9373.1-4-W
APPBIPIX
GUIDAMCB FOR STATg-LEAD REMOVAL ACTIONS
OSWER DIRECTIVE
9375.1-4-W
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PREFACE
This--guidance sets forth the policy and procedures toe awarding to
States the authority and funds necessary to lead a CERCLA-funded removal
action. _Jt is intended to provide Regions with a new management tool Cor
handling their workload and as a mechanism for further delegating program
responsibilities to States. Under this program. States nay lead
non-time-critical removal actions at NPt. and non-NPL sites. Authority to
enter into a Cooperative Agreement with interested States rests with the
Regional Administrator as set forth in Delegation 14-1-B (Superfund State
Contracts and Cooperative Agreements for Removal Actions).
Provisions of this guidance may be subject to revision given CTBCIA
Reauthorization, proposed revisions to the National Contingency Plan and
removal program policy/guidance development activities. In addition, it is
anticipated that revisions to the operating procedures see forth in the)
guidance may be necessary once Regions have obtained expedience in
implementing Cooperative Agreements with States.
This guidance has been developed by OSHER's Emergency Response Division
(ERD) in cooperation with the Hazardous Site Control Division. Regional
staff participating in the implementation of State-lead removal actions
should contact their appropriate Regional grant personnel or HQ EBO Regional
Coordinator if questions or problems arise when executing a Cooperative
Agreement.
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APPENDIX W
GUIDANCE FOR STATE-LEAD REMOVAL ACTIONS
I. SCOPE OF STATE-LEAD REMOVAL ACTIONS
A. Types of Cooperative Agreements
A State must enter into a Cooperative Agreement with EPA before
beginning a response action using CERCLA funds. A Cooperative Agrees
is the mechanism established by the Federal Grant.anc
Agreement Act that a Federal agency uses to provide States or political
subdivisions with funding assistance while retaining significant
involvement in the project. The Cooperative Agreement documents the
respective responsibilities of the recipient of Federal funds and the
agency providing the assistance. Cooperative Agreements are aised to:
Transfer funds for specific project(s) \
Document the State's statutory and regulatory responsibilities
and assurances
Approve project-specific budgets and scopes of work
Identify any special program requirements related to the
project
Document the Federal agency's role and responsibilities-during
the project.
There are two types of Cooperative Agreements: 1) a site-specific
Cooperative Agreement: and 2) a multi-site Cooperative Agreement
(MSCA). State-lead removal actions may be executed via a site-specific
or multi-aite Cooperative Agreement.
1. Site-specific Cooperative Agreements are appropriate mechanisms
to fund response activities required at a single site. These
agreements cover one removal action at one site and can be amended
to include subsequent removal activities and to provide funds
necessary to complete the action at that site. •
2. A multi-site Cooperative Agreement is an "umbrella" Cooperative
Agreement that, under one funding document, may include several
response activities at more than one site within a State. MSCAs
should be used in situations where sites are within close
proximity. States requesting to lead removal actions at more than
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ana site nay choose to develop a MSCA or an existing MSCA may be
amended to include a Staca-lead removal. If the State agency
Identified to lead Superfund response actions is different from the
agency certified under an existing agreement with EPA. the State
must submit to EPA a letter (signed by the Governor or Attorney
General) indicating it has the authority to accept Federal funds
-and make the required assurances.
B. Types of Actions
1. State-lead removal actions initially will be limited to
non-time-critieal removals at NPL and non-MPL sitea. All
time-critical removal actions will be Federal-lead, including
actions that are initially categorized as non-tima-critical, but
due to extenuating circumstances, the Regional Administrator (RA)
has determined to be more appropriate for a Federal-lead response
(e.g., a time-critical response becomes necessary, required
response is more extensive than anticipated and exceeds State
capabilities). Cooperative Agreements must contain a special '
condition to this effect.
(a) Non-eime-critical removals appropriate for State-lead are
actions where initiation of cleanup or stabilization efforts
may be delayed for approximately six months or more from tha
time the threat is discovered.
(b) (Ion-time-critical removals include all activities
formerly categorized as initial remedial measures (IRMs) under
the remedial program and longer term removals that can ba
planned in advance.
(c) To date. State experience in leading non-time-critical
actions has been limited to IBM-type activities previously
conducted under the remedial program. Examples of State-lead
IRM-type responses include fence construction, erosion control
and off-sita disposal of hazardous waste. Additional examples
are provided in Exhibit 1.
