5EPA
                Environmental Protection
                Agency
            Off ice of
            Solid Waste and
            Emergency Response
DIRECTIVE NUMBER:
                   9375.1-4-n
                      State Participation in the Superfund Program,
                      Volume I, Appendix N: How to Obligate CERCIA Funds
                      for State and Federal-lead Response

                 APPROVAL DATE:        8/22/86

                 EFFECTIVE DATE:        8/22/86

                 ORIGINATING OFFICE:    OERR/HSCD

                 B FINAL

                 -D DRAFT

                  STATUS:



                 REFERENCE (other documents):

                  Supersedes 9375.1-2A, App N and 9375.1-4, App N: State
                  Participation in the Superfund Program, Appendix N:
                  Instructions for Using Letter of Credit Account Numbers
                  Under Cooperative Agreements
  OSWER      OSWER       OSWER
VE    DIRECTIVE   DIRECTIVE    Dl

-------
                           United States Environmental Protection Agency
                                 Washington. DC 20460
  ^^    -i JT                    wasmngton. uc zutou
   rE PA        OSWER Directive Initiation Request
                                                            1. Directive Number

                                                         9375.1-4-n
                                2. Originator Information
                                                          I Telephone Number
                                                             382-2453
Name of Contact Person             Mail Code     Office
 Deborah Swichkow             WH-548E    OERR/HSCD
                         *         - * 	
3. Title
 State Participation-in the Superfund Program, Appendix N:  How to obligate CERCLA
 Funds for State and Federal-lead Response
   f. Summary of Directive (Include brief statement of purpose/

    Provides EPA Headquarters/Regional staff and State officials with special accounting
    procedures under CERCLA response agreements.  Supplements more general instructions
    found in the EPA Financial Management Manual.  (8/24/86, 50 pp)
   . Keywords
     Superfund, CERCLA,  State participation, response agreements,  procedure
is. Does this Directive Supersede Previous Directive^)?  M Yes
                                          No  What directive (number, title)
Does It Supplement Previous Directives)?
                           Yes
                                    No  What Directive (number, title}  9375. 1-2A,  App N and
    9375.1-4, App N: State Participation Manual, Appendix N:  Instructions for Using Superfui
    Letter of Credit Account Numbers Older Cooperative Agreements,  12/10/84 _
    Draft Level

     G A — Signed by AA/DAA
LJ B — Si
Signed by Office Director
LJ C —
For Review & Comment
                                                           LJ In
                                                               Development
   his Request Meets OSWER Directives System Format
   . Signature of Lead Office Directives Coordinator
    Name and Title of Approving Official '
                                                        Date
OSWER           OSWER           OSWER
        DIRECTIVE        DIRECTIVE        I

-------
           UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

                       WASHINGTON, D.C. 20460
                                                        OFFICE OF
                                               SOLID WASTE AND EMERGENCY RESPONSE
MEMORANDUM  .                                         AU3 * 2  1985


SUBJECT:  Addendum to the  Manual  State  Participation  in  the
          Superfund  Program:   Append,! x  N,  "How to  Obligate CERCLA
          Funds for  State  and  Fedjera/l -Lead  Response"
FROM:     Sam Morekas,  Chief
          State and Regional/Coordination Branch
          Hazardous Site Control Division

TO:       Mailing List


     A revised version of Appendix N has been provided to  familiar-
ize EPA Regional  and  Headquarters  staff and State officials  with
procedures that have  been  developed for site-specific accounting
under CERCLA.  This appendix differs from the previous Appendix  N
issued December 10,  1984,  in that  it  encompasses more than  just
a  description  of   Super-fund's   10-digit  accounting   codes.    The
revised document  also provides  specific  instructions  on  how to
obligate CERCLA funds  for  Federal   and  State-lead projects  under
single/multi-site, advance  match   and  State  credit  scenarios.
Examples of Superfund  obligating documents  for  single and multi-
site activities are included in this Appendix.

     The version of Appendix  N  that you currently have should be
discarded and be replaced with this attachment.


Attachment

-------
                           TABLE  OF  CONTENTS
LIST OF ACRONYMS AND ABBREVIATIONS

   I.  INTRODUCTION

       A.  Purpose of the Manual

       B.  Background — Key Terms
9375.1-4 -77

          PAGE   DATE

             a  12/10/84

           1-1

           1-2

           1-3
           B.I  Remedial Response                         1-4
           B.2  Remedial Response Agreements  •            1-4
           B.3  State Assurances                          1-5
                B.3.a   Cost-Sharing                      1-5
                B.3.b   Off-Site Treatment, Storage,   '    1-6
                        or Disposal
                B.3.c   Operation and Maintenance (O&M)    1-7
           B..4  State Credits                             1-7

       C.   Overview of the Manual                         1-7

  II.   CONCURRENT ADMINISTRATIVE EVENTS                  II-l

       A.   Initiation of Enforcement Activities          II-2

       B.   Initiation of Forward Planning                II-2

       C.   Development of Site-Specific Schedules        II-5

       D.   Development of the Remedial                   II-5
           Accomplishments Plan (RAP)

       E.   Development of the Action Memorandum          II-5

       F.   Identification and Review of State            II-6
           Credit Submissions

       G.   Intergovernmental Review                      II-7

 III.   DEVELOPMENT OF COOPERATIVE AGREEMENT             III-l
       APPLICATION PACKAGES

       A.   Completion of the Cooperative Agreement       III-2
           Application Form
                12/10/84
                                  XII 1

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                                        9375.1-4 -
    A.I  Part IV - Project Narrative
         Statement

    A.2  Part III - Project Budget
                                                  PAGE   DATE
III-2
III-3
         A.2.a   Allowable Costs                 III-4
         A.2.b   Enforcement Costs               III-5
         A.2.c   Calculation of State Cost Share III-5

B.  Development of Cooperative Agreement         III-6
    Provisions

    B.I  General Assistance Requirements         III-6
    B.2  Superfund Program Requirements          III-7

         B.2.a   Provision of CERCLA             III-8
                 Section 104(c)(3) Assurances
         B.2.b   The National Environmental      III-9
                 Policy Act of 1969 (NEPA)
         B.2.C   Quality Assurance/Quality      111-10
                 Control (QA/QC)
         B.2.d   Site Safety Plan               III-ll
         B.2.e   Expedited Procurement          111-12

C.  Completion of the Procurement System        111-12
    Certification Form

D.  Other Submissions                           111-13

    D.I  Community Relations Plan (CRP)         111-13
         D.I.a   Draft Community Relations      111-13
                 Plan
         D.l.b   Complete Community             111-14
                 Relations Plan
    D.2  Certification Letter                   111-15
    D.3  Intergovernmental Review Comments      111-15

E.  Deviation Requests to Permit the            111-15
    Allowability of Pre-Award Costs

F.  Multi-Site Cooperative Agreements           111-17

    F.I  Activities That May Be Included        111-18
         in Multi-Site Cooperative
         Agreements
    F.2  Intergovernmental Review               111-19
    F.3  Contents of a Multi-Site Cooperative   111-20
         Agreement
       12/10/84
                           xiv

-------
                                        9375.1-4 _
         F.3.a

         F.3.b
         F.3.C

         F.3.d
                      Cooperative Agreement
                      Application Form
                      Multi-Site Cooperative
                      Agreement Application
                      Provisions
                      Procurement System
                      Certification Form
                      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.5.C    Quarterly Reports

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)

         Development of State Cost-Sharing Terms
B.
C.
         B.I   Calculation of  the  State's Cost  Share
         B.2   Negotiation of  Payment Terms

         Documentation of Other Terms  and
         Responsibilities
  PAGE   DATE

111-20

111-23


111-23

111-23

111-24

111-26

111-26
II1-26
111-27

  IV-1


  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

-------
          C.I  EPA Responsibilities
          C.2  State Responsibilities
          C.3  General Terms

      D.  Other Submissions
9375.1-4-h,

          PAGE

           V-4
           V-5
           V-6
          D.I  Community Relations Plan (CRP)
          D.2  Certification Letter
          D.3  Intergovernmental Review Comments

      E.  Multi-Site Superfund State Contracts
                                                               DATE
           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                 VI-1

          A.I  Review of the Draft Cooperative          VI-2
               Agreement Application Package
                                                  •
          A.2  Review of the Draft EPA-Lead             VI-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     VII-2
               Agreement

          A.2  State Payment of Cost Share Under       VII-3
               a Superfund State Contract

      B.  Monitoring Technical Commitments             VII-3

          B.I  Monitoring Site Activities              VII-4
          B.2  Monitoring State Assurances and         VII-5
               Compliance with Special Conditions

      C.  Coordinating EPA-Lead Remedial Agreements    VII-5
          with Performance Agreements
                            \
      D.  Documenting Remedial Activity                VII-6
                                  xvi

-------
                                                9375.1-4 -"
       E.
D.I  Regional Files
D.2  EPA Headquarters Files
D.3  State Files

Documenting Completion of Remedial
Implementation [RESERVED]
                                                         PAGE   DATE

                                                        VII-6
                                                        VII-6
                                                        VII-7
VIII.  AGREEMENT MODIFICATIONS

       A.  Project Adjustments

           A.I  Adjustments to State-Lead Projects
           A.2  Adjustments to EPA-Lead Projects

       B.  Initiation of Remedial Design and
           Remedial Action

           B.I  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

IX.   AUDITS OF COOPERATIVE AGREEMENTS

       A.  Types of Audits

           A.I  Interim Audits
          .A.2  Final Audits
           A.3  CERCLA Credit Audits

       B.  Scheduling the Audit and Preliminary
           Act ivi t ies

           B.I  Scheduling the Audit
           B.2  Regional Preparation for the Audit
           B.3  State Preparation for the Audit

       C.  Procedures for the Audit

           C.I  Entrance Conference
           C.2  Audit Standards and Tasks
           C.3  Draft Audit Report
           C.4  Exit Conference
           C.5  Final Audit Report
           C.6  Findings and Recommendations Related
                to EPA Administration
                                            VIII-1

                                            VIII-1

                                            VIII-1
                                            VIII-2

                                            VIII-3
                                            VIII-3
                                            VIII-6
                                            VIII-7

                                              IX-1   3/20/86

                                              IX-3

                                              IX-3
                                              IX-6
                                              IX-7


                                              IX-7

                                              IX-8
                                              IX-8
                                             IX-10

                                             IX-11

                                             IX-11
                                             IX-13
                                             IX-15
                                             IX-18
                                             IX-19

                                             IX-19
                                  xvi i

-------
                                                9375.1-4~'K

                                                         PAGE
                                                                DATE
       D.  Resolution of Audit Findings and Follow-up
           Actions

           D.I  Review of Final Audit Report and
                Resolution of State Disagreements
           D.2  Resolution of DIGA Disagreements
                and Disputes
           D.3  Issuance of the Final Determination
                Letter
           D.4  Review for Adequacy

       E.  Implementation of Corrective Actions

APPENDICES

Introduction to the Appendices

Appendix A -    PA/SI Guidance

                Action Memorandum Guidance
                                                        IX-20


                                                        IX-20

                                                        IX-21

                                                        IX-22
                                                        IX-23

                                                        IX-23
Appendix B -

Appendix C -


Appendix D -


Appendix E -



Appendix F -


Appendix G -


Appendix H -



Appendix I -

Appendix J -
                Documenting CERCLA State Credits  and
                Advance Match
A-l

B-l

c-i
                Procedures  for Implementing  Intergovern-  D-l
                mental Review
                Model Statement of  Work for  State-lead
                Remedial  Investigation/Feasibility Study
                Projects
E-l
                Sample Cooperative Agreement  Application  F-l
                Provisions

                Sample Cooperative Agreement  Application  G-l
                Package

                Sample Articles  for Superfund State        H-l
                Contracts  and Other EPA-Lead  Remedial
                Agreements

                Sample Superfund State Contract            1-1

                Sample Certification Letters               J-l
9/17/85

12/20/85

5/2/85


9/17/85


12/20/85



7/22/86
     12/10/84
                                 XV 111

-------
                                               9375.1-4-n

                            LIST OF EXHIBITS

 Exhibit
 Number                  TITLE

 1-1        Site Chronology

 1-2        Document Outline

 II-l       Concurrent Administrative Events

 II-2       Sample SOW for State-Lead Forward Planning
           Activities

 III-l      Development of Cooperative Agreement Application
           Packages

 III-2      Cooperative Agreement Application Package
           Checklist

 111-17  m   Figures for Use in Estimating Total State-Lead
           Remedial Action Costs

 III-4      Object Class Categories for Use in Completing
           the Cooperative Agreement Application

 III-5      Itemization of Object Class Categories:
           Appropriate Level of Detail

 III-6      State Cost-Share Calculations

 III-7      Summary of Requirements for Procurement Under
           Assistance Agreements (40 CFR 1717)

 III-8      Summary of Superfund Program Provisions for
           Cooperative Agreement Applications

 III-9      Methods for Expediting Procurement

 111-10     Examples of Options for Awarding and Managing
           Multi-Site Cooperative Agreements

 III-ll     Sample MSCA Obligation Document

 IV-1       Development of Memoranda of Understanding

V-l        Development of Superfund State Contracts
                                   xxi

-------
                                               9375.1-4 - 77
                            LIST OF EXHIBITS
Exhibit
Number                  TITLE

V-2        Figures for Use in Estimating Total EPA-Lead
           Remedial Action Costs

V-17       State Cost-Share Calculations

VI-1       Execution of Remedial Agreements

VI-2       Agreement Review and Approval Process

VI-17      Suggested Format for the Decision Memorandum

VII-1      Administration of Remedial Agreements

VIIl-1     Agreement Modifications

IX-1       Audits of Cooperative Agreements

IX-2       Listing of Offices of the Divisional Inspectors
           General for Audits

IX-3       Cooperative Agreement Audit Process

IX-4       Sample Cost Exhibit for Draft Audit Report

A-l        Pre-Remedial Screening Process

A-2        CERCLA Information System (CERCLIS)

A-17       Application For Federal Assistance, Part III

Table 1    Sample Format for Pre-Remedial Program Report

Table 2    Sample Format for Work Hours Per Site (Pre-Remedial)

Table 17   Sample Format for Expense Report (Pre-Remedial)

Table 4    Sample Format for Site Additions and Substitutions
           (Pre-Remedial)

Table 5    Revised Schedule of Pre-Remedial Accomplishments

C-l        Application of  Credit on Cooperative Agreement Application
           Budget Sheets:   Part III, Sections A and B Schedule A
                                  xxn

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                                               9375.1-4 -
                            LIST OF EXHIBITS

Exhibit
Number                  TITLE

C-2        Application of Credit on Cooperative Agreement Application
           Budget Sheets:  Part III, Section B Schedule B

C-3        Application of Credit on Cooperative Agreement Application
           Budget Sheets:  Part III, Sections C, D, E and F

C-4        Application of Advance Match on Cooperative Agreement
           Application Budget Sheets:  Part III, Sections A and B
           Schedule B                                           ...

