensure consistency with appropriate EPA, OSHA and State health and
safety requirements, the following reference list can be used as guidance in
developing the SSP.
CERCLA sections 104(f) and lll(c)(6)
EPA Order 1440.2 - Health and Safety Requirements for Employees
Engaged in Field Activities
EPA Order 1440.1 - Respiratiory Protection
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EPA Occupational Health and Safety Manual
EPA Interim Standard Operating Safety Guide
(September 1982)
Part 1910 of 29 CFR revised 1 July 1982, QSHA Standards for General
Industry
NIOSH, (National Institute of Occupational Safety and Health)
Manual of Analytical Methods, Volumes I-VII
Threshold Limit Values (TVL) for Chemical Substances and Physical
Agents in the Work Environment with Intented Changes Adopted by
ACGIH (American Conference of Governmental Industrial Hygienists),
latest edition
ANSI Z 88.2 - 1980, American National Standard, Practices for
Respiratory Protection
Air Sampling Instruments for Evaluation of Atmospheric
Contaminants, 6th edition, 1983, American Conference of
Governmental Industrial Hygienists.
Appropriate State health and safety statutes
B.6 Architect/Engineer Services During Construction
The agency responsible for accomplishing a remedial action may deem it
desirable or perhaps even necessary that the A/E preparing the plans and
specifications take an active role in the on-site remedial action
(construction) work. Following are guidelines for consideration in
utilizing A/E services during construction.
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B.6.1 Review Construction Contractor Submittals
The A/E shall check all shop drawings and calculations submitted by the
Construction Contractor. The A/E is responsible for complete review and
check of the construction shop drawings submitted by the Construction
contractor for compliance with the requirements of the contract plans and
specifications. The preparation of all shop drawings is the responsibility
of the Construction Contractor. If submittals are incomplete or are
insufficient to perform review, the construction PO shall be notified
immediately for instructions. If deficiencies or errors in the plans and
specifications become evident in the process of review and checking of the
submittals, the A/E shall notify the construction PO who will determine the
course of action to be taken.
B.6.2 Attend Conferences and Visit Project Site
The A/E as and when requested in writing by the construction PO, shall
furnish technically qualified Architects and/or Engineers to attend
conferences and/or visit the project site before or during construction.
These services will include writing of reports and/or preparation of
required cost estimates upon return to the A/E office.
B.6.3 Provide Field Representative
The A/E shall provide a Field Representative to perform in general the
following:
Advise the contruction PO on engineering interpretation of the
Facility plans and specificiations
Assist the construction PO in interpreting impact on the design of
proposed changes and preparing sketches and/or revised drawings in
a timely manner to aid in the preparation of construction contract
modifications.
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Assist the construction PO and A/E's main office staff in resolving
design problems associated with interpretation of contract plans
and specifications.
Document design field changes tht occur during construction.
Facility start-up testing shake-down
Operator training
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APPENDIX C
LIST OF ACRONYMS
AA Assistant Administrator
A/E Architect/Engineer
CA Cooperative Agreement
CQCP Contractor Quality Control Plan
CRP Community Relations Plan
E&D Engineering and Design
EDO Enforcement'Decision Document
EPA Environmental Protection Agency
EPA-HQ EPA Headquarters
FS Feasibility Study
IAG Interagency Agreement
MOD Memorandum of Understanding
NPL National Priorities List
O&M Operation and Maintenance
OSHA Occupational Safety and Health Administration
OSWER Office of Solid Waste and Emergency Response
PO Project Officer
PRP Potentially Responsible Party
QAPP Quality Assurance Project Plan
RA Remedial Action
RCRA Resource Conservation and Recovery Act of 1976 (PL-94-580)
RD Remedial Design
RD/RA Remedial Design/Remedial Action
RI Remedial Investigation
RI/FS Remedial Investigation/Feasibility Study
RPM Regional Project Manager (EPA)
ROD Record of Decision
S&A Supervision and Administration
SCAP Superfund Comprehensive Accomplishments Plan
SSC Superfund State Contract
SSP Site Safety Plan
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SOW Statement of Work
SPO State Project Officer
TLV Threshold Limit Value
TSD Treatment, Storage and Disposal Facility
USACE U.S. Army Corps of Engineers
USACE-MRD USACE-Missouri River Division
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APPENDIX D
GLOSSARY OF TERMS
This appendix provides definitions of selected terms used throughout the
text. It is not intended to be comprehensive in nature; rather, it attempts
to highlight some of the terms commonly used in the Superfund remedial
program. Statutory definitions have been quoted for those terms defined in
CERCLA, while other definitions have been taken from appropriate EPA
regulations, guidance, and publications.
