PA
United States
Environmental Protection
Agency
OH.ce of
Solid Waste and
Emergency Response
DIRECTIVE NUMBER: 9375.l-2A-d
TITLE: APPENDIX E, MODEL STATEMENT OF WORK FOR A STATE-
LEAD REMEDIAL INVESTIGATION/FEASIBILITY STUDY
PROJECT
APPROVAL DATE: 12/4/85
EFFECTIVE DATE:
ORIGINATING OFFICE: OERR
D FINAL
5 DRAFT
STATUS: por review and comment (C)
REFERENCE (other documents):
OSWER OS WE Ft OSWER
VE DIRECTIVE DIRECTIVE Di
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xvEPA
United Slates Environmental Protection Agency
Washington. DC 20460
OSWER Directive Initiation Request
Interim Directive Number
0375.1-2A-d
Originator Information
Name of Contact Person
Deborah Swichkow
Mail Code
WH-F.4RE
Telephone Number
3R2-2A53
Lead Office
SI QERR
D OSW
D OUST
LJ OWPE
U AA-OSWER
Approved for Review
Signature of Office Director
Date
Title
APPENDIX E, MODEL STATEMENT OF WORK FOR A STATE-LEAD
REMEDIAL INVESTIGATION/FEASIBILITY STUDY PROJECT.
Summary of Directive
14iib Appendix hos been- frVovi deŁ t-o oooiot Remedial Project
Managers (RPM's) and Stat.e Project Officers (SOP's) in
developing a Statement of Work (SOW) for State conducted
program and enforcement remedial investigation/feasibility
study (RI/FS) projects. It is intended to present only a
topic outline of a RI/FS. A more detailed description of
this process can he found in the documents "Guidance on
Remedial Investigations Under f.ERrLA", Office of Emergency
and Remedial Response, June, 19R5, and "Guidance on Feasibility
Studies Under CERCLA", OFRR, June, 1QR5.
'ype of Directive (Manual. Policy Directive. Announcement, etc.I
ippendix E to State Participation in the
iuperfund Remedial Program Manual
Status
CD Draft
Final
D
New
Revision
Does this Directive Supersede Previous Directiveisj?
"Yes" to Either Question. What Directive (number, title)
Supersedes Appendix E of 9375.1-?/\
Yes [_j No Does It Supplement Previous Directive(sl>| | Yes
Review Plan
D AA-OSWER
S^ OERR
U OSW
D OUST
D OWPE
D Regions
D OECM
D OGC
D.OPPE
D
Other /Specify]
his Request Meets OSWER Directives System Format
signature of Lead Office Directives Officer
iignature of OSWER Directives'Officer
Date
Date
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*° ^
*.
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
Directive No.
0375.1-2A-6 (Appendix B)
9375.1-2A-d (Appendix E)
p q IQQc; OFFICE OF
tO I3OO
SOLID WASTE AND EMERGENCY RESPONSE
MEMORANDUM
SUBJECT: Revisions to Appendix B, "Action Memorandum Guidance,"
and Appendix E, "Model Statement of Work for a State-
Lead RI/FS Project" in the State Participation
in the Superfund Remedial Program --
FROM: ,.Sd>m Morekas ,
ftate and Regionan^oordTnUtfioffTlranch
T0:(/ Mailing List
—,
This office is in the process of revising the State
Participation manual to ensure its accuracy and consistency with
directives issued over the past year. Appendix E, "Model Statement
of Work for a State-Lead RI/FS Project," has been updated to
reflect changes in acronyms, modifications in the procurement
process by which an A/E firm is contracted by the State to perform
the RI/FS, and changes in the Agency's formal technical guidance
on RI/FS activities. Appendix B reflects a similar update and
provides the most current procedures for the preparation of Action
Memoranda, which are optional internal documents that Regions may
use to approve remedial activities at hazardous waste sites.
The version of Appendices B and E which you currently have should
be discarded and be replaced with these attachments.