C-5        Application of Advance Match on Cooperative Agreement
           Application Budget Sheets:  Part III, Section B Schedule B

N-l        Superfund Accounting Example

N-2        Single-site Award

N-3        MSCA Award

N-4        Single-site Transfer

N-5        MSCA Transfer

N-6        Advance Match Award

N-7        State Credit Award

T-l        Sample Usage Charge Calculation

T-2        Accounting Example

U-l        Summary of Cost Documentation Requirements

U-2        Account Requirements for Personnel,  Travel, Equipment,
           Supply, and Indirect Costs.

U-3        General EPA Accounting Requirements/Procedures Applicable to
           Superfund

U-4        Procedures for Documenting Purchase and Use of CERCLA-funded
           Equipment

U-5        Financial Tracking and Recordkeeping Requirements for
           State-lead Superfund Activities

                                 xxiii

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                                               9375.1-4 -VI
Appendix K -


Appendix L -


Appendix M -

Appendix N -


Appendix 0 -


Appendix P -

Appendix Q -

Appendix R -

Appendix S -

Appendix T -


rfppendix U -
Sample Community Relations Plan Format
and Sample Plan (CRP)
K-l
Sample Quality Assurance/Quality Control  L-l
Plan
Sample Site Safety Plan

How to Obligate CERCLA Funds for State-
and Federal-lead Response

Record of Decision (ROD)/Enforcement
Decision Document (EDO) Guidance

Superfund Supplement Guidance

Glossary of Terms

List of References

Advance Match Procedures

Obtaining Equipment for Use Under
a CERCLA Cooperative Agreement

Cost Documentation Requirements for
Superfund Cooperative Agreements
M-l

N-l


0-1


P-l

Q-l

R-l

S-l

T-l
3/24/86


1/31/86


12/20/85

 8/22/86


1/17/86


3/5/86
1/4/85 .

8/9/85
U-l  7/25/86
                                  xix

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                                             9375.1-4-n
                         APPENDIX N
          HOW TO OBLIGATE CERCLA FUNDS FOR STATE-
                 AND FEDERAL-LEAD RESPONSE
PURPOSE

    This appendix has been provided to familiarize EPA
Regional and Headquarters staff and State officials with
procedures that have been developed for site-specific
accounting under CERCLA.

BACKGROUND

    Since response actions under CERCLA are site-specific
and EPA seeks cost recovery from responsible parties, 'man-
agement of Superfund activities/expenditures requires a
more detailed accounting  structure than is usually devel-
oped for other EPA programs.  In response to this need, EPA
has designed a system that ensures both that accurate cost
records are maintained for each individual site and that
financial aspects of all  Superfund projects are properly
monitored and controlled.

    The mechanism to meet these special accounting and con-
trol needs is the 10-digit EPA account number.   This number
allows EPA to know the year in which an obligation was
made, the site's identity, the Region in which the site is
located, and the basic type of activity being performed.
Obligated costs for each  site and activity code are tracked
in EPA's Financial Management System (FMS).  Exhibit N-l,
on the following page, provides an example of the Superfund
accounting format that should be followed for both State-
and Federal-lead response agreements (including MSCAs).

APPENDIX SUMMARY

    This appendix provides information that describes
Superfund accounting procedures.  It is organized in the
following sections:

         Required Documents for Obligating Funds
         Provision of State Cost Share
         Reporting Reguirements
         Advance Match
         State Credit.

More information on these topics can be found in the Finan-
cial Management Manual (currently being reissued as part of
the Office of the Comptroller Directives System).
                            N-l

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                                         EXHIBIT N-1

                           SUPERFUND ACCOUNTING  EXAMPLE
                                                                        9375.1-4-n
    HYPOTHETICAL  SITES/ACTIVITIES                      AMOUNT

    •  Pre-remedial Activities                               $40,000

    •  Sitel, Remedial Investigation/Feasibilitiy Study        $100,000

    •  Site 2, Remedial Investigation/Feasibility Study          $50,000

    •  Site 3, Remedial Design                            $300,000

    •  Sjte 4, Management Assistance for EPA-Lead           $20,000
        Remedial Investigation/Feasibility Study

    •  Site 5, Oversight of PRP-Lead                         $45,000
        Remedial Action
                                                                             ACCOUNT  *

                                                                           5TFA03DJZZ

                                                                           5TFA03DL01

                                                                           5TFA03DL02

                                                                           5TFA03DN03

                                                                           5TFA03DL04


                                                                           5TFA03DR05
 Example Translates to:
 Fiscal Year 1985
 Superfund Program Element Number

 Allowance Holder is Region 3	
 Regional Identifier / Responsibility Center

 Activity Code (J,L, N, R, orS)  	

 Site/Spill Identifier Code      	
                                                                      Ten-Plait Account Number
                                                                        5
                                                                      /
Actvitv Codes

 J - Pre-Remedial Activities:
                                           Description

                             Used for all site efforts from inception through inclusion on the NPL.
                             Includes discovery, initial site review, preliminary assessments,
                             site inspections, and NPL ranking activities. Often charged
                             to accounts with "22" in identifier position. "22" in the 9th and 10th
                             digits indicates that the site has not yet been assigned its own ID number.

                            Further investigate extent of problems and provide data to define
                            and assess the merits of alternative remedial actions, includes
                            forward planning activities.

                            Includes all costs associated with design efforts.

                            Includes operable units where minimum engineering design services
                            are required to prepare bid packages.  Also includes major, long-
                            term action involving actual implementation, following design,
                            of remedial measures and construction management services during
                            RA implementation.

S - Operation & maintenance:  Operation and maintenance of the completed remedy.


NOTE:  Management assistance and PRP oversight are obligated under the specific activity for which
       assistance or oversight is provided.
L - Remedial Investigation/
   Feasibility Studv:


N • Remedial Design:

 R - Remedial Action
                                                N-2

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                                             9375. 1-4-n
1.  REQUIRED DOCUMENTS FOR OBLIGATING FUNDS

    Procedures for obligating CERCLA funds differ for
State- and Federal-lead projects.   These are discussed in
separate sections below.

A.  Documents Required for Obligating State-lead Funds

    Funds for State-lead projects  are not formally obli-
gated or available to the State until the Cooperative
Agreement or Cooperative Agreement amendment covering the
project is awarded.  Before the Cooperative Agreement is
executed, the RFM and the Regional grants office jointly
prepare a Commitment Notice (EPA Form 255-a) for signature
by the Regional Administrator (RA).   EPA's 10-digit ac-
counting number is then assigned.   This will ensure that
funds are reserved for the project in the Region's advice
of allowance.  Once the application has been approved, the
grants office prepares an award document (EPA Form
5700-20A), which formally obligates funds upon signature by
the Award Official.

    The Regional grants office transmits two copies of the
award agreement to the State.  The State returns one signed
coty to the Award Official and retains one for its own
files.  Within three days of signature of the award, the
Regional grants office also provides a copy to its Finan-
cial Management Officer (FMO), and the appropriate Coopera-
tive Agreement number, the 10-digit account number(s),
amount of funds awarded,  and other related information are
recorded in EPA's FMS.

    EPA's preferred method for providing funds to a State
is through an existing Letter of Credit (LOG).  In doing
so, EPA establishes a separate account for each remedial
activity at each site covered by the Cooperative Agreement
statement of work; for pre-remedial activities, the account
is identified only by activity, not by site.

    The State then may draw down appropriate amounts as
needed for immediate cash needs for each specific activity
identified in the award agreement.  The State may use funds
for an activity only from the account designated for that
activity.  For example, RD funds can be used only for RD
activities at the site for which they are designated, un-
less EPA has executed a formal amendment authorizing a
transfer of funds from one site or activity to another.
When a drawdown occurs, the recipient must show both the
Cooperative Agreement number and the EPA account number on
the back of the drawdown voucher (EPA Form TFCS-5805).
This is to indicate the activity and the site against which
                            N-3

-------
                                             9375.1-4-n
the specific dollar amount is being charged.   A recipient's
cumulative drawdowns for each activity and site may not
exceed the amount awarded for that activity and site.

    The major obligating documents required for a Coopera-
tive Agreement are generally the same regardless of whether
the agreement covers one or more sites.   MSCA obligating
document will display a separate account number for each
NPL site and activity included in the MSCA.  As with a
single-site Cooperative Agreement, the transfer of funds
between sites or activities within an MSCA requires that an
amendment be negotiated and approved.  This is not neces-
sary for pre-remedial activities, which are not obligated
on a site-specific basis.  Exhibits N-2 and N-3, on the
following pages, respectively display sample award docu-
ments for a single-site award and a multi-site award.

    When MSCA funds under a specific activity at a given
site have been exhausted but the activity has not been com-
pleted, the recipient may not draw down from another activ-
ity's or another site's account without amending the agree-
ment.  Permission can be obtained through the following
procedure :

         The State writes a letter to the EPA RPM request-
         ing and justifying the change.

         If the RPM agrees with the State's request, he/she
         initiates the preparation of an Cooperative Agree-
         ment amendment.  The Regional grants office pre-
         pares an assistance amendment (EPA Form 5700-20B)
         for the Award Official's signature.   The amendment
         award is sent to the State, which signs the amend-
         ment and returns it to the Award Official for
         processing.

         Within approximately 10 days of receipt of the
         signed copy of EPA Form 5700-20B, the recipient
         may draw down funds.

This will be reported in FMS as a transfer and will not
require recertification of funds to the allowance holder.
Exhibits N-4 and N-5, following Exhibit 3, respectively
display sample single-site and multi-site award transfer
documents.  It should be noted that all fund transfers  in
all single-site Cooperative Agreements and MSCAs must be
consistent with the Region's SCAP.  Should a transfer re-
quire SCAP adjustments or amendments, these must be made
before the amendment is executed.  Should a transfer re-
quire a site-specific or activity-specific allowance re-
programming, this, too, must be made prior to the transfer.
                            N-4

-------
                                                                               9375.1-4-n
                                         EXHIBIT  N-2

                                  SINGLE-SITE  AWARD
             U.S. ENVIRONMENTAL?  JTECTION AGENCY
            EPA ASSISTANCE AGREEMENT/AMENDMENT
            PART I • ASSISTANCE NOTIFICATION INFORMATION
                                                             . AS*'5TANCE IO NO.
                                                             V   -6458-01-6
                                                            3. D«TG Of AW A ft
                                                            November  27.
                                                                            1985J
                                                           2. LOO MUMV
                                                             SIX-V-2
                                                           4. MAILINQ OATI
                                                            Dec enter 4, 1985
%. AGREEMENT TYPI
                                   6.
                                     I AO.»nc.     D |
                                                                     L«W of e,-»..68-13-06Q7
                      NO. 0
                                  S>«nd Pay
                                    N/A
                                              7. Tvf I Or ACTION
                                                Augmentation  (Increase)
  «. RECIPIENT
  Texas  Water Commission
  P.O. Box 13087. Capitol Station
  Austin.  Texas  78711
  (IN NO.
   74-6022053-A1
                         10th
                                                9 PAYEE
                                                Texas Water Commission
                                                ATTN:  M. J. HODGES,  CHIEF. FISCAL,SERVICES
                                                P.O. Box 13087. Capitol  Station
                                                Austin. Texas  78711
                                                512/475-3929	
                                                  10. RECIPIENT TVPE
                             State
  I*. VROJECT MANAGER AND TELEPHONE NO.
  Bryan W'.  Dlxon, Director
  Hazardous and Solid Waste Division
  512/475-6371
                                                12. CONSULTANT IWWT Comtructlon Cr«U Oflyl
                                                 N/A
  13. ISSUING O'FICE iClty/Sttm
  Management Devlslon (6M-RG)
  Environmental  Protection Agency,  Region 6
  1201 Elm  Street, InterFlrst Two Building
  Dallas, Texas   75270
  Marilyn Owen,  Grant Specialist 214/767-2652
  19 EPA CONdRCSSIONAL LIAISCN & TEL. NO.
  Pat  GasMns (202) 382-5184
                                                14. EPA PROJECT/STATE OFFICER AND TELEPHONE NO.
                                                 Carlene Chambers  (214)  767-9743
                                                 Hazardous Waste  Management Division (6H-SS)
                                                 Environmental Protection Agency. Region  6
                                                 1201 Elm Street. InterFlrst Two Building
                                                 Dallas. Texas  75270
                                    16. STATE APPL I
                                    N/A
                                        17. FlFLO OF SCIENCE