2. Tha Superfund Comprehensive Accomplishments Plan (SCAP) process
will ba used as a planning/management tool for identifying removal
actions appropriate for State-lead. Only removals that are listed
oa tha approved or revised SCAP can ba State-lead.
(a) Funds may not be obligated for State-lead removal actions
that do not appear on the approved SCAP. Removal actions
under consideration for State-lead must ba listed on tha SCAP
at least one quarter in advance. However, these actions may
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EXHIBIT 1
EXAMPLES OF STATE-LEAD IRM PROJECTS CONDUCTED UNDER THE REMEDIAL
PROGRAM
Excavation and off-site disposal of surface and buried waste materials and
contaminated soil
Fence construction
Bank stabilization
Water supply treatment of municipal well
Installation of carbon filters on private wells
Construction of lagoon perimeter dike
Temporary cap for lagoons
Posting of cautionary signs along creek
Storm water control
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be projected on the SCAP for more than one quarter in advance
since, by definition, non-tame-critical removals are action*
where initiation of cleanup or stabilization efforts nay be
delayed for approximately six months or more from the tin* the
threat is discovered.
(b) Removal action* identified for State-lead oust be on the
SCAP before the Action Memorandum and Cooperative Agreement
can be approved. Preparation of the Action Memorandum and
Cooperative Agreement application can begin, however, before
the removal action is placed on the .SCAP.
(c) Revisions to the approved SCAP require coordination with
EPA Headquarters. Regional Oil and Hazardous Materials (GHM)
Coordinators are responsible for initiating any necessary SCAP
updates/revisions to ensure that sites identified for
State-lead are placed on the SCAP, as required. OHM
Coordinators should contact their designated Emergency
Response Division (ERD) Regional Coordinator in EPA \
Headquarters when updates/revisions to the SCAP are required.
C. Scope of Activities
1. All CERCLA-funded preliminary assessment and section 104(b)
activities undertaken to assess the extent of contamination and to
determine whether the incident meets the NCP and CflRCLA criteria
for removal action will be Federal-lead. This does not preclude
States from leading pro-remedial activities under a remedial
Cooperative Agreement.
2. All Engineering Evaluations/Cost Analyses (EE/CAs) necessary to
meet the requirements of the National Environmental Policy Act
(NEPA) will be Federal-lead.
3. All enforcement activities, including Potentially Responsible
Party (PRP) search, and notification and negotiation with PRPs will
be Federal-lead. State-lead enforcement activities for removal
actions may be considered once the program has been implemented.
4. Only those activities authorized in the initial or amended
Action Memorandum will be State-lead, including any post removal
sit* control (formerly operation and maintenance or O&M) that is
CERCLA-funded.
(a) States will procure and lead all contractor cleanup and
stabilization activities, including operation and maintenance
activities authorized in the Action Memorandum.
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(b) Ones response begins, no party other than the State may
direct the response activities being performed either by the
State or its contractors). However, at the discretion of the
RA. a response may be determined to be more appropriate for
Federal-lead (see section 1.3.1 of this guidance).
D. Approval of State-Lead Removals
1. The RA will determine, on a case-by-case basis, removal action*
appropriate for State-lead. Factors the RA should consider when
evaluating a State's request to lead a CERCLA-fundad removal
include, but are not limited to:
State experience in leading activities conducted under
the remedial program (e.g., IRM-type actions) that are
similar to the response actions required to clean up or
to stabilize the release at the site under evaluation for
State-lead.
\
State experience in responding to hazardous substance
spills/incidents independent of Federal involvement/fund*.
Existence of a State Contingency Plan for hazardous
substance release response.
2. A Removal Action Memorandum and Cooperative Agreement are
required for all State-lead removal actions, the Action Memorandum
will be an integral part of the Cooperative Agreement and must be
approved before an Agreement can be awarded to the State. A copy
of the approved Action Memorandum will be made available to the
State and will be provided when the Agreement 13 awarded, if not
before. All Cooperative Agreements, and amendments to the
Agreement, will be negotiated at the Regional level and approved by
the Regional Administrator. OSCs or RPMs. as appropriate, will be
the State's primary EPA contact for developing and negotiating
Cooperative Agreements.
(a) EPA will prepare the Action Memoranda in accordance with
current program procedures, and in close cooperation/
consultation with the State. EPA will always select the
response/activities to be taken at the site in consultation
with the State. The Action Memorandum must document that the
removal will be State-lead and identify what cleanup or
stabilization actions must be taken within a specified cost
and duration. The Action Memorandum must also identify
activities that will be Federal-lead (e.g., enforcement
activities).