Attachment
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12/20/85
Date/
Addendum # Topic
6/22/84 #1 Site Closeout
Minority and
Women's Business
Reporting
Changes to IG
Audit
9/12/84 #2
9/28/84 #3
Quality Assurance
Project Plan
Revised Letter of
Credit Procedures
Provision
CHANGES TO DATE
Instruction
. New pages
. New page
. New pages
. New page
. Change
"... which must
be sent within
120 days." to
"... which
must be sent
within 90 days."
. Add, as the
second sentence
in the para-
graph, "In
addition, the
Award Official
will send the
State a copy of
the final audit
report within 15
days of its
receipt."
. Change "The re-
sponse must be
dispatched with-
in 120 days..."
to "The response
must be dis-
patched within
90 days..."
. New pages
Replacement pages
Location/Page
Appendix F, Pages F-22
and 23
Appendix H, Page H-23
Appendix P, Pages
P-37-P-47
Appendix F, Page F-24
Appendix C, Page C-12,
first complete paragraph
Appendix C, Page C-12
first complete paragraph
Appendix C, Page C-12
footnote
Appendix L, formerly
reserved
Appendix F, Pages F-3
through F-6
111
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CHANGES TO DATE (Continued)
Date/
Addendum #
12/10/84 14
Multi-Site Coop-
erative Agreements
Instruction
Replacement
pages
Replacement
pages
Replacement
pages
Replacement
pages
New pages
Replacement
page
New pages
Replacement
pages
New pages
Replacement
page
New page
Replacement
pages
New page
Change "...at
quarterly inter-
vals commencing
at the start of
the project." to
"...within 30
days of the end
of the Federal
fiscal quarter."
New pages
Replacement
pages
New pages
Replacement
pages
Replacement
pages
New pages
12/20/85
Location/Page
Table of Contents, Pages
xiii through xvii
List of Exhibits, Pages
xvii and xix
List of Acronyms, Pages
a - through e
Chapter II, Pages II-l
through 6
Chapter II, Page II-7
and Exhibit II-2
Chapter III, Page 111-17
Chapter III, Pages
111-18 through 27 and
Exhibits 111-10 and
III-ll
Chapter IV, Pages L
IV-5 through IV-7
Chapter IV, Pages IV-8
through 3V-11
Chapter V, Page V-7 and
v-8
Chapter V, Page V-9
Appendix E, Pages E-l
through E-22
Appendix E, Page E-23
Appendix F, Page F-16,
Section K, indented
paragraph
Appendix F, Pages F-25
and F-26
Appendix J, Pages J-l,
J-2, and J-7
Appendix J, Pages J-8
and J-9
Appendix N, Pages N-l
through N-6
Appendix P, Pages P-l,
P-2, and P-47
Appendix P, Pages P-48
through P-51
IV
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Date/
Addendum #
Topic
CHANGES TO DATE (Continued)
Instruction
1/4/85 #5 Advance Match
1/11/85 #6
8/2/85 #7
9/17/85 18
Site Safety Plan
Guidance
Obtaining Equipment
Under a CEFCIA
Cooperative Agreement
Intergovernmental
Review Procedures
State Cooperative
Agreements for Pre-
Remedial Activities
12/18/85 #9 Action Memorandum
Guidance
12/20/85 110 Model Statement of
Vfork for a Remedial
Investigation/
Feasibility Study
. New pages
. New pages
. New pages
. Replacement page
. Replacement pages
. New pages
. Replacement pages
. Replacement pages
12/20/85
Location/Page
New Appendix S, Pages
S-l through S-9
Appendix M, formerly
reserved
New Appendix T, Pages
T-l through T-15
Table of Contents, Pages
xiii through xix
List of Exhibits, Pages
xx and xxi
Appendix D, Pages D-l
through D-28
Appendix A, formerly
reserved
Appendix B, Pages
B-l through B-9
Appendix E, Pages
E-l through E-21
iva
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TABLE OF CONTENTS
12/20/85
Revised Page xiii
LIST OF ACRONYMS AND ABBREVIATIONS
I. INTRODUCTION
A. Purpose of the Manual
B. Background — Key Terms
B.I Remedial Response
B.2 Remedial Response Agreements
B.3 State Assurances
B.3.a Cost-Sharing
B.3.b Off-Site Treatment, Storage,
or Disposal
B.3.c Operation and Maintenance (O&M)
B.4 State Credits
II
ill
C. Overview of the Manual
CONCURRENT ADMINISTRATIVE EVENTS
A. Initiation of Enforcement Activities
B. Initiation of Forward Planning
Development of Site-Specific Schedules
C.