                                           99
                                                                             !(. PHOJtCT tTEPfWlrT CO
                                                                                     N/A
I*. STATUTOBY AUTHORITY
  Public  Law 96-510
                                  30. REGULATORY AUTHORITY
                                    40 CFR
                                      Parts  30  & 33
                                                             21. STEP 1*3* STEP 3 IWWT CwuMitrfcui Ootrl
                                                                 tm*nt Proc««
                                                             e siud»i Odlfn
                                                                                          NTrf
                                                                                          NT*
                                                                                          N/A
                                                                                         N/A
II. PROJECT TITLE AND DESCRIPTION
                            UNITED CREOSOTING COMPANY  SITE
                        REMEDIAL INVESTIGATION AND  FEASIBILITY STUDY
                                   33. PROJECT LOCATION IA>rmt Impcclrd 6y Fro/ICO
c"tonroe
                                      County
                                            Montgomery
                                                                Si*t«
                                                                 TX
                                                    CongrvukHMl Olnrtei
                                                     6th
J< ASSISTANCE PROGRAMfCFDA f-Vfrom No t Till,I
I ASSISTA
 66-802
          Superfund
                 35 PBOJf CT PERIOD
                  4/19/84 - 9/14/86
                                                                 26 BUDGET PERIOD
                                                                   4/19/84 - 9/14/86
17. COMMUNITY POPULATION (WUTCC
                                                                 39. TOTAL PROJECT PERIOD COtT
                                                                   $1,090.000
                              FORMER AWARD
                                                        THIS ACTION
                                                                                AMENDED TOTAL
                         $910,000
                                                  $180.000
                                                     SI.090,000
31. EPA In-Kind Amount
                                                         -0-
                                                                                  -0-
                                                         -0-
                                                                                -0-
                                                         -0-
                                                                                -Q-
3« R«cini«ni ConifiByllon
                               -0-
                                                       -0-
                                                                                  -0-
                               -0-
 >. LQ*>I Co
                               -0-
                               -0-
                         '$910,000
                                                  $180.000
                                                                            MO.nnn
   TFAY9A
              86
68/20X8145
                                  Doc Control No.
                                 LSB100
 Account Number

PSFA06LLS5
                                                                   Ob|«ci CUM
41.85
Oblloitlon/Dtoellt. Am»um

  $180,000
 E*4 F«nnSTOO-20A (KM. S-UIRlOI*u>p>rv.ou
-------
                   Exhibit N-2  (continued)
                       SINGLE-SITE AWARD
                                                   9375.1-4-n
PART ((.APPROVED §uoc ASSISTANCE IOEI
TABLE A - OBJECT CLASS CATEGORY
frVon— contrmchoa)
1. PERSONNEL
1. FRINGE BENEFITS
S. TRAVEL
«. EQUIPMENT
. SUPPLIES
. CONTRACTUAL
. CONSTRUCTION
. OTHER
. TOTAL DIRECT CHARGES
It. INDIRECT COSTS: RATE BO. 82* BASE $35, IS?
II TOTAL fShtr*: fftc/prtnf % Ff4trtf *Uv jy

u TOTAL APPROVED ASSISTANCE AMOUNT REMEDIAL INVESTIGATION
TABLE • - PROGRAM ELEMENT CLASSIFICATION
ffton—coru (ruction)
'• PRESAMPLING ACTIVITIES
>• ENVIRONMENTAL SAMPLING
«. Rr-POHTS -
«• ADMINISTRATION
s.
«.
T.
t.
>.
It.
11.
It. TOTAL (Shirt: ftecipiMi) 	 Q 	 %. F*d.»l_lPJL_KJ
IS. TOTAL APPROVED ASSISTANCE AMOUNT REMEDIAL INVESTIGATION
TABLE C - PROGRAM ELEMENT CLASSIFICATION
(C on • true t Jon)
1. ADMINISTRATION EXPENSE
I. PRELIMINARY EXPENSE
1. LAND STRUCTURES. RIGHT-OF-trAY
t. ARCHITECTURAL ENGINEERING BASIC FEES
S. OTHER ARCHITECTURAL ENGINEERING FEES
S. PROJECT INSPECTION FEES
7. LAND DEVELOPMENT
1. RELOCATION EXPENSES
«. RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
10. DEMOLITION AND REMOVAL
11. CONSTRUCTION AND PROJECT IMPROVEMENT
IS. EQUIPMENT
11. MISCELLANEOUS
U. TOTAL fl»n»« 1 thn IS)
IS. ESTIMATED INCOME (t/ «*»lle«H.)
IS. NET PROJECT AMOUNT (L«n« 14 mlna* 11)
It LESS'. INELIGIBLE EXCLUSIONS
IS. ADO: CONTINGENCIES
is. TOTAL fSh»r»: Rtcifitnl % Ftdtrtl 	 %)
M. TOTAL APPROVED ASSISTANCE AMOUNT

w^:wwtfa»M
$ 35.531
7.662
6.720
-0-
162
865 .200
-0.
250 *
toii; *K
17.864

$933,389
t 933,389

$ 20.000
820.200
25rOOO
68.189







$933.389
j 933,389





N/A














t
EPA P.— $700-30* («... «.7t)
                                                         P^OI I OF
                                  N-6

-------
                                                         9375.1-4-n
                     Exhibit  N-2  (continued)
                         SINGLE-SITE AWARD
       »A«T II-APPROVEO Buor
                                     _ASSI1TANCE IOB  ^'ICATION NO.
                                                          V-006458-01-6
TACLC A . OBJECT CLASS CATEGORY
(fton-conltniction)
t. PERSONNEL
L FRINGE iENEFITi
1. TRAVEL
«. EQUIPMENT
1. SUPPLIES
«. CONTRACTUAL
7. COHITIIUCTION
1. OTHER
*. TOTAL DIRECT CHARGES
10. INDIRECT COSTS: RATE 50.82*BASl J16.462
II TOTAL (**«••• Bfriptrnl ?.„_''- *•••*•»•! 100 T(^

it .TOTAL APPROVED ASSISTANCE AMOUNT FEASIBILITY STUDY
TABLE 8 - PROGRAM ELEMENT CLASSIFICATION
Cfl/on— contfrucfionj
i. FEASIBILITY ANALYSES AND REPORT
i. ADMIN 1 51 RAH UN
i.
«.
t.
•.
T.
1.
».
to.
11.
it TOTAL (Slur.. Recipi.nl 	 P_* '"• — ' 100 •,}
i«. TOTAL APPROVED ASSISTANCE AMOUNT FEASIBILITY STUDY
TABLE C - PROCRAM ELEMENT CLASSIFICATION
(ConitnKtlon)
1. AOMIN1STRATION EXPENSE

1. LAND STRUCTURES. RICMT-Or-WAV
4. ARCHITECTURAL ENGINEERING CASIC rEEl
S. OTHER ARCHITECTURAL ENGINEERING 'III
t. PROJECT INSPECTION FEES
T. LAND DEVELOPMENT
t. RELOCATION EXPENSES
». RELOCATION PAYMENTS TO INDIVIDUALS AND BUSINESSES
10. DEMOLITION AND REMOVAL
II. CONSTRUCTION AND PROJECT IMPROVEMENT
IX. EQUIPMENT
II. MISCELLANEOUS
14. TOTAL «.">•• 1 "mi 111
IS. ESTIMATED INCOME (If tppllc.bl.)
1«. NET PROJECT AMOUNT ft In. 14 mlnvt ID
It LEU: INELIGIBLE EXCLUSIONS
It. ADO: CONTINGENCIES


10. TOTAL APPROVED ASSISTANCE AMOUNT
TOT*fcitt«Wf*#VKT«-«
J 16,88b
3,675
2.335
-0-
100
125,000
-0-
250
$143.245
8 366
$156,611
$ 156.611

$125,000
31,611









$156.611
f 156.611



N/A
















s
EPA
     5700-JOA («... l-7t)
                                                                    3 of 4
                                     N-7

-------
                                                                                9375.1-4-n
                         Exhibit  N-2  (continued)

                               SINGLE-SITE  AWARD
                                                                              V-006458-01-6
                                                 ASSISTANCE IOENTI
k. SPCCIAL CONDITIONS fC«KI—I—(»
 Except as  provided  herein, the  terms and conditions of the  Initial Assistance
 Agreement  dated March 28, 1984, as amended, remain  1n full  force and  effect.
 The Remedial  Investigation and  Feasibility Study  Phase Is 100% Federally funded.
 The project 1s extended to 9/14/86.
  APPROPRIATION

   68/20X8145
   68/20X8145
   68/20X8145
   68/20X8145
 DCN

E2J028
R00115
R00128
LSB100
ACCOUNT  NO.

4TFA726L55
5TFA06LL55
5TFA06LL55
PSFA06LL55
OBJECT  CUSS

   41.85
   41.85
   41.85
   41.85
  AMOUNT
  ^^^~^^ »

$  430.000
   105,000
   375,000
   180.000
$1,090,000
                                              PART IV
NOTE:  The Agreement must be completed in duplicate and the Original returned to the Grants Administration
  Division for Headquarters awards and to the appropriate Grants Administrations Office for State and local
  •wards within 3 calendar weeks after receipt or within any extension of time as may be (ranted by EPA.

  Receipt of • written refusal or failure to return the properly executed document within the prescribed tUse, may
  result in the withdrawal of the offer by the Agency.  Any change to the Agreement by the recipient subsequent
  to the document beir.g signed  by the EPA Award Official which the Award Official determines to materially
  alter the Agreement shall void the Agreement.
                                       OFFER AND ACCEPTANCE
The United States of America, acting bv and through the U.S. Environmental Protection Agency (EPA), hereby offers

assistance/amendment to the   Texas Water Commission	
for 100	f, of aii approved costs incurred up to and not exceeding tl .090.000
                                                                      AtiltTANCC AMOUNT
 for the support of approved budget period effort described in application (including all application aodilicationt)

   United CreOSOtlng 2/23/84, 2/21/85. 6/4/85.  4 10/15/85	 included herein by reference.
                                 LL.
        ISSUING OFFICE (Ctitnlt Administration Ottict)
                                                                AWARD APPROVAL OFFICE
      zATioN/ADDRESS
Management Division (6M-RG)
Environmental  Protection  Agency, Region 6
1201  Elm Street, InterFlrst Two Building
Dallas, Texas   75270
                           ORGANIZATION/ADDRESS
                           Hazardous Waste Management  Division  (6H-SS)
                           Environmental Protection Agency, Region 6
                           1201 Elm Street,  InterFlrst Two Building
                           Dallas,  Texas  75270
               THE UNITED STATES OF AMERICA BV THE U.S. ENVIRONMENTAL PROTECTION AOCNCV
       Rt OF AWARD O>
                     "o T.TLI D1ck  whlttlngton,  P.E.
                            Rpfll on/il  AHrni nl CT" f Atn v
                                                                                  DATI
                                                                                 November 27, 1985
This Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and suittinc*
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned
represents that he is duly authorized to act on behalf of the recipient organization, and (2, the recipient agrees
(a) that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the previsions
of this ajreement (Parts I thru IV), and (b) that acceptance of any payments constitutes sn agreement by the payee
that the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to EPA.
                        BY AHD ON BEHALF OF THE DESIGNATED RECIPIENT ORCAMIIATIQH
 SIONATUni
    ••>• HOO-IM (*•». i-;
                                  TYPED NAME AND TITCt
                                     Larry R. Soward,-Executive Director
                                                                                           PAGE « OF 4
                                                      N-8

-------
                            Exhibit  N-2  (continued)

                                  SINGLE-SITE  AWARD
                                                                               9375.1-4-n
                                        COMMITMENT NOTICE
 NOTE: Preparation and approval of this form doat not conatitute «a obligation of money. Tit* aee of thla fonn it intended to (utraatee
 availability of money by reeervint it for certain typea of tpeclfied tranaactiona.
THIS COMMITMENT TRANSACTION IN THE AMOUNT OF l_



  tHANT 0»"-a.'V006458     >    n«»U«CMAI
                                           180,000
                                          ""OL« DOLLAlia
                                                       I~|A CONTRACT
           OF »KOJCCT. OOO01. OK UHVICO
 United Creosoting Remedial Investigation/Feasibility Studies
 Conroe, TX
 MAMC or GMANTIC/CONTMACTOH^VCNDOK
   Texas Water Commission
                                                                          tMPLOTCR tDCMT. NO. i
 »»ICIAL COMHINTS OK INHKUCTIOMI
 When awarded,  these committed  funds will increase an existing  grant.   The initial  award
 was made in  FY 84.
                       ALLQWAMCI MOtOEH A'PHOVAH rOnle*,t, ,i «l»ei»llji tl Alli
 »LLO«ANC« MOLOCH TITLI
                        Suoerfund  Program Branch.  Region VI
                                           STAPP APPROVALS
                'os, uhrief. State  Programs Sec.
                                                    H/13/8S
                       767-9739
                      ief, Superfund Program Br.
                                                                          767-9736
                  .  Director.
                                                                          767-2730
 • t»»0«H»CUITT CCNTIM TITLE
                        Superfund  Program Branch,  Region VI
                                         PUNOt CIP.TIPICATIOM
                                                                     A>»KOVID IV
 aiBNATi
   Bon
                      ipr,  State Programs  Sec.
                                                  1I1NATUIII
Dick Whittington, Regional  Administrator
                                      fttSFOMSIIILITY CIMTEP. USI ONLT
 Coatnct negotiator la r~1 la not ["xl •athoriied to eiceeij anoont abown abora by op to 10% without aecvrlnc fnrther approval for
 THI AMOUNT OF MONCY I MOWN II:
                                   DAN IHCRCAtt TO A
                                	»m»IOUl COfrM'TMIMT
                                                                r~]A DBCNKAtl TO A
            FINANCIAL DATA rs*>* f
                                tion* an »***r«» k*/or» ttuint owo
                                 DOCUMCNT
                                                                  OftJKCT
                                                                  CL »••
                                                                               OObkA* AMOUNT
                               A.S
IPA Fern 2J30-t IB... 4-74)
                                      r-ntvieui IDITION i
                                                   N-9

-------
                                                                               9375.1-4-n
                                       Exhibit  N-3

                                       MSCA  AWARD
              US INVIRONMENTAL PROTECTION AGENCY
            EPA ASSISTANCE AGREEMENT/AMENDMENT
           f ART I - ASSISTANCE NOTIFICATION INFORMATION
                                              V-006461-01-6
                                             3. DATE Or AWARD

                                             November 27.1985
                                                                              a. too NVJWI
                                                                               SIX-V-l
                                                                              4. MAILING OATC

                                                                               December 4,  1985
                                    6. PA V ME NT METHOD
                                                                         nl Cimait fifi-l
Qr»nt
A»i«*nc« Amvndmwtt
                       No.  1
                   Send P«vm«m Return t To:

                       N/A
                                                                  7. TYPE Of ACTION

                                                                   Revision (Increase)
  t. RECIPIENT
  Texas Water Commission
  P.O.  Box 13087, Capitol  Station
  Austin, Texas  78711
  EIN NO.