Bidability; Refers to the inclusion of all necessary elements and
specifications of a design package to enable solicitation and procurement of
a construction contractor.
Change Orders; A change order is a written order issued by the State or
USAGE to its contractor authorizing an addition, deletion, or revision.
Change orders are appropriate when the terms of the contract between the
recipient and one of its contractors must be altered to make a change in the
work within the general scope of the contract as a result of changes in
specifications, time, method or manner of performance of the work, services,
site or recipient-furnished facilities, equipment or materials.
Such changes must be within the general scope of the contract. The goal of
a change order is to leave the contractor in the same relative profit/loss
situation it would have encountered under the original contract award.
Cardinal changes or changes which substantially alter the scope of the work
under the contract may not be appropriate for change order but may require
readvertising for new bids or proposals.
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Claims: A claim is a request by a contractor for additional time and/or
fees that has been rejected by the State or USAGE. Rejection of a change
order may lead to a contractor claim in which the contractor asserts that,
by either action or inaction on the part of the recipient, a change was made
in the contract requirements which affected the contract time and/or price
and caused the contractor to perform in a manner different form that
required by the existing contract. Significant changes which may alter the
remedy approved in the ROD require EPA headquarters approval.
Community Relations Plan (CRP): A plan for addressing local citizens' and
officials' concerns about a hazardous waste site and for integrating
community relations activities into the technical response at a site. The
CRP should help prevent disruptions and delays in response actions and
partially fulfill the NEPA requirement for public notification and
participation. Each CRP should include a description of the background and
history of the site and community concerns about the site; objectives of the
site-specific community relations program; specific techniques to be used to
achieve those objectives; and a work plan, schedule, budget, and designation
of staff who will be responsible for the program.
Constructability: Refers to the technical feasibility of a design from an
engineering perspective.
Cooperative Agreement (C/A); An assistance agreement whereby EPA transfers
money, property, services, or anything of value to a State for the
accomplishment of certain remedial activities, subactivities, or tasks, as
authorized by CERCLA. It assumes a significant Federal involvement in the
State's performance of these activities. The remedial Cooperative Agreement
provides general information about the project, such as the approved budget,
and any specific conditions applicable to the project. It also documents
any required CERCLA section 104(c)(3) assurances.
Deviation Request; An official written request to allow a deviation from
EPA's General Regulation for Assistance Programs (40 CFR 30). One example
of a situation requiring a deviation request would be the need to incur
costs at a site prior to the execution of a Cooperative Agreement.
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Enforcement Decision Document (EDD); Refers to the documentation of the
Agency's decison-making process for approving remedial actions to be
implemented by responsible parties, showing consistency with CERCLA and the
NCR and supplementing the feasibility study if necessary.
Engineering and Design (E&D) after Contract Award: E&D after contract award
is engineering and design support during the construction/cleanup phase of
the project. This support is provided by the design Architect-Engineering
or in-Jiouse USAGE or State personnel and can consist of the following:
Preparation of design modifications due to design deficiencies,
unforeseen site conditions, client request, or changed criteria.
Site visits and attendance at meetings or conferences.
Federal Lead: Means that the EPA has primary responsibility for planning
and conducting either part of or an entire removal or remedial action.
Feasibility Study; A study intended to 1) evaluate alternative remedial
actions from a technical, environmental, and cost-effectiveness perspective,
2) recommend the cost-effective remedial action, 3) prepare a cost estimate
for budgetary purposes, and a preliminary construction schedule.
Interagency Agreement (IAG); A written agreement, enforceable by law,
between EPA and another agency (Federal, State, or local) where goods and/or
services are provided, whether or not in exchange for monetary
reimbursement, or where policy agreements are delineated. lAGs for CERCLA
activities may function both as obligating documents and as reporting
documents necessary for EPA financial and program management.