D.
E,
F,
Development of the Remedial
Accomplishments Plan (RAP)
Development of the Action Memorandum
Identification and Review of State
Credit Submissions
G. Intergovernmental Review
DEVELOPMENT OF COOPERATIVE AGREEMENT
APPLICATION PACKAGES
A. Completion of the Cooperative Agreement
Application Form
PAGE
a
1-1
1-2
1-17
1-4
1-4
1-5
1-5
1-6
1-7
1-7
1-7
II-l
11-2
11-2
II-5
II-5
II-5
II-6
11-7
III-l
III-2
DATE
12/10/84
12/10/84
Kill
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A.I Part IV - Project Narrative
Statement
A.2 Part III - Project Budget
12/20/85
Revised Page xiv
PAGE DATE
111-2
III-3
A.2.a Allowable Costs III-4
A.2.b Enforcement Costs II1-5
A.2.c Calculation of State Cost Share III-5
B. Development of Cooperative Agreement
Provisions
B.l General Assistance Requirements
B.2 Superfund Program Requirements
B.2.a Provision of CERCLA
Section 104(c)(3) Assurances
B.2.b The National Environmental
Policy Act of 1969 (NEPA)
B.2.C Quality Assurance/Quality
Control (QA/QC)
B.2.d Site Safety Plan
B.2.e Expedited Procurement
C. Completion of the Procurement System
Certification Form
D. Other Submissions
D.I Community Relations Plan (CRP)
D.I.a Draft Community Relations
Plan
D.1.b Complete Community
Relations Plan
D.2 Certification Letter
D.3 Intergovernmental Review Comments
E. Deviation Requests to Permit the
Allowability of Pre-Award Costs
F. Multi-Site Cooperative Agreements
F.I Activities That May Be Included
in Multi-Site Cooperative
Agreements
F.2 Intergovernmental Review
F.3 Contents of a Multi-Site Cooperative
Agreement
III-6
III-6
III-7
III-8
III-9
111-10
III-ll
111-12
111-12
111-13
111-13
111-13
111-14
111-15
111-15
111-15
111-17
111-18
111-19
111-20
12/10/84
xiv
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F.3.a Cooperative Agreement
Application Form
F.3.b Multi-Site Cooperative
Agreement Application
Provisions
F.3.c Procurement System
Certification Form
F.3.d Certification and
Enforcement Letters
F.4 Accounting for Multi-Site
Cooperative Agreements
F.5 Administration of Multi-Site
Cooperative Agreements
F.5.a Project Management
F.S.b Project/Budget Periods
F.S.c Quarterly Reports
12/20/85
Revised Page xv
PAGE
111-20
111-23
111-23
111-23
111-24
II1-26
111-26
111-26
111-27
DATE
IV. DEVELOPMENT OF EPA-LEAD REMEDIAL PLANNING
AGREEMENTS
A. The Scope of Work for Remedial Planning
B. Documentation of Terms and
Responsibilities
B.I EPA Responsibilities
B.2 State Responsibilities
B.3 General Terms
C. Other Submissions
C.I Community Relations Plan (CRP)
C.2 Intergovernmental Review Comments
D. Management Assistance Cooperative
Agreements
V. DEVELOPMENT OF SUPERFUND STATE CONTRACTS
A. Development of the Statement of Work (SOW)
B. Development of State Cost-Sharing Terms
B.I Calculation of the State's Cost Share
B.2 Negotiation of Payment Terms
C. Documentation of Other Terms and
Responsibilities
IV-i
IV-3
IV-3
IV-3
IV-4
IV-4
IV-5
IV-5
IV-6
IV-6 12/10/84
V-l
V-2
V-2
V-2
V-3
V-4
xv
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12/20/85
Revised Page xvi
C.I EPA Responsibilities
C.2 State Responsibilities
C.3 General Terms
D. Other Submissions
D.I Community Relations Plan (CRP)
D.2 Certification Letter