 ,  74-6022053 Al
                    "I CONOR

                    J	10
  •SIIjRQJECT MANAGER AND TELEPHONE NO.
   Charles R. Faulds, Chief
   Superfund Section
   Hazardous and Solid  Waste Division
   (512) 475-7785	
                                  Texas Water  Commission
                                  ATTN:  M. J. HODGES, CHIEF, FISCAL» SERVICES
                                  P.O. Box 13087,  Capitol Station
                                  Austin, Texas   78711
                                  (512) 475-3929	
                                 10. RECIP.CNT TYPE

                                  State government
                                 12. CONSULTANT (U'WT Corulnicfiori Grout, Only)

                                   N/A
13. ISSUING OFFICE ICtti/Suttl
 Management Division  (6M-RG)
 Environmental Protection Agency, Region  VI
 1201 Elm Street
 Dallas, Texas  75270
   Elly.P_0wsru_G.rants_S_2§c 1a11st 214/767-2652
                                                  14. EPA PROJECT/STATE OFFICER AND TELEPHONE NO.
                                                   Carlene Chambers,  Project Officer  (6H-SS)
                                                   Environmental Protection Agency, Region VI
                                                   1201 Elm Street
                                                   Dallas, Texas   75270
  15 EPA CONGP.LSS.ONAL LIAISON & TEL. NO.

   Pat Gasklns (202)  382-5184
t». STATUTOSV AUTHORITY
   P.L. 96-510
                                                   FTS (8) 729-9743
                                    16. STATE AP'L ID
                      TX850129005250
                    ;0. REGULATORY AUTHORITY

                      40 CFR Parts 30  4  33
                                                          CML  L214J 767-9743
                                                             IT. FIELD OF SCIENCE
                                                              99
                                                                             IB. PROJECT STiPOTUT CO
                                                               Onltl
                                                  N/A
                                                             31. STEP 2 • 3 & STEP 1 (W9T Coxttrvcllo* Only)
                                                              . Tr««tm«nt L*v>)
                                                             b. P'0|«ct Typ«
                                                                    Onlgn
                                                                                         N/A
                                                                                           N/A
                                                                                           N/A
                                                                                           N/A
11. PROJECT TITLE AND DESCRIPTION
                                 SUPERFUND MULTI-SITE PROJECT
   Forward Planning,  Remedial Investigation/Feasibility Study,  Management Assistance & Prelim.
   Assessments/Site  Inspections:  (1) Pesses,  (2) Crystal City, (3) Stewco,  (4)  Brio Refining,
   (5) Bailey,  (6) Sol  Lynn, (7) Petro-Chemlcal, (8) Odessa Chromium I, (9) Odessa  Chromlun II,
   (10) MOT CO.  (11)  N.  Cavalcade. (12)  S. Cavalcade. (131 Koppers  tui FPPis  «;l*ne«
                                                                           -0-
 33. OtH«r PadvrM Fund*
                                                    -0-
 34. H«Cipi«nt Coniributlon
                          -0-
                                    -0-
 3ft. Sut* Contribution
                          -0-
                                    -0-
                                                                           -0.
 3*. Local Contfibuiton
                          -0-
                                                                           -=Q=_
 3J .'lt
       Co'i'iBution
                          -0-
                                    -0-
                                                                           -0.
     QMrtjIC ProiKt Colt
                          $5.891.084
                                   $200.000
                                                                           _$fi OP1  DRd
    TFAY9A
    TFAY9A
 FY

86
86
                    68/20X8145
                    68/20X8145
DOC Control NO

LSB102
LSB103
Account Nwnb*r

PSFA06LL76
PSFA06LL82
41.85
41.85
$100,000
$100.000
 Ł•« FomtS70O-2OA IR*>. S-KI RtoKcmprr^outM.iioritilEPA FormiSTOO tA.O. C.tnaO. (Hot »r.ich(r«o
-------
                         Exhibit  N-3   (continued)
                                 MSCA AWARD
                                                                    9375.1-4-n
                  U.I. ENVIRONMENTAL >KOTfCnON AQCNCY
              ASSISTANCE AGREEMENT/AMENDMENT
                      CONTINUATION SHEET
                                                                AUIITAHCI I.O. HO.
                                                    V-006461-01-6
 PERSONNEL
 FRINGE BENEFITS
 YRAVEI
 EQUIPICNT
 SUPPLIES
 CONTRACTUAL
 CONSTRUCTION
 OTHER
 TOTAL DIRECT
 INDIRECT
 TOTAL
Forward
Planning
$140,498
  30,020
  17,600
      0
   1,350
      0
      0
   5.732
$195,200
  74,800
                           OBJECT  CLASS/PROGRAM ELEMENT BUDGETS
     PA/SI
    65,884
    14,079
    18,550
        0
     8,550
   932,545
        0
    16,400
$1,056,008
    35.076
$270,000    $1,091,084
  Mgmt.
 Advance
$23,499
  5,022
  8,000
      0
    254
      0
      0
  1.514
$38,289
 12,511
$50,800
    RI/FS
$  215,821
    46,122
    48,650
     3,450
    14,150
 3,209,489
        0
    26,616
$3,564,298
   114.902
   Remedial
    Design
   48,813
   10,431
    5,200
    5,000
      500
   880,000
        0
   24.068
$  974.012
   25.988
$  494,515
   105,674
    98,000
     8,450
    24,804
 5,022.034
         0
    74.330
$5.827,807
   263.277
                      $3,679,200   $1,000,000   $6,091,084
CONTINUATION SHEET FOR EPA FORMS 5700-20A t 5700-B
                                                  Pagt
                                                                          of
                                          N-ll

-------
                                                     9375.1-4-n
                   Exhibit  N-3  (continued)
                        MSCA AWARD
U.I. ENVIRONMENTAL MOTfCTION AOCNCV
ASSISTANCE AGREEMENT/AMENDMENT
CONTINUATION SHEET
TEXAS MULTI-SITE PROJECT (OBJECT
PROGRAM
SITE ELEMENT APPRORIATION
1 TFAY9A 68/20X8145
2 TFAY9A 68/20X8145
2 TFAY9A 68/20X8145
3 TFAY9A 68/20X8145
4 TFAY9A 68/20X8145
4 TFAY9A 68/20X8145
5 TFAY9A 68/20X8145
5 TFAY9A 68/20X8145
6 TFAY9A 68/20X8145
6 TFAY9A 68/20X8145
7 TFAY9A 68/20X8145
8 TFAY9A . 68/20X8145
8 TFAY9A 68/20X8145
8 TFAY9A 68/20X8145
8 TFAY9A 68/20X8145
8 TFAY9A 68/20X8145
9 TFAY9A 68/20X8145
9 TFAY9A 68/20X8145
9 TFAY9A 68/20X8145
9 TFAY9A 68/20X8145
9 TFAY9A 68X20X8145
10 TFAY9A 68/20X8145
10 TFAY9A 68/20X8145
11 TFAY9A 68/20X8145
12 ' TFAY9A 68/20X8145
13 TFAY9A 68/20X8145
14 TFAY9A 68/20X8145

SITE
1 Pesses
2 Crystal City
3 Stewco
4 Brio Refining
5 Bailey Dump Site
6 Sol Lynn
7 Petro-Chemlcal Systems
8 Odessa Chromium I
9 Odessa Chromium II
10 MOTCO
11 North Cavalcade
12 South Cavalcade
13 Koppers
14 ERRIS Sites (New 12/84)
CLASS

DCN
E2J063
E2J062
E2J055
E2J059
E2J055
E2J055
E2J061
R00106
E2J060
E2J055
E2J058
E2J056
E2J056
E2J056
LSB103
LSB103
E2J057
E2J057
E2J057
LSB102
LSB102
R00103
R00113
R00100
R00101
R00102
R00107

41.85)

ACCOUNT NO
4TFA726L47
4TFA726L60
4TFA726L60
4TFA726L66
4TFA726L71
4TFA726L71
4TFA726L77
5TFA06LL77
4TFA726L80
4TFA726L80
4TFA726L81
4TFA726L82
4TFA726L82
4TFA726L82
PSFA06LL82
PSFA06LL82
4TFAY26L76
4TFAY26L76
4TFAY26L76
PSFA06LL76
PSFA06LL76
5TFA06LL02
5TFA06LN02
5TFA06LL78
5TFA06LL56
5TFA06LL79
5TFA06LJZZ

AUIlTAUCt I.D. HO.
V -00646 1-01-6


PHASE AMOUNT
FP $ 30,000
FP 30,000
RI/FS 700,000
FP 30,000
FP 30,000
MA 20 ,800
FP 30,000
RI/FS 840,000
FP 30,000
RI/FS 319,200
FP & RI/FS 650,000
FP 30,000
RI 381,511
FS 118,489
RI 64.203
FS 35,797
FP 30,000
RI 375.949
FS 124.051
RI 64,203
FS 35,797
MA 9.050
RD 1,000,000
MA 5,950
MA 5 ,950
MA 9,050
PA/SI 1,091,084
$6,091,084
PHASES














FP »

MA =•

RO =

PA/SI =


RI/FS -




Forward Planning

Management Assistance

Rededlal Design

Preliminary Assessment/
Site Investigation

Remedial Investigation/
Feasibility Study



CONTINUATION SHEET FOR EPA FORMS 5700-20A Ł 5700-B
                                                    Pag* 3   of 4
                                  N-12

-------
                                                                                   9375. 1-4-n
                               Exhibit  N-3   (continued)

                                         MSCA  AWARD
                                                   ASSISTANCE IDENTIFICATION NO..
                                                                                  V-006461-01-6
 k. »*(CIAL CONDITIONS fC«nllno«*J
    EXCEPT AS PROVIDED HEREIN, ALL TERMS AND  CONDITIONS OF THE BASIC  ASSISTANCE AGREEMENT/
    AMENDMENT (INCLUDING PRIOR AMENDMENTS)  REMAIN UNCHANGED  AND IN  FULL FORCE AND EFFECT.
                                                PART IV
NOTE:  The Agreement must be completed in duplicate and the Original returned to the Grants Administration
  Division (or Headquarters awards and to the appropriate Grants Administrations Office (or State and local
  awards within 3 calendar weeks after receipt or within any extension of time as may be (ranted by EPA.

  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 recipient subsequent
  to the document being signed by the EPA Award Official which the Award Official determines to materially
  •her the Agreement shall void the Agreement.
                                        OFFER AND ACCEPTANCE
The United Slates of America, ectine by and through the U.S. Environmental Protection Agency (EPA), hereby often

assistance/amendment to the     Texas Water Commission	;	
In, 100	ft of all approved costs incurred up to and not exceeding i  6.091.084
 for the support of approved budget period effort described in application (including all application modilications)
    MuUT-Slte Forward PTannlng/RI/FS/MGMT.  ASST.  & PA/SI  (10/24/85 )nij,     "         '
                                        TITLE
        ISSUING OFFICE (Granti Administration Off/ca)
                                                                  AWARD APPROVAL OFFICE
ORGANIZATION/ADDRESS
Environmental  Protection Agency,  Region 6
Management Division  (6M-RG)
1201  Elm Street
Dallas, Texas  75270
ORGANIZATION/ADDRESS
Environmental  Protection Agency,  Region 6
Hazardous Waste Management  Division (6H-SS)
1201  Elm Street
Dallas. Texas   75270
                T_H6 UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY
                                             ND TiTte   Djck whlttlngton,  P.E.
                                                      Regional  AdmnUtratni.
                                DATE
                               November 27.  1985
This Agreement i* subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations. In accepting this award or amendment and any payments made pursuant thereto, (1) the undersigned
represents that he is duly authorized to act on behalf of the recipient organisation, and (2, the recipient agrees
(a) that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the provisions
of this agreement (Parts I thru IV), and (b) that  acceptance of any payment* constitutes an agreement by the payee
that the amounts, if any found by EPA to have been overpaid will.be refunded or credited in full to EPA.
                        BY AND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE
TTPtO NAME AND TITLE
Larry R. Soward,
Fiefcutlve Dlrprtnr
DATE
C?A '•— J70C-10A (»... 1-7
                                                                                             RASE 4OF 4
                                                     N-13

-------
                                                                               9375.1-4-n
                                      EXHIBIT  N-4

                               SINGLE-SITE  TRANSFER
             U.I. ENVIRONMENTAL PROTECTION AGENCY
           EPA ASSISTANCE AGREEMENT/AMENDMENT
           PART I • ASSISTANCE NOTIFICATION INFORMATION
                                             1. AMI   NCC ID NO.
                                               V-0064S8-01-4
                                             1. DAT* Ot AWARD
                                               June  27.  1985
                                                            a. LOO NUMMR
                                                             SIX-V-17
                                                            4. MAILING DATE
                                                             July 5.  1985
                                    6. PAVMENT METHOD
                                                                   CD
                       No.  4
               S«nO P«ym«nt R*QUMI To:

                    N/A
                                                   J. TYPE OF ACTION

                                                      Auomentatlon  (Increase)
 I. RECIPIENT
  Texas  Department of Water Resources
  Solid  Waste ft Spill Response
  P.O. Box 13087, Capitol  Station
  Austin,  Texas  78711
 EINNO.