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In accordance with program policy and procedures,
the AA, OSWER must approve all Action Memoranda for
removal actions initially or ultimately expected to
exceed the statutory limitation on coat: otherwise.
the RA will approve the Action Memoranda, including
exemptions to the limitation on time, with OSWER
concurrence required on proposed precedent-setting
non-NPL removals.
Changes in project scope and exemptions to the
statutory limitations on cost and duration oust be
documented and approved in accordance virth euiteul
removal program procedures before the Cooperative)
Agreement is amended. In order to expedite the)
approval process. State Project Officers (SPOe)
should contact the assigned OSC/RFM as soon as it is
known that an amendment to the Action Memorandum is
necessary.
These procedures are discussed briefly in Section III of this
guidance and in more detail in the Superfund Removal
Procedures manual.
(b) States are responsible for preparing the Cooperative
Agreement package, which must include a Cooperative Agreement
Application, EPA Form 5700-33, and the attachments discussed
in section II (Development of Cooperative Agreement
Application Packages) of this guidance.
E. Funding Mechanism
1. State-lead removal actions will be funded via a Letter of
Credit.
(a) Under this method, CERCLA funds are provided to a State
through an existing Letter of Credit established at a Federal .
Reserve Bank chosen by the State. The State uses — or "draws
down" — funds from the credit account to cover its immediate
cash needs.
(b) Under a Letter of Credit, funds are obligated when the RA ..
signs the Cooperative Agreement and sends it as an offer of
award to the State; funds become accessible to the State on aa
as-needed basis upon execution of the Cooperative Agreement.
The State Participation Manual provides additional information on
the Letter of Credit funding method.
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937S.1-4-W
F. Procurement Methods/Condi tiona
Under a removal Cooperative Agreement, States must award a fixed
price subagraement (lump sun. unit price or a combination of the two)
when procuring contractor support, regardless of the procurement method
selected, unless it receives the Award Official's prior written approval.
1. Methods of procurement that States may use include small
purchase, formal advertisement, competitive negotiation, or
non-competitive negotiation, as appropriate.
2. All procurement subagreements oust adhere to »ny ^HT "**"4 "7
Evaluations/Cost Analyses that may have been conducted by EPA for
the project covered in the Cooperative Agreement. A special
condition to this effect should be included in the Cooperative
Agreement .
3. To conduct procurement activities under the Superfund program.
a State must either have an internal procurement system that
complies with the requirements of 40 CFR Part 33 (Procurement under '
Assistance Agreements) or must use Part 33 as its procurement
regulation and allow EPA preaward review of proposed procurement
actions. Additional information on this requirement is provided ia
section II. 2 (a) of this guidance and Volume II of the State
Participation Manual.
G. State Assurances
In order to enter into a Cooperative Agreement for a removal
action, EPA policy requires States to provide assurances for (1) sharing
in the cost of cleanup at publicly operated sites, (2) providing a
facility in compliance with the Resource Conservation and Recovery Act
for off-site treatment, storage, or disposal of substances taken from a
site, and (3) assuming responsibility for post removal site control
(formerly termed operation and maintenance or OSM) . OSCs/RPMs are
responsible for monitoring State compliance with these requirements.
1. States are not required to share in the cost of a removal
action, unless that removal is conducted at an NPL sits that was
publicly operated (either by a State or a political subdivision
thereof) at the time of a release and a remedial action is _______
ultimately undertaken at the site. In these situations. States are
required to pay 50 percent of all removal costs. A State is not
reouired to pay its cost share for the removal until the remedial
action is funded by EPA.
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2. States ara atatutorily required to ensure the availability of a
hazardous waste treatment, storage or disposal facility, if a
remedial action requires off-site treatment, storage, or disposal
of hazardous substances. Such facilities must be in compliance
with Subtitle C of RCRA and a RCRA compliance inspection must haw
been completed at the facility within the six-month period prior to
the receipt of wastes. According to current EPA policy on off-site
disposal (OSWER Directive 09330.2-3), non-tima-critical removal
actions are subject to these requirements. SPOs should contact
their EPA-designated OSC/RPM or Regional RCRA Off-sitt Contact
(RROC) for assistance in identifying disposal facilities and
resolving issues pertaining to off-sita disposal.