D.3 Intergovernmental Review Comments
E. Multi-Site Superfund State Contracts
PAGE DATE
V-4
V-5
V-6
V-7
V-7
V-8
V-8
V-8 12/10/84
VI. EXECUTION OF REMEDIAL AGREEMENTS VI-1
A. Review of the Draft Agreement Vl-l
A.I Review of the Draft Cooperative Vl-2
Agreement Application Package
A.2 Review of the Draft EPA-Lead Vl-2
Submission
B. Final Regional Review and Preparation VI-2
of the Concurrence Package
C. Approval and Execution VI-4
VII. ADMINISTRATION OF REMEDIAL AGREEMENTS . VII-1
A. Monitoring Financial Commitments VII-1
A.I State Drawdowns Under a Cooperative VI1-2
Agreement
A.2 State Payment of Cost Share Under VI1-3
a Superfund State Contract
B. Monitoring Technical Commitments VI1-3
B.I Monitoring Site Activities VII-4
B.2 Monitoring State Assurances and VI1-5
Compliance with Special Conditions
C. Coordinating EPA-Lead Remedial Agreements VI1-5
with Performance Agreements
D. Documenting Remedial Activity VII-6
xvi
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D.l Regional Files
D.2 EPA Headquarters Files
D.3 State Files
Documenting Completion of Remedial
Implementation [RESERVED]
12/20/85
Revised Page xvii
PAGE DATE
VII-6
VII-6
VII-7
VIII. AGREEMENT MODIFICATIONS
A. Project Adjustments
A.l Adjustments to State-Lead Projects
A.2 Adjustments to EPA-Lead Projects
B. Initiation of Remedial Design and
Remedial Action
B.l Records of Decision (RODs)
B.2 Incorporating Remedial Design and
Remedial Action into an
Agreement Between EPA and the State
C. Initiation of Operation and Maintenance
VIII-l
VIII-l
VIII-l
VIII-2
VIII-3
VII1-3
VIII-6
VII1-7
xvii
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12/20/85
Revised Page xviii
APPENDICES
Introduction
Appendix A -
Appendix B -
Appendix C -
Appendix D -
Appendix E -
Appendix F -
Appendix G -
Appendix H -
Appendix I -
Appendix J -
to the Appendices
PA/SI Guidance
Action Memorandum Guidance
A-l 9/17/85
B-l 12/20/85
Procedures for Developing and Processing C-l
CERCLA State Credit Claims
Procedures for Implementing Intergovern- D-l 9/17/85
mental Review
Model Statement of Work for State-lead E-l 12/20/85
Remedial Investigation/Feasibility Study
Projects
Sample Cooperative Agreement Application F-l
Provisions
Sample Cooperative Agreement Application G-l
Package
Sample Articles for Superfund State
Contracts and Other EPA-Lead Remedial
Agreements
Sample Superfund State Contract
Sample Certification Letters
H-l
l-l
J-l 12/10/84
Appendix K
Appendix L
Appendix M
Appendix N
Appendix 0
Appendix P
Appendix Q
Sample Community Relations Plan Format
and Sample Plan (CRP)
K-l
Sample Quality Assurance/Quality Control L-l' 9/12/84
Plan
Sample Site Safety Plan
Instructions for Using Superfund Letter
of Credit Account Numbers Under
Cooperative Agreements
Sample Record of Decision (ROD)
Selected EPA Policy Papers
Glossary of Terms
M-l 1/11/85
N-l 12/10/84
0-1
P-l
Q-l
xviii
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12/20/85
Revised Page xix
Appendix R - List of References R-l
Appendix S - Advance Match Procedures S-l 1/4/85
Appendix T - Obtaining Equipment for Use Under T-l 8/9/85
a CERCLA Cooperative Agreement
xix
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