  74-6Q22Q53-A1
                           IQth
                                  Texas Department of Water Resources
                                  ATTN:  M. J. HODGES, CHIEF. FISCAL-SERVICES
                                  P.O.  Box 13087. Capitol Station  •
                                  Austin, Texas  78711
                                  512/475-3929	
                                 10. RECIPIENT TYPE

                                   State
 M. PROJECT MANAGER AND TELEPHONE NO
  Bryan  W. D1xon, Chief
  Solid  Waste and Spill  Response Section
  512/475-6371
                                  12. CONSULTANT (WWT Construction Grmntt Ontyt

                                   N/A
  1J ISSUING OFFICE ICity/StoUl
  Management Division  (6M-GC)
  Environmental Protection Agency, Region 6
  1201  Elm Street,  InterFlrst Two Building
  Dallas, Texas 75270
  Marilyn teen. Grant  SneHaH Owlm
                                                                       H/A
                                                                                           N/A
                                                                                           N/A
                                                                                           N/A
». PROJECT TITLE AND DESCRIPTION
                               UNITED CREOSOTING COMPANY  SJTE
                         REMEDIAL INVESTIGATION AND FEASIBILITY STUDY
                                   21. PROJECT LOCATION Mrru /mporlfd 6>
                                                                  Stit*

                                                                    TX
                                                           6th
14. ASSISTANCE PROGRAMiO'D.4 I'roimm No t Titlil

   fifi.flfl? ^unprfund	
                      25. PROJECT PERIOD
                                -  Q/id/flfi
                                             2e BUDGET PERIOD
                                                          - am/as
2>. COMMUNITY POPULATION iti'UT C<;
  Onlvl
      U/i
               28 TOTAL BUDGET PERIOD COST

                   Mlf) 000	
                                               . TOTAL PROJECT PERIOD COST
                                                     tgin.nnn	
                              FORMER AWARD
                                                        THIS ACTION
                                                                                AMENDED TOTAL
30. EPA Amount Thii Action
                                                                              oin.non
31. EPA In-Kind Amount
                                -0-
                                                           -0-
                                                                  -0-
33. Un*acp*nd*0 PriorV«r B«'anc*
                                                           -0.
                                                                  -Q.
                                                           -0-
                                                                                  -0.
34. RtciOitnt ConifiDution
                                -0.
                                                           -0.
                                                                                  .0-
39.
     « Coninbufon
                                                           JL_
3ft LOCH Cont'ibutton
                                                                                  j]u
                                                           .Q.
                                                                                  -0-
38 AIIOi«MK nnn
                                                                            t oin nnn
    TFAY9A
85
68/20X8145
R00128
                                                 5TFA06LL55
                                                   OD|«ci Ci>n


                                                   41.85
ODIi9«lion/O«ODl'|. Amount


 $375.000
EFA Fom
-------
                                                      9375.1-4-n
                    EXHIBIT  N-4  (continued)
                     SINGLE-SITE  TRANSFER
    *ART II.APPROVED IUDCI
                                   ASSISTANCE IOEN-
                                               CATION NO.
                                                       V-006458-01-4
TABLE A . OBJECT CLASS CATEGORY
Won— centtniclion)
1. PERSONNEL
a. FRINGE IENEFITS
1. TRAVEL
4. EQUIPMENT
S. SUPPLIES
1. CONTRACTUAL
7. CONSTRUCTION
1. OTHER
1. TOTAL DIRECT CHARGES
IB. INDIRECT COSTS: RATE * t CASE VaHOUS S A
., TOTAL (•!*.»• Rmclpl.., 0% f^..m, 100

12. TOTAL APPROVED ASSISTANCE AMOUNT
W
* 48.32S
53.24%
50.822
TABLE B - PROGRAM ELEMENT CLASSIFICATION
(Non-canitniction)
'• Oa«ai11«l TnuecHnatlnn iRH
'• F»»e• H mtmu II)
IX LESS: INELIGIBLE EXCLUSIONS
11. ADD: CONTINGENCIES
11. TOTAL (Sinn: Ktcifriml 1*. ftdtnl 	 %J
20. TOTAL APPROVED ASSISTANCE AMOUNT
TOTAL APPROVED ALLOWABLE
R[ iuDGET PERIOD COSTyS
S 35.531
7.662
6.720
S 16.885
3.675
2.335
_n_ _n.
162
685.200
-0-
250
J 735,525
17.864
t 753.389
> 753,389
100
125.000
. .0.
250
l4y,2<5
B.Job
156.611
156,611

$ 753,389
156.611










t 910.000




















s
f •« S700-20A (ft**. 1-71)
                                                             'AGE I 0^ 4
                                                                   '/ 3
                                   N-15

-------
                                                                                9375.1-4-n
                              EXHIBIT  N-4  (continued)

                                SINGLE-SITE  TRANSFER
                                                                             V-006458-01-4
                                                 ASSISTANCE IDCNTIFI   ION NO.
k. (VICIAL COMOITlOXt r
      Terms and  conditions of the  Initial award of March 28, 1984,  as amended,
      remain  In  full force and effect.  The  remedial  Investigation  and Feasibility
      Study Phase 1s 100% Federally funded.   The project period  Is  extended to
      9/14/86.
      APPROPRIATION

       68/20X8145
       68/20X8145
       68/20X8145
                             DCN

                            E2J028
                            R00115
                            R00128
ACCOUNT NUMBER

 4TFA726L55
 5TFA06LL55
 5TFA06LL55
 0/C

41.83
41.85
41.85
 AMOUNT

$430,000
 105.000
 375.000

$910.000
                                              pART iv
NOTE:  The Agreement must be completed in duplicate and the Original returned to the Gr»nt» Administration
  Division for Headquarters awards and to the appropriate Grants Administrations Office for State sad local
  •wards within 3 calendar weeks after receipt or within any extension of tine as may be panted by EPA.

  Receipt of a written refusal or failure to return the properly executed document within the prescribed time, "ay
  remit in the withdrawal of the offer by the A|ency.  Any change to the Agreement by the recipient subsequent
                                                            rdOffici
  to the document being signed by the EPA Award Official which the Awa
  alter the Agreement shall void the Agreement.
                                                                icial determines to materially
                                       OFFER AND ACCEPTANCE
The United States of America, acting bv and through the U.S. Environmental Protection Agency (EPA), hereby offers

assistance/amendment to the      Texas Department of
for_10Q — % of all approved costs incurred up to and not exceeding S    910.000
 for the support of approved budget period effort described in application (including fit •pp/icaf/on fodilicftiont)

 United CreOSOtlnq  2/23/84 8  2/21/85 i 6/4/85 _ included herein by reference.
                                 Vt ariB
                                        Th
        ISSUING OFFICE (Crtnli Adminittrtnon Ollict)
                                                                AWARD APPROVAL OFFICE
OnaAMIIATION/ADOItCSl
                                                   OftOANIIATION/AOOKEIS
 Management Division (6M-GC)
 Environmental Protection Agency, Region 6
 1201 Elm Street,  InterFlrst  Two Building
 Dallas.  Texas  75270_	
                                                     Air A Haste  Management Division  (6AU-SS)
                                                     Environmental  Protection Agency. Region 6
                                                     1201 Elm Street, InterFlrst Two  Building
                                                     Dallas. Texas   75270
               THt UN/TED fy/ES OF AMERICA >Y T>it (J.I. ENVIRONMENTAL PROTECTION AOENCY
       Kf or »w»«o orrioiAL
       ^ywc i-  y   v
                                              ™i;  D1ck Hhlttlngton, P.E.
                                                     Regional Administrator
                                        DATS
                                        June  27. 1985
This Agreement is subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations.  In accepting thia award or amendment and any payments made pursuant thereto, (1) the undersigned
represents thst he is duly authorised to act on behalf of the recipient organiiation, and (2. the recipient agrees
(a) that the award is subject to the applicable provisions of 40 CFR Chapter I, Subchapter B and of the provisions
of this agree eent (Parts I thru IV), and (b) that acceptance of any payments constitutes an agreement by the payee
that the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to EPA.
                       »Y AMD OM BEHALF OF THE OEIICNATED RECIPIENT ORGANIZATION
                                  TTPIO NAUC AND TITLC

                                   Chariot F. Mom<.
       S7M-IOA («•••
                                                                                               3  Of 3
                                                    N-16

-------
                                                                   9375.1-4-n

                       EXHIBIT  N-4   (continued)

                        SINGLE-SITE  TRANSFER
                              Amendment No.  4

                      United Creosoting Company  Site
               Remedial Investigation and Feasibility  Study

                  Cooperative Agreement No.  V-006458-01-4
Through this  Amendment Application we seek to revise  and  augment the
Cooperative Agreement in the following ways:

     A.  Reprogram  $3,000 from the Supply category  to the Other
         category in the Remedial Investigation (RI)  program
         element, to allow payment of the project's proportional
         share  of the anticipated monthly use fee for leased
         word processing and computer equipment.

     B.  Increase the Contractual amount for the RI by $325,700.
         This will  cover the costs of additional field studies,
         as agreed  to by the EPA technical staff.   TDWR will not
         authorize  its consultant, Roy F. Weston, Inc., to  proceed
         with this  work until EPA concurs with the  final  proposed
         changes in the Scope of Services and cost  estimates that
         will be Incorporated 1n our contract with  Weston.

     C.  Increase the Personnel, Fringe Benefit, and  Indirect
         amounts for the RI by $10,655, $2,277 and  $5,673,
         respectively, to cover TOWR's costs 1n connection  with
         Item B. above.                                           '

     D.  Increase the Contractual amount for the Feasibility Study
         (FS) by $16.522.  This will cover the costs  of additional
         studies, to be agreed to by the EPA technical staff.
         TOUR will  not authorize Its consultant to  proceed  with
         this work  until EPA concurs with the final proposed changes
         In the Scope of Services and cost estimates  and  authorizes
         TOWR to proceed with the Feasibility Study phase of the work.

     E.  Increase the Personnel, Fringe Benefit, and  Indirect
         amounts for the FS by $7,974, $1,704 and $4,245,
         respectively, to cover TDWR's costs 1n connection  with
         Item D. above.  Additionally, budget $250  In the Other
         category of the FS to cover miscellaneous  allowable
         costs.

The total amounts of new funds requested for the program  are:

         Remedial  Investigation                 $344,305
         Feasibility Study                      $30,695
         Total  RI/FS                            $375,000
                                           N-17

-------
                                                                              9375.1-4-n
                                     EXHIBIT  N-5

                                    MSCA TRANSFER
                      U.t. ENVIRONMENTAL PROTECTION AG

                           ASSISTANCE AMENDMENT
                                  ('Optional!
                               erf mtrrucrions on rtvrrf)
                                             ASSISTANCE 1.3. NO.
                                                 V-006461-01-4
                                             AMENDMENT HO.

                                                      FOUR
 NOTT  Tit orifi
    Receipt of e written refueel, or failure to receive the properly executed document within the prescribed time will rveult ia the tef—
 Biaatiort of consideration of the Assistance Amendment by EPA.
                                      GENERAL INFORMATION
                               APPROPRIATION AND ACCOUNTING CATA
APPROPRIATION NUMBER
          68/20X8145
AiCOUKT NUMBER
           SEE PAGE  2
OBJECT CLASS COOt
            41.85
OMCRIPTION Or AUEN3WENT PURSUANT TO C»A ASSISTANCE «E 5UI. ATlON 40 CFR W.IOO "PROJECT CHANCtl AND ASSISTANCE MODIF-
ICATIONS" AND 40 CFR JO.tOO-1 "FORMAL ASSISTANCE AMENDMENTS " THE ABOVE NUMBERED ASSISTANCE A6ReIMv1» • •ME»D«.D A*
»OLLO«1:


     Funds  for the Texas Multi-Site Superfund Project are reprogrammed as  follows:

     Funds  programmed for Forward Planning and Remedial  Investigation/Feasibility at
     the Brio Site are reduced  by $1,040,000 and  reprogrammed:   $20,800  for Management
     Assistance at the Brio Site, $700,000 for Remedial  Investigation/Feasibility
     Study  at the Crystal City  Airport Site, and  $319,200 for Remedial Investigation/
     Feasibility Study at the Sol Lynn Site.

     A complete 11st of sites,  activity phases, and funds budgeted 1s shown on page 2
     of this Amendment.  The revised Object Class and Program Element budgets are
     shown  on page 3.