Memorandum of Understanding (MOU); An agreement between EPA and another
agency (Federal, State, or local) that sets forth basic policies and
procedures governing their relationship on matters of mutual interest and
responsibility. There is no exchange of funds under this type of
agreement. In the context of this document, an MOU usually refers to one
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type of agreement which may be negotiated between EPA and a State to
undertake EPA-lead remedial planning subactivities.
National Contingency Plan (NCP) 40 CFR Part 300: Officially known as the
National Oil and Hazardous Substances Pollution Contingency Plan, outlines
the responsibilities and authorities for responding to releases into the
environment of hazardous substances and other pollutants and contaminants
under the statutory authority of CERCLA and section 311 of the Clean Water
Act (CWA).
National Priority List; A list of the highest priority releases or
potential releases of hazardous substances, based upon State and EPA
regional submissions of candidate sites and the criteria and methodology
contained in the Hazard Ranking System (HRS), in order to allocate funds for
remedial and planned removal actions.
Operation and Maintenance (O&M); Refers to the requirement for continued
performance of activities, as necessary, at a site after the completion of
remedial action or construction to ensure the sustained effectiveness of the
applied remedy.
Project Officer (PO): The official designated by the lead party for RD or
RA who coordinates, monitors and manages RD or RA activities for the site.
Record of Decision (ROD); Refers to the documentation of the Agency's
decision-making process for approving Fund-financed remedial actions,
showing consistency with CERCLA and the NCP and supplementing the
feasibility study if necessary. The ROD supports future cost recovery
actions at the site.
Remedial Action (RA); A subactivity in remedial response involving actual
implementation, following design, of the selected source control and/or
off-site remedial measure.
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Remedial Design (RD): A subactivity in remedial response where the selected
remedy is clearly defined and/or specified in accordance with engineering
criteria (i.e., a site action plan, a relocation plan, or engineering
drawings and specifications) in a bid package, enabling immediate
implementation of the remedy.
Remedial Investigation (RI): The portion of a subactivity in remedial
response involving an investigation to gather the data necessary to: (a)
determine the nature and extent of problems at the site; (b) establish
remedial response criteria for the site; (c) identify preliminary
alternative remedial actions; and (d) support the technical and cost
analyses of the alternatives. (The entire subactivity is known as "remedial
investigation/ feasibility study.")
Remedial Project Manager (RPM): The designated EPA Regional official who
coordinates, manages, and monitors site activities covered in both EPA and
State-lead remedial response agreements.
Remedial Response: A series of activities and subactivities intended to
provide permanent resolution of a release or potential release of a
hazardous substance from a site. Remedial response generally includes the
following sequence of subactivities: remedial investigation/feasibility
study, remedial design, remedial" action, and operation and maintenance.
Remedy (statutory definition): [An action] consistent with permanent remedy
taken ... in the event of a release or threatened release of a hazardous
substance into the environment, to prevent or minimize the release of
hazardous substances so that they do not migrate to cause substantial danger
to present or future public health or welfare or the environment. The term
includes, but is not limited to, such actions ... as storage, confinement,
perimeter protection using dikes, trenches, or ditches, clay cover,
neutralization, cleanup of released hazardous substances or contaminated
materials, recycling or reuse, diversion, destruction, segregation of
reactive wastes, dredging or excavations, repair or replacement of leaking
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containers, collection of leachate and runoff, on-site treatment or
incineration, provision of alternative water supplies, and any monitoring
reasonably required to assure that such actions protect the public health
and welfare and the environment.