     The activities of the project  are 100S Federally funded.
     The award amount remains $5,891,084.
     EPA Project Officer:  Carlene Chambers  (214)  767-9743
            AMARO APPROVAL OFFICE
                                                                 ISSUING OFFICE
""Air**'waste Management Division (6AW-SS)
                                                 ORGANIZATION
                  Management Division  (6M-GC)
  Environmental  Protection Agency, Region 6
  1201  Elm Street
  Dallas.  Texas  75270	
                  Environmental Protection Agency, Region  6
                  1201 Elm Street
                  Dallas. Texas  75P70.	
                                      RECIPIENT OP
                                                 CANlZATlON
NAME

   Texas Water Commission
                  P.O.  Box 13087, Capitol  Station
                  Austin, Texas  78711
 Ef<~rpt *• provided herein alt rcrrr* and condi/ion- of thr bjxtc ts*t*tin>.-e Jfrrpmenf. incfutfrnf prior •mrndmtnfs. r»m*»n
 •nd in full force *nd effect »nd ?i6jec( fo all *op/(CJt>/e prjvinon* of 40 CFR Chapter /, Subp*rl B.
                             STATES QF *Mf-PlC* BY """E U.S. ENVtPONME NT A U PROTECTION AGENCY
         0' *«*PD OFr.cl*L
                    Bv AND ON
                                                         D1ck Whittington,  P.
                                                         Regional Adminlstrat
                                              ?*STept. 26, 1985
                                  •-F OF lft,e DESiSSATtO RECIPIENT ORGANIZATION
SIGNATURE
      TYPE; NAME «NO TIT^E     n.arry R.  Soward
                   	    Executive Director
IPA F«.. 5700.201 |R«. U-79)
                                                COITION is OBS9UCTE.
                                                                            Page  1  of
                                                   N-18

-------
                             9375.1-4-n
EXHIBIT N-5  (continued)
    MSCA TRANSFER
U >. ENVIRONMENTAL PROTECTION AOCNCY
GRANT AGREEMENT AMENDMENT
CONTINUATION SHEET
OKANT NO.
V-006461-01-4
TEXAS MULTI-SITE PROJECT (OBJECT CLASS 41.85)
PROGRAM
' SITE ELEMENT APPROPRIATION
1 TFAY9A 68/20X8145
2 TFAY9A 68/20X8145
2 TFAY9A 68/20X8145
3 TFAY9A 68/20X8145
4 TFAY9A 68/20X8145
4 TFAY9A 68/20X8145
5 TFAY9A 68/20X8145
5 TFAY9A 68/20X8145
6 TFAY9A 68/20X8145
6 TFAY9A 68/20X8145
7 TFAY9A 68/20X8145
8 TFAY9A 68/20X8145
9 TFAY9A 68/20X8145
10 TFAY9A 68/20X8145
10 TFAY9A 68/20X8145
11 TFAY9A 68/20X8145
12 TFAY9A 68/20X8145
13 TFAY9A 68/20X8145
14 TFAY9A 68/20X8145

SITE
1. Pesses
2. Crystal City Airport
3 . Stewco
4. Brio Refining
5. Bailey Dump Site
6. Sol Lynn
7. Petro-Chemlcal Systems
8. Odessa Chromium I
9. Odessa Chromium II
10. MOTCO
11. North Cavalcade
12. South Cavalcade
13. Koppers
14. ERRIS Sites (New 12/84)

DCN
E2J063
E2J062
E2J055
E2J059
E2J055
E2J055
E2J061
R00106
E2J060
E2J055
E2J058
E2J056
E2J057
R00103
R 001 13
R 001 00
R00101
R 001 02
R00107


ACCOUNT NO
4TFA726L47
4TFA726L60
4TFA726L60
4TFA726L66
4TFA726L71
4TFA726L71
4TFA726L77
5TFA06LL77
4TFA726L80
4TFA726L80
4TFA726L81
4TFA726L82
4TFA726L76
5TFA06LL02
5TFA06LN02
5TFA06LL78
5TFA06LL56
5TFA06LL79
5TFA06LJZZ

*
PHASE AMOUNT
FP $ 30,000
FP 30,000
RI/FS 700,000
FP 30,000
FP 30,000
MA 20,800
FP 30 ,000
RI/FS 840,000
FP 30,000
RI/FS 319,200
FP & RI/FS 650,000
FP * RI/FS 530,000
FP & RI/FS 530,000
MA 9 ,050
RD 1,000,000
MA 5,950
MA 5 ,950
MA 9,050
PA/SI 1,091,084
J5 ,891 ,084
PHASES














FP -

MA •

RD =

PA/SI =


RI/FS •




EXCEPT AS PROVIDED HEREIN. ALL TERMS AND CONDITIONS OF THE
AMENDMENT (INCLUDING PRIOR AMENDMENTS)
REMAIN
UNCHANGED AND
Forward Planning

Management Assistance

Remedial Design

Preliminary Assessment/
Site Investigation

Remedial Investigation/
Feasibility Study



BASIC ASSISTANCE AGREEMENT/
IN FULL FORCE AND EFFECT.
                            Page 2  of  3
             N-19

-------
                       EXHIBIT  N-5  (continued)
                               MSCA TRANSFER
                                                                    9375.1-4-n
                 U.I. ENVIRONMENTAL PROTECTION AGENCY
                GRANT AGREEMENT AMENDMENT
                     CONTINUATION SHEET
                                                 OBANT NO.
                                                   V-006461-01-4
                 Forward
                Planning
                          OBJECT  CLASS/PROGRAM ELEMENT BUDGETS
                        Mgmt
                       Asstnce
                                     Remedial
                                      Design
PERSONNEL
FRINGE BENEFITS
TRAVEL
EQUIPMENT
SUPPLIES
CONTRACTUAL
CONSTRUCTION
OTHER
TOTAL DIRECT
INDIRECT
TOTAL
$195,200
  74.800
$1,056,008
    35.076
$38,289
 12.511
$3,391,464
    87.736
$  974,012
    25.988
$5,654,973
   236.111
$270,000   $1,091.084   $50,800   $3,479,200   $1,000,000   $5,891,084
                          The following condition 1s added:
16.  For the Crystal City site, the recipient, the Texas  Water Commission (TWC),  will
     submit  the  revised Scope of Work  (within thirty days after acceptance of this
     amendment)  which provides for a phased Remedial Investigation (RI) of the site
     to Include  phase I, first-round RI  sampling and-analysis, and phas« II, follow-up
     RI sampling and analysis.  TWC will not proceed with the phase II work without
     specific authorization from the EPA Project officer.
                                                                  Page
                                                           of  3
                                           N-20

-------
                                                                               9375.1-4-n
                                EXHIBIT  N-5  (continued)

                                       MSCA  TRANSFER
                                        COMMITMENT NOTICE
 NOTE: Preparation and approval of thli torn-, doel not constitute an obligation of money. The u»e of thi> form li Intended to guarantee
 »v«ll«btllty ef money by reaerving It for cerlein typei of specified traneecUona.
 TMU COMMITMENT TRANSACTION IN THE AMOUNT Or I  700.000        15 rOR:
                                          WMOUI DOULAAf

 [3«"*NT'Wum*"V006461-01  '    d* PURCHASE RtouismoN    I  I A CONTRACT
 DESCRIPTION or PROJECT. GOODS. OR SERVICES

  Crystal City  Airport, Texas
  Remedial  Investigation/Feasibility Study
 NAME or GRANTeK/CONTItACTOR/VENDOR
  Texis Department of Water  Resources
                                                                          EMPLOYER IOCNT. NO.
 1PICIAL COMMENT! OR INSTRUCTIONS
  When awarded,  these committed funds will  not increase an  existing grant.
  The initial  award was made  in FY 84.
                       AlLO»ANCe HOLDER APPROVAL! fOpHonel. el dltcnlia* al 
-------
                              EXHIBIT  N-5  (continued)
                                      MSCA  TRANSFER
                                                                                9375.1-4-n
                                        COMMITMENT NOTICE
NOTE: Preparation and approval of this form does not constitute'an obligation of money. The uae of this form is intended to guarantee
availability of money by reserving it for certain types .of specified tranaactions.
THIS COMMITMENT TRANSACTION IN THE AMOUNT Of 1  319,200
] OK ANT CrVioitor
IOTMCR riftciir):
                                                TION    |  | A CONTRACT
 DESCRIPTION OF PROJECT, GOODS. OR SERVICES
 Sol Lynn Site, Texas
 Remedial Investigation/Feasibility Study
 NAME OF GRANTEE/CONTRACTOR/VENDOR
 Texas Water Commission
                                                                           EMPLOYER IOENT. NO. 
-------
                   EXHIBIT N-5 (continued)
                         MSCA TRANSFER
                                                     9375.1-4-n
COMMITMENT NOTICE
~
avallabillly of money by reeerving it for certain typea of apecified tr
obligation of money. The ua* of thia form ia intended to guarantee
maactiona.
TMU COMMITMENT TRANSACTION IN THE AMOUNT OF S 	 2.Q.8QQ '« FOR:
•HOLl OOLLARa


DESCRIPTION OF PROJECT, GOODS, OR SERVICES •
Brio Refining Site, Texas
Management Assistance
NAME OF GRANTEE/ CONTRACTOR/VENDOR
Texas Water Commission
EMPLOYER IOENT. NO. ICIH)

When awarded, the committed funds will not increase an existing grant.
The initial award was made in FY 84.
ALLOWANCE HOLDER APPROVALS fOpllon./, Ml tltcntlin ol/Ulo-.ne. Hota,r)
ALLOWANCE HOLDER TITLE
Suoerfund Branch. Region VI
STAFF APPROVALS
jrf\ • C\ft^ l( SIGNATURE
Jonnie^iV Ijfeyos, .Chief, State Programs Sectior
Rottert'narmesschlaqer, Acting Chief, Superfum
William Hathaway, Acting Director. Air & Wasti
DATE
4/l(J&Ł
Brarrcn/
^iu|vr
Management Division
PHONE
767-9739
767-9707
767-2730
RESPONSIBILITY CENTER TITLE
FUNDS CE^mfiCAJION /" 	 -\
, v;. • PREPARED iY T
Benhie JT DijVos. Chief, State Programs Sectioi
""sfeojts t
1 "V,^ | APPROVED. BY
^TBfcx WhiftTffqtonVKegiWiai Administrator
/September 26, 1985
FOR RESPONSIBILITY CENTER USE OMLY
Contract ne(otiator la (_ J la not | 	 [ authorit ed to exceed amount *hown above by up to 10% without aecurlnE further approval for funda.
THE AMOUNT OF MONEY SHO*N IS:

DOCUMENT AC
CONTROL NO.

J 04° f^lJO S'S' "JT P
2 040
2 0. 4 0
1 040
OBJECT


A 7 Z 6 L. 7 / ^ ' $> $
0 0
0 0
0 0

OOLI.AM AMOUNT

AOS 06 °o
1 oo
0 0
0 0
(PA Pen. 2S50.* (•.,. «-7<)
                         PRCVIOUB KOITION II
                                  N-23

-------
                                                                               9375.1-4-n
                             EXHIBIT  N-5  (continued)

                                       MSCA  TRANSFER
                                        COMMITMENT NOTICE
NOTE: Preparation and approval of thli form doea not constitute in obligation of money.  The tiu of thu fom li Intended to fuarante
availability of money by reserving It for certain types ,of epeclfied tranaactiona.
THIS COMMITMENT TRANSACTION IN THE AUOJNT OF S
                                           1.040.000
                                                         IS POR:
                                          NMOLC DOLLARS

     ANT W™*er V006461-01 >  •  O* PURCHASE RIQUIMTION    f~| A COUTH ACT

     HER rip.eifrJ:
 DESCRIPTION Or PROJECT. GOODS, OR SERVICES
 Brio Refining  Site, Texas
                                                         Q

 NAME OF C|IANTEE/CONT*ACTOK/VENDOR
 Texas Water Commission
                                                                           EMPLOYE* IOENT. NO.
 TASK, MOAr>, ON OTHER LOCAU IDENTIFIER
 SF>CCIAt COMMENTS OR INSTRUCTIONS
 This Is a deobllgatlon of  funds from the  Brio RI/FS so  they can be  reobllgated to:
 Brio Management  Assistance,  and Sol Lynn  and Crystal City Rl/FSs.
                       ALLOWANCE HOLPIH AFPKOVAH fO»llon«l. ml
 AVLOWAHCE HOLDER TITLE
                      Suoerfund Branch. Reolon VI
                                           STAFF APPROVALS
                    ISICNATURE
                                                           OATE
                                                                                    PHONt
     F, State Programs Sectior
                                                                            767-9739
    /
Rober
rt Hannes'schlager. Acting Chief.  Superfum
                                Bra
           767-9707
    anroo»»^  \    /
wmiam Hathawav^/Actinq Director. Air  & Wast!
                                Management Division
           767-2730
 RESPONSIBILITY CENTER TITLE
                    PREPARED BY
                                                                     APPROVED BY
I/P
Chief. State Programs  Sectior
                                                         -Wftftt i ngtonr1
-------
                                             9375.1-4-n
B.   Documents Required for Obligating  Federal-lead  Funds

    For Federal-lead remedial planning conducted  by an EPA
contractor,  a Procurement Request (PR) (EPA Form  1900-8)  is
used as the obligating document.   PRs  are used throughout
EPA to commit funds for procurements  and contracts; they
also provide funds to cover obligations.   If the  project  at
hand is an RD/RA action managed by the U.S.  Army  Corps of
Engineers (COE) or another Federal agency,  SSC funding is
obligated through an Interagency Agreement  (IAG)  (EPA
Form 2550-9).  An IAG is a legally binding,  obligating
document between EPA and another Federal agency.

    All Federal-lead obligating documents are similar and
are originated in the Region.  The following procedures are
used to obligate funds under both PRs  and lAGs:

         The Superfund Program Division prepares  the PR or
         the Commitment Notice (for an IAG)  and obtains all
         necessary program approvals  and signatures from
         the Program Director and Regional  office.

         The document is then forwarded to the Management
         Division so that additional  accounting information
         can be entered.

         The RA or his/her designee certifies the avail-
         ability of funds in the Region's advice of allow-
         ance and sets aside the required funds on the
         allowance holder's Document  Control Register.
         Commitments in excess of $25,000 must be entered
         into FMS before an obligation can be recorded in
         the system (Prevalidation; Policy Amendment 86-19).

         Once the certification is complete, a PR is sent
         to the Headquarters Procurement and Contracts Man-
         agement Division for obligation.  An IAG package,
         including the Commitment Notice, is sent to the
         receiving agency for signature.

One significant difference between a  PR and an IAG is that,
with the exception of certain removal contracts,  obligation
of funds for PRs cannot occur until the contract officer
modifies the existing contract upon which the PR is drawn.
For lAGs, funds are obligated once the COE or other agency
signs the agreement.  PRs and lAGs are tracked via FMS as
obligations are made.  FMS also tracks the State's cost
share receivables and payments.  This is discussed in the
next section, below.
                            N-25

-------
                                             9375.1-4-n


2.   PROVISION OF STATE COST SHARE

    During remedial implementation the State must share in
the cost of the project as required by CERCLA.   Under a
Cooperative Agreement, the State may not draw down EPA's
share of costs without providing its matching share for
each outlay, unless a CERCLA credit or advance match has
reduced its cost share to zero.  During RA,  State drawdowns
should reflect provision of the State's cost share.  Like
single-site Cooperative Agreements, all cost sharing under
MSCAs is site-specific.  This means that State costs
incurred at one site may not be used to meet the State's
cost-sharing obligation at any other site.