Responsible Party (statutory definition): [Includes] (1) the owner or
operator of a vessel (otherwise subject to the jurisdiction of the United
States) or a facility, (2) any person who-at the time of disposal of any
hazardous substance owned or operated any facility at which such hazardous
substances were disposed of, (3) any person who by contract, agreement, or
otherwise arranged for disposal or treatment, or arranged with a transporter
for transport for disposal or treatment, of hazardous substances owned or
possessed by such person, by any other party or entity, at any facility
owned or operated by another party or entity and containing such hazardous
substances, and (4) any person who accepts or accepted any hazardous
substance for transport to disposal or treatment facilities or sites
selected by such person, from which there is a release, or a threatened
release which causes the incurrence of response costs, of a hazardous
substance, [the responsible party] shall be liable for -- (A) all costs of
removal or remedial action incurred by the United States Government or a
State not inconsistent with the National Contingency Plan; (B) any other
necessary costs of response incurred by any other person consistent with the
National Contingency Plan; and (C) damages for injury to, destruction of, or
loss of natural resources, including the reasonable costs of assessing such
injury, destruction, or loss resulting from such a release.
Responsible Party Lead: Means a private party (owner, operator) has primary
responsibility for planning and conducting a remedial action.
Scope of Work; The element of a Federal lead remedial planning agreement
which generally outlines the subactivities, tasks, and subtasks to be
undertaken at the site. The scope of work also provides general information
on the objectives of the project.
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Site (also refers to a hazardous substance site or a hazardous waste site):
An area or a location at which hazardous substances have been stored,
treated, disposed, placed, or otherwise came to be located. This includes
all contiguous land, structures, other appurtenances, and improvements on
the land used for treatment, storage, or disposal of hazardous substances.
A site may consist of several treatment, storage, or disposal facilities
(e.g., impoundments, containers, buildings, or equipment).
State Lead: Means the State has primary responsibility for planning an
conducting a remedial action.
State Letter of Request: The letter, sent from the administrator of the
State pollution control agency to an EPA Regional Administrator, requesting
EPA action at a waste site. A letter of request can initiate only EPA lead
remedial planning activities. The letter must refer to and generically
approve the required remedial subactivities, agree to participate in
implementing the Community Relations Plan, designate a State Project Officer
for the project, and state that State officials will meet with EPA personnel
to exchange site and project information.
State Project Officer (SPO): The designated State official responsible for
direct management of the activities covered in a Cooperative Agreement or
for ensuring that the State carries out responsibilities defined in an EPA
lead remedial response agreement.
Statement of Work (SOW): The element of a remedial response agreement that
specifies in detail the subactivities, tasks, subtasks, and objectives to be
performed pursuant to that agreement. The SOW should contain salient points
regarding the background of the release or potential release, problem
definition, purpose of the work, and a description of the services to be
performed.
Stop Work Order: A form prepared by an Ordering Officer, OSC, or
Contracting Officer requiring the contractor to stop all, or any part, of
the work called for in a Delivery Order.
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Superfund State Contract (SSC): A bilateral contract between EPA and a
State that is legally binding on both parties. The SSC is not a procurement
contract, but is used to document EPA and State responsibilities and to
obtain any necessary State assurances for EPA-managed remedial responses.
An SSC is appropriate for any EPA lead remedial implementation subactivities
which require State cost-sharing.
Supervision and Administration (S&A); S&A consists of supervision and
administration of the construction/clean up contract. This is primarily
accomplished by USAGE or State in-house personnel, but assistance from the
design Architect/Engineer may be required. Specifically S&A includes the
following:
Contract Administration
Site inspection and construction management performed by on-site
personnel
Shop drawing review
Preparation of as-built drawings reflecting final completed project
conditions.
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REFERENCES
1. U.S. EPA, State Participation in Superfund Program, Volume 1, February
1984 as amended.
2. U.S. EPA, State Participation in the Superfund Program, Volume II: State
Procurement Under Superfund Remedial Cooperative Agreements, March 1986.
3. McGraw, Jack W., "Procedures for Planning and Implementing Off-site
Response Actions," U.S. EPA Memorandum, May 6, 1985.
4. "CERCLA Compliance with Other Environmental Statutes," Appendix to
Preamble of National Oil and Hazardous Substances Pollution Contingency
Plan; Final Rule, (50 FR 2892.6), November 20, 1985.
5. U.S. EPA, Community Relations in Superfund: A Handbook, September 1983.
6. Thomas, Lee M., "Interim Procedures for Deleting Sites from the National
Priorities List," U.S. EPA Memorandum, March 27, 1984.
R-l OU.S. GOVERNMENT PWNT1NO OFFICE: 1880 -646-116/20842
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