    For Federal-lead projects, the State will provide its
share of costs according to the terms of the SSC (cash,
credit, or advance match).  Following the execution of an
SSC, the RPM should immediately forward a copy of the exe-
cuted SSC, containing a payment schedule, to the Regional
FMO to establish the account(s) receivable.   The Regional
FMO will automatically send invoices to the State before
the due dates indicated in the payment schedule of the SSC,
so that the State may submit its payments on time.
                            N-26

-------
                                             9375.1-4-n
3.  REPORTING REQUIREMENTS

    Two basic types of reporting occur for fund-financed
remedial response.   One is financial reporting during the
course of the project, the other is financial closeout of
an agreement.  These are discussed in separate sections
below.

A.  Financial Reporting

    For State-lead projects, recipients must submit a
Financial Status Report (SF 269) within 90 days af.ter the
completion of each activity as well as within 90 days after
the close of each budget period.  If the budget period is
longer than one year, the report must be submitted annu-
ally, based on the anniversary date of the budget period.
In completing this report, the State should identify each
activity on line 10, programs/functions/activities, and
should show the cost breakdown by each activity in columns
lOa through 10m.

    If money remains in an account after the completion of
the associated activity, the recipient may not use the
funds for work to be performed under another activity or at
another site.  Instead, these funds must be either deobli-
gated from the agreement or redistributed to another activ-
ity or site through the procedure outlined in Section 1 of
this appendix.  In- the latter case, however, EPA may choose
to deny the request to switch funds and instead may deobli-
gate the money.

    For Federal-lead projects, the RPM is responsible fot
providing the Regional FMO with the information necessary
for FMS to track SSC accounts receivable and delinquent
payments.  If the State is late in making payment, the FMO
will provide the RPM with a delinquency report, and the RPM
is responsible for contacting the State to resolve any
problems.  Problems that cannot be resolved in this manner
should be referred to the RA.

B.  Financial Closeout of Agreements

    The actual closeout process for both State- and
Federal-lead response agreements should begin during the
last budget period of the agreement, four months before  the
scheduled project period end-date (see Chapter X) .

    For Cooperative Agreements, it is the State's  responsi-
bility to complete work specified and to produce the  re-
quired manuals, reports, plans, specifications and any
other data as directed.  The State also must provide the
required final Financial Status Report for the last budget

                            N-27

-------
                                             9375.1-4-n
period and other final administrative reports as directed
by EPA.   The RPM is responsible for ensuring that the
State:  (1) delivers a satisfactory product along with sup-
porting technical data,  (2)  submits a final Financial
Status Report after all  financial transactions under the
Agreement have been resolved,  (3) completes all cost recov-
ery requirements, and (4)  has  settled any claims or legal
suits.  In reporting the .financial information for a close-
out, the State should record the specific activity from the
Cooperative Agreement using  its assigned accounting code;
it also should prepare an  itemized budget breakdown and a
final progress report.

    MSCAs have two levels  of closeout:   the closeout of
individual response activities within the agreement and the
closeout of the umbrella MSCA  agreement itself (see Chapter
X) .  The closeout of site-specific activities can take
place whenever the planned activities have been completed
or terminated.  The MSCA umbrella agreement, however, can
be closed out only after all individual response activities
within the agreement have  been completed, closed out, or
terminated.

    An SSC cannot be closed  out until all contractor claims
(if any) are settled, an audit is completed, and the reme-
dial planning or COE contract  closeout process is com-
pleted.   Once these events have occurred, it is the respon-
sibility of the RPM to ensure  that all site activities have
been completed and all fina.l payments made.

    The RPM, working with the  FMO, will review all finan-
cial data as soon as the project is completed to determine
whether the appropriate State  cost share, less CERCLA
credit and/or advance match, has been satisfied.   It is not
necessary to wait for audit  before a reconciliation can
begin.  If the State has not provided a sufficient cost
share or has exceeded its  cost share requirements, recon-
ciliation will be made.   A bill or a refund, respectively,
will be sent to the State, and the balance will be adjusted
accordingly in the agreement and FMS.
                            N-28

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                                             9375.1-4-n


4.   ADVANCE MATCH

    For a State-lead project, the award document required
for committing advance match funds is the Assistance
Agreement/Amendment (EPA Form 5700-20A),  as displayed in
Exhibit N-6 on the following pages.  The Regional grants
office is responsible for completing this form.   For a
Federal-lead project, an SSC is required to document ad-
vance match.  Generally, the Cooperative Agreement or SSC
will include a special condition or article that provides
that:
                                                  »
         EPA and the State agree that the designated funds
         are specifically provided as advance match

         EPA will count the State's contribution toward the
         State's ultimate cost share at the site

         The State may request reimbursement of any of its
         funds that are not required to meet the State's
         cost-sharing obligation (see Appendixes F and H).

Procedures for executing a Cooperative Agreement or an SSC
covering advance match are the same as for any other
response agreement.
                            N-29

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                                                                                9375.1-4-n
                                        EXHIBIT  N-6

                                 ADVANCE  MATCH  AWARD
              U.S. ENVIRONMENTAL PROTECTION AGENCY
            EPA ASSISTANCE AGREEMENT/AMENDMENT
            PANT I • AWCTANCI NOTIFICATION INFORMATION
                                                               . AT  TANCE ID NO.
                                                                                1. LOG NUMIf X

                                                                                TUTV-U- A
                                                                                4. MAILING OATI
                                                                                      "
I. AQRIlMtNT TYPE
                                    6. PAYMENT METHOD

                                      Z3 Adv«nc»    O
                                                              . .  Ł3 L»ttor at Cr«0lfca-
                                                                                     -636*-
                                    Send Pavmom RaauMt To: Region  II
                                      Grants Adroini3tration.Br.
                                                                   7. TTPE Or ACTION
                                                                      •.  * w J
                                                                    Revision
S. RECIPIENT
 New York State Department of
   Environmental Conservation
 50  Wolf Road
 Albany, New York   12233-0001
  IWwoT" ~ ~"~ ~"" "" "
    14-601-3200A1
                             Statewide
                                                  9. PAYEE
                                                    New York State Department of
                                                      Environmental Conservation
                                                    50 Wolf Road
                                                    Albany, New York  12233-0001
10. RECIPIENT TVPf
   State
  11. PROJECT MANAOf R AND TELEPHONE NO.

   Norman H. Nosenchuck, P.E.
   (518) 457-6603
                                                   12. CONSULTANT IVWTCoiurmcHon CmU Only;
                                                         N/A
  13. OSUING Of net
   Region II
   New York, New York
                                                 14. EPA PROJECT/STATE OPPICEPI AND TELEPHONE NO.
                                                   Helen S. Beggun, Grants Officer
                                                    212-264-9860	
                                                   George Pavlou, Project Officer
                                                   212-264-0107
  IS. IPA CONGRESSIONAL LIAISON • TEL. NO.
  Pat Gaskins - (202) 382-5197
                                   K. STATE AWL IO lCI«r«M>
                                     586000144
            17. PlfLOOP SCIENCE
                  N/A
                                                                               IS. PROJECT STEPPTWT CO
                                                                                  °"J"  N/A
1*. STATUTORY AUTHORITY

  PL 96-510
                                    20. REGULATORY AUTHORITY
                                                              91. STEP J » 3 ft STEP 1 (WWT Coiutrwlfcxi Out,)
                                     40 era CH. i
                                     Subchapter B
                                     Part 30
                                                                                  N/A
                                                                                    N/A
                                                              d. Sluag* OMiyi
                                                                                    W/M
33. PROJECT TITLE ANO DESCRIPTION                    PAS/OSMEQO Site
This Cooperative  Agreenent amendment is for  an increase due  to bids for a remedial action
contract to  eliminate environmental degradation from chemical wastes and contaminated
soil and groundwater at the site.
                                    23. PROJECT LOCATION I Ami Impvltt 6r F>n/«et>
CHv.
     Osweqo
                                          Osweoo
                                                                 Sun
                                                                 NY
                        Coi»HMiun«l Olnrm
                               29
24. ASSISTANCE PROORAMIC/O/4 from No. » Tltlll
66.802 Superfund	
                                     2S. PROJECT PERIOD
                                     3/8/82 - 3/8/87
                29 BUDGET PERIOD
                   3/8/82 -  3/8/87
27. COMMUNITY POPULATION iWWT CC
           N/A
                               2*. TOTAL iUOOET PERIOD COST
                               	$ 6,686,062
                ». TOTAL PROJECT PERIOD COST
                 $ 6,686,062	
          FUNDS
                              PORMER AWARD
                                                         THIS ACTION
                                                                                  AMENDED TOTAL
30. EPA Amount Thh Action
                           ^5,590,390
                                                            -0-
                                                                              S  5,590,390
11. EPA In-Kind Amount
          1 Prior VOH •«•
33. OOMT *««ral
                                   49,749
                                                     $    101,923
                                I5T7672
3S. Sm> Comrttutlon
3S. Loc* Camrtbutlon
IT. OVMT contmMtion  (ADVANC I STATE MATCH)
                                                         944,OOU
                                944,000
  . AIMmikX Proion Con
                                                        I ,TJ« ,
                 PY

                N/A
                                   Ooc. Controt No.
§     N/A       N/A     N/A          N/A           N/A
M.
g	
 (•Af^MS-TOO-IOAIROT. E-«7IR«M«aipr>v.oUi«dit>ani>naEPA FormtSTOO-IA B C. «x> O. Ml o« wfiicn vt abKMn.  Page  1 of 3
                                                                   OBlKt ClMi

                                                                  N/A
                              ODIioaiion/DoaDllf. Amount

                                 N/A
                                                     N-30

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                                                       9375.1-4-n
                       EXHIBIT  N-6 (continued)



                         ADVANCE MATCH  AWARD
       PART II-APPROVED iup(
                                    AttllTANCElOt
TABLE A - OBJECT CLASS CATEGORY ,
nvon-con.iroction; Oriqirval Budget

I. PHIHOI BENEFITS 120,439
1. THAVEL 21,790
4. EQUIPMENT 5,874
I. SULLIES 10,929
1. COHTMACTUAL 	 . i,3US,/8^
T. CONSTNUCTION J,S9/,4/U
1. OTNE* -0-
». TOTAL DIUCCT CNAKOII * 3,»O4,/i»
10. INOIMICT COITl: KATt \ «»»( i/3,4ZU
U 100(RI/r&i KU)
Iti TOTAL r36«r«.- R«c f*^"*i gg «>-' j g g^Q ^^9 <
11. TOTAL APPROVED ASSISTANCE AMOUNT $ 3,318,500 $
TABLC • - PHOGHAM ELEMENT CLASSIFICATION
(Nan— construction)

L Kenedial ueaign CNJ]
I. l*ulUUvj^ax nf7T"1 on V^Aj
4.





10.
! 1 . _ _ .^-^ . 	
"v" 100 v^L/ *» • RU/
it TOTAL fSh«r». R«eJ|{grift.^_—1L f«d»f^j *J(RA)
11. TOTAL APPROVED ASSISTANCE AMOUNT
TABLE C - PHOGRAM ELEMENT CLASSIFICATION
fConttructfon)
1. AOMINItTHATIOH CXPINK
L PMILIMINART IXFINIC
1. LAND tTRUCTUKtl. P»IOHT-O»-««T
4. ADCMITCCTUKAL (NSINCIHINO CAIIC 'III
1. OTMIH AKCMITCCTUMAL CNOINf IKIMO 'CIS
(. FWOJICT INtPKCTIOM »IKJ
?. LAND OCVCLOMItNT
t. HILOCAT1ON IXFCN1CI
1. HILOCATION PAYMtNTI TO INOIVIOUALS AND lUSINeSIES
10. OCMOLITIOM ANO *t«OVAL
11. COHSTMUCTION ANO »KOJICT IMPKOVCMCNT
It. IOUIPMINT
1>. MISCfLLANIOUl
14. TOTAL rLMn 1 K» 111 '
IS. ESTIMATED INCOMC til ••»"«*»(•)
14. NET PHOJf CT AMOUNT ft** 14 •»»• 11}
11LCU: INCLiaiILt tXCUUtlONI
11. AOO: CONTINOINCICS
tt" TOTAL (Slun: ««cHri«n» ^ J.d.r.1 	 %J
»., TOTAL APPROVED ASSISTANCE AMOUNT
Revised
Change Budget
-u- 5 Jy8,9jb
-0- 120,439
-0- 21,790
-O- 5,874
-0- 10,929
O,/»7 I.JBS^U/y
!*' O,31U,b4/
-O— I/5,4^U
1,045,923 $ 6,686,062
2i,271,890 $ 5,590,390


4u4rdz6
3# JJ / ^ JUO








$ 6,686,062
, S 5,590,390




















s
T>A P«~ S7M.MA (••>. *.r«)
                                                              »0€ I 0»3
                                    N-31

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                                                                         9375.1-4-n
                           EXHIBIT  N-6  (continued)

                              ADVANCE  MATCH AWARD
                                                                      V002435-82-2
   The following .Spnrinl  rovliHnn is  added:
   R.  ADVRNCE
       The  State  agrees to  provide all  costs identified in  Part  III,  the
       budget section,  of  this  Cooperative  Agreement  for the Pollution
       Abatement  Services Oswego  site.   EPA and  the State agree  that  these
       funds are  provided as advance  match.  EPA will  count «*e  State's
       contribution toward  the  State's  ultimate  cost-share  at the site
       described  herein.  Expenditure of these funds,  however, does not
       ensure that additional Fund-financed remedial actions will be  im-
       plemented  at this site.  The State may, through an amendment to
       this  Cooperative Agreement, request  reimbursement of  any  of its
       funds expended  under this  Cooperative Agreement which are not
       required to meet the State's ultimate cost-sharing obligation  at
       this  site.   EPA  agrees to  reimburse  the State  for these funds;
       however, reimbursement by  EPA  is subject  to the availability of
       appropriated funds and verification  of the allowability of the
       expenditures.
NOT!: The AgrecBoat Dust be completed ia duplicate sari the Original wtuned to the Grsnu Adsusustmtioa
  Division for Headquarters awards and to the appropriate Gtaata Adauniatrations Office foe State end local
  awatda wilkis 3 caloadat woeka after receipt Of within any nteasioa oi tirae u Bay be greated by EPA,
Receipt of a written refusal or failure to ret am the properly ezeceted
            '• awal of the offer by the Agency. Any change
	ing signed by the EPA Aws
•her the Agreement ahall void the Agreeaieat.
   ecep o • wen reu
  revolt in the withdrawal of tht offer by the Agency.
  to the document being signed by the EPA Award Official which the A
                                                          «t within the prescribed time, stay
          to the Agreement by the recipient subsequent
             iward Official detemiaes to materially
                                          AMP ACCtPTAMCI
The United States of America, sctiai bv and through the U.S. Eaviioasraatal Protection Agency (EPA), hereby offers

           ltBdm€Bt ^^ New York State Department of Environmental Conservation	

           fall approved coats incurred ap to aad aot eaceediag 11.275.572	    	
   90  RA                                           4,314.818  •"rr*™«•—-•• •
 for the •appoit of appiovod budget period effort described ia application fmclwft* mil appficMioa mod,t,c*tioni)
 PAS/OSHEQO Site dated 10/4/85
                                                                   iaclwded herein by relereoce.
       ISSUING OfriCl fOnrtlt 4*iim
-------
                                             9375.1-4-n
5.  STATE CREDIT

    CERCLA provides that a State shall receive credit for
certain specific costs incurred in response to a hazardous
waste site, if those costs meet Superfund criteria.   States
may use these credits to pay for their share of response
costs at the time of RA.

    When a State has a CERCLA credit at the time funds for
RA are obligated through a Cooperative Agreement,  the award
document (EPA Form 5700-20A) is annotated to show that
State credit is being applied.  The Regional grant's office
is responsible for completing this form,  shown in
Exhibit N-7 on the following pages.

    Generally included with the Cooperative Agreement .is a
special condition that identifies the portion of State
funds contributed through CERCLA credit.   Specifically, the
condition will show:

         The State cost share required

         The State credit available (verified or unverified)

         The amount of additional non-Federal funds
         required to satisfy the State's cost share.

See Appendix F for a sample provision.

    For a Federal-lead RA, an article in the SSC will docu-
ment that a credit is being applied and the PR or IAG will
show 100 percent Federal funding.  A copy of the SSC  is
provided to the Regional FMO for tracking purposes.   See
Appendix H for a sample SSC article that contains the same
points as a Cooperative Agreement special condition.
                            N-33

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                                     EXHIBIT  N-7

                                STATE  CREDIT  AWARD
                                                                               9375.1-4-n
              UJ. f NVINONMtNTAL • ,.OTICTION AGENCY
            EPA ASSISTANCE AGREEMENT/AMENDMENT
           f ART I. AKtfTAMCt MOTIFICATIOM mFORMATK*
                                                             I. AS   T ANCE ID NO
                                                              VOu*435-82-l
                                                             1. DATI OF AWARD
                                                           TVO-V- 12.
                                                                                4. MAILING DATE
                                                                                  H-5-85
t. AO"iEMENT TYPE
                                   o. PAYMENT METHOD
                                                   J R*lmt>urMm«m
Orant A*rMm«ni
       Amonomont
                                    S«naP>vm«nt Roauon To:  Region II
                                      f^^nts Administration  Br.
                                                                    7. TYPE Of ACTION
                                                                      Augmentation - Increase
  I. RiCIPIENT
   New York State Department of
     Environmental Conservation
   SO Wolf Road
   Albany, New York   12233-0001
                                                    New York State Department of
                                                      Environmental Conservation
                                                    50 Wolf Road
                                                    Albany, New York  12233-0001
                     "I TON'
                                  Slf, TfwTtf '
                               Statewide
                                                      State
  11. PROJECT MANAGER AND TE LEPHONE NO.

   Norman H. Nosenchuck,  P.E.
    (518)  457-6603
                                                  12. CONSULTANT IWT Corulnicnoit Cninu Only!
                                                          N/A
  13 ISSUING OFFICE i
   Region II
   New York, New York
                                                  14. fPA PROJECT/STATE OFFICER AND TELEPHONE NO
                                                     Helen S. Beggun, Grants Officer
                                                     212-264-9860	
                                                     George  Pavlou, Project Officer
                                                     212-264-0107
  11 (PA CONGRESSIONAL LIAISON » TEL NO
                                    16 STATE APPL ID
                                                             IT. PIELOOF SCIENCE

                                                             	N/A
                                                                             II. PROJECT STEP ntw, CC

                                                                               °"'"     N/A
19. iTATUTOHV AUTHORITY
                                    20. MIGULATORV AUTHOKITV
                                                             21. STE* 2 » 3 A STEP 3 (VWT Conttruetion Only)
  PL  96-510
                                      40 CFR CH. I
                                      SUxrhapter B
                                      Part  30	
                                                                                    N/A
                                                                                    N/A
                                                                                    N/A
                                                             d. Slwdp* Onign
                                                                                    N/A
22. PROJECT TITLE AND DESCRIPTION                     PAS/OSWEGO Site
 lt>e Cooperative Agreenent for the New York State  Department of Environmental Conservation
 is increased by S2,271,890 from $3,318,500 to $5,590,390.  this amendment is for  a remedial
 action,  remedial design and a remedial investigation/feasibility  study.
                                   23 PROJECT LOCATION {Arm Inptcltt »>
                                      County
                                                                 Stilt

                                                                   NY
                                                                          Conpa
                                                                                n«l O'lt'ict

                                                                                  29	
34. ACCISTANC*C PROORAMrCFCA frofrmm No. 4 TtUft

 CA  flfl 7 Ciinorf-.infl	
                                      15. PROJECT PIHIOO

                                        3/8/82 - 3/31/87
                                          36. BUDCCT PERIOD
                                                3/8/82 - 3/31/87
27 COMMUNITY POPULATION fWHT CC
   O*ln
	H/A	
                               26 TOTAL tUOGET PERIOD COST
                                 	S  5.640.139
                                          2» TOTAL PROJECT PERIOD COST
                                              $ 5.640.139	
                             FORMER AttARD
                                                        THIS ACTION
                                                                                AMENDED T""-i.
30. IPA Amount Thi« Action
                              S 3.31B.50Q
                                                       $2,771.890
                                                                               $ 5.590.390
31. IPA In.KIM Amount
33. Otn«r Poavrci Fund*
34. Roctptont Contrioution
                                  333.334
                                                         (283.585)
                                                                                    49.749_
3B. Stal* Contribution
36. Local Contribution
37. Omor Contribution
31 Aito^oatc ProiocT Co*i
                                                       SI.988,305
                                                                               S 5.640.139
     YTFA9Y
     YTFA9Y
     YTFA9Y
                 85
                 85
                 85
68/20X814
68/20X814
68/20X814
c Control NO
 KOS218
 KOS219
 KOS220
Account
5TFA02KL06
5TFA02KN06
5TFA02KR06
                                        rw-. r\y* \\ri Ac*A f-hrTHinh ^t*
Obicct CIOM
41.83
41.83
41.83
 credi t
S   520,656
     36,416
  1,714,818
g 2.271.890
                    2' Rto"
                             ^°^ •O'tieni one tPA Focmi S70O-1 A. 8. C. P"0 P. «" o' ~n.cn »r» ocuomt    Pare  '  Of IS

                                                   N-34

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                            EXHIBIT  N-7  (continued)
                               STATE  CREL1T  AWARD
                                                                            9375.1-4-n
                                                                              V002435-82-1
         PA»T II-A*»«OVIO IUDCIT
                                                 AtlltTAMCC lOfNTiriCATION MO
                  TABU* A - outer CL.AU CATIOOMV
                                                Original Budget
                                                    187,ttb2
 a. rimot iintriTi
                                                     56,891
                                                                   120, 4JS
                                                     15,216
                                                       6,574
                                                                      ,990
                                       •  BiQQQ
                                                                  - 2.126
                                                                                    ,874
                                                      -0-
                                                      10,929
                                  10,929
  CO«TII»CTU»L
                                                    753.000
                                                     556,282
                                                  2.533.334
                                                                1.064.136
                                                                               3.597.470
  OTXiH
                                                                     -0-
                                                                                    -.0-
  TOT»L omteT cw»«oti
S 3.554.293
                                                               Sl, 910, 426
                                                               S 5,464.719
  . mO'MCT com  «»Tl
                         \ oil
                                                     97.541
                                                                   77.879
                                                                                 175.420
 1 1. TOTAL (tt»n: K*ttplnt
                                                        -
 it TOTAL APPtOVIO AiUJTAMCI AMOUNT
                                                  3,318,500
                                                  $2, 271 ,890   S 5,590,390
             TABLC • - »I»OO"»«< CUCMCNT CLARIFICATION
                   T^^\Iac^i(^a^ im/Foaeihi 1 i t-  Stud  (RI/F51
                                                                           920.656
flia] Design \N\
dial Action tKAj
                                                                           354,916
          eme
it TOTAL (Stan: fTtrfrii
                             r»*r.LQQ - Ilftl/FS & RO)
        10»  (Uiia eueJit
                                                                       e ^ tan i 10
 II.  TOTAL
                            AMOUNT
                                                                       S 5,590,390
             YAVI.C C - »HOO"»» tLCMCNT CLAUiriCATION
1. »O«I«I|TI«»TIO«
1. »»H.I«I«»«T orcxic
1. k**IO ITIUCTUHtl. «IO«T-O».»»T
4. AHC«ITtCTJH«l.
1. OTNI* AUCMITICTUIIJkk t»Omt«OI«S 'III
*. ••OJtCT IH|»ICTIOI> rill
 . LAND OCVILOMItilT
 • KILOC»TtO» lir
1. •IkOCATION VATIIIIITI TO IHOIVlOUAkl »«B (Utmlltll
 0. OtHOLITlOW AMD MtHOVAt
 I. CO«I|T«UCTIO«
                       l«»«Ovt"I«T
 I. «\ICtl.L»"«OU»
 . TOTAL n.MM 1 «M 111
       Tie meom m «•"••*'»
 t LIU mtLiaitLt lICLUtlOKI
 . AOO cOHTmemeiti
» 1TOTAV. *rP*OVIO AUI1TAHCI AMOUNT
       I70C-I4* (»t»
                                                N-35

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                                                                                9375.1-4-n
                              EXHTBTT  N-7  (continued)
                                  STATE  CREDIT  AWARD
                                                    U TANCtlDt•* • 'FICc« TJOMNO
            Portion of recipient contribution provided through state credit, as  follows:

                  State match required -         $ 436,457

                  State credit available -       $ 386,708

                  Additional match  provided »    S  49,749
                                              PAH.T IV
NOTE:  The Agreement must b* completed ie duplicate and the Original-returned to the Grants Administration
  Division foe Headquarters awards and to the appropriate Grants Administrations Office (or Stile and local
  •wards withia 3 calendar weeks after receipt or within any •itension of tin* as Bay be granted by EPA.

  Receipt of a written refusal or failure to return the properly executed document within the prescribed time, nay
  mult in the withdrawal of the offer by the Agency.  Any change to the Agreement by the recipient subsequent
  to the document being sifned by the EPA Awsrd Official which the Award Official  determines to materially
  alter the Agreement shall void the Agreement.
                                       OMtR AMP ACCEPTANCE
The United States of America, actini bv and through the U.S. Environmental Protection Agency (EPA), hereby offers
assurance/amendment to the New  York State Department  of Environmental Conservation
*>•      *"f aR approved costs incurred up to and not escveding 1 1.275.572
          RA
 for the support of approved budget period effort described in application'(fnctudint •/' •pp/icMion modilicttiont)
   PAS/OswegO  Site	dated   3/7/85	 included herein by reference.
        ISSUING O'FICC ItiranK AOmtnitlrtlion Ollict)
OHS1NIIATION/AOOKIII
  EPA, Grant*  Administration Branch
  Room 937A
  26 Federal Plaza
  Nev York. New York   10278	
                                  OKS»NII»TION/»00»tJS

                                    Environmental Protection Agency
                                    Region II
                                    26 Federal  Plaza
                                    Nev York. New York  10278
  /".
               TMI UNITED ITATit pr AMflC* BY TMt U.S. tM VI»ONMtNT«L »»OTECTION «OE1CV
f
                                 TVPCD H»t AND TITLI Christopher J. Daggett
                              4- Regional Adiclnlnrrarnr- P»einn TT
                 M        Tr • •                 ...
Thi* Agreement ia subject to applicable U.S. Environmental Protection Agency statutory provisions and assistance
regulations.  In accepting this award or amendment and any payments msde pursuant thereto. (1) the oadersigned
represents last he is duly authorized to act on behalf of the  recipient organization, and (2. the recipient agrees
(a) that the award ia subject to the applicable provisions of  40 CFR Chapter I. Subchapter B and of the provisions
of this agreement (Parts I thru IV),and (b) that acceptance of any payments constitutes an agreement by the payee
that the amounts, if any found by EPA to have been overpaid will be refunded or credited in full to EPA.
                       • T AMD OMICHALF OF THE DESIGNATED RECI'IEMT ORGANIZATION
SIONATUME
                                 TV»CO KAMI AMD TITLt
                                 Herj-y G. Williams, Corralssione:
• PA r**« §'•
                                                                                  Page  1;
                                                     N-36
                                                  U.S.  Environmental  Protection Agenoy
                                                  Library,  Room 2404   PM-211-A
                                                  •401 M Street,  S0W.
                                                  !'Vy;hin°;ton,  DC     20"SO

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