3. Removal program policy allows for payment of post removal sit*
control within the twelve months time limit for the entire
removal. The State must assume responsibility for post removal
site control at the conclusion of the removal action. EPA may
include funds for post removal site control for the project period
covered in the Action Memorandum. However, a State must assume
responsibility for post removal site control after the completion
of the CZRCLA-financed action. The Cooperative Agreement
Application or a special condition must provide an assuranca that
the State will assume responsibility for all post removal site
control as long as necessary once the action is complete.
II. DEVELOPMENT OF COOPERATIVE AGREEMENT APPLICATION PACKAGES
The State is resgonsibile for developing the Cooperative Agreement
Application package. While the OSC/RPM will be the State's primary EPA
contact for developing and negotiating Cooperative Agreements for removals.
Regions may elect to assign administrative responsibilities to Regional
staff other than the OSC/RPM. State officials responsible for response
agreements, usually State Project Officers (SPOs)*. should work closely with
an EPA-designated OSC/RPM when developing the Cooperative Agreement.
Additional support to the CSC/RPM will be available through the ERD Regional
Coordinators in EPA Headquarters. OSCa/RPMs and OHM Coordinators are
responsible for reviewing the Cooperative Agreement Application for accuracy
and completeness. ':
A. The Cooperative Agreement Application
The Cooperative Agreement Application package must include EPA Fora
5700-33 and several attachments. The application fora and the required
attachments are briefly discussed below. Additional information is
provided in EPA's manual entitled State Participation in the Sugerfund
Program.
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1. When applying for CZRCLA funds, a Skate must complete EPA Fora
5700-33. Application for Federal Assistance — State and Local
Nonconstruceion Programs. This form consists of five parts:
Part I - General Summary Information
Part II - Project Approval Information
Part III - Budget Information
Part IV - Project Narrative Statement
Part V - Assurances.
General instructions for completing each part arc included in the
application form. The State should ensure that costs included in
the application are allowable for payment under CZBCLA. To b«
allowable, proposed costs must be consistent with section 111 of
CZRCLA and with Federal cost principles outlined in the OMB
Circular A-37, "Cost Principles for State and Local Governments."
the State may seek assistance from the OSC/RPM in determining which
costs may be allowable. Final determination of the reasonableness
of the cost estimates in the application will be made by the EPA
Award Official. Exhibit 2 presents the content and Exhibit 3 the
appropriate level of detail required for completing Cooperative
Agreement budget information.
2. Attachments to the Cooperative Agreement AppIi cation
A Cooperative Agreement Application for removal actions must
include the following attachments:
State certification letter
Procurement System Certification, EPA Form 5700-43
Intergovernmental review comments
Communir.y relations plan, if applicable
Quality assurance/quality control (QA/QC) plan
Site safety plan
These attachments are briefly discussed below. More detailed
information is provided in the State Participation Manual.
While the term State Project Officer is used throughout the guidance to
denote a State's counterpart to an EPA OSC/RPM, it is recognized that
different terminology may be used among the States.
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"EXHIBIT 2
OBJECT CLASS CATEGORIES CONTENT REQUIRED FOR COMPLETING
COOPERATIVE AGREEMENT BUDGET SHEETS
CATEGORY
CONTENT - THE STATE MAY INCLUDE:
Personnel
Costs of wages paid D State employees who are
engaged in response activities. (Calcalated either as
a percentage of tune or level of effort (LOE) basis.)
Fringe Benefits
Fringe benefits for State employees. Mlni\»*rt as
a fixed pfiim
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EXHIBfT3
'OBJECT CLASS CATEGORIES
APPROPRIATE LEVEL OF DETAIL FOR ITEMIZED
COOPERATIVE AGREEMENT APPLICATION BUDGET
CATEGORY
INFORMATION
Fringe Benefits
Travel
Materials and Supplies
Contractual Services
Positions of staff
Number of hours
Salary of staff (annual or hourly rate)
Estimates of personnel costs, by position
Basis (percentage or other) upon which
fringe benefits are ralnilatrri
Estimates of fringe benefit costs, by position
Purpose and estimated number of trips
Starting point and destination
Transportation method
Per Diem while on travel
Number of persons traveling
Estimated cost of trips
Number and type(s) of equipment to
be purchased
Price of each piece
Type(s) of materials and supplies to be
furnished
Total prices
Estimated number of personal services
or nonconstruction contracts
Nature of contract services
Estimated total cost for each contract*
* Estimates should allow for bid and activity contingencies.
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(a) A certification letter muse ba included in the
Cooperative Agreement Application package. This letter must
be signed by the Governor or Attorney General and must
indicate that the agency entering into Che agreement has both
the authority to do so and to make the assurances required by
EPA as discussed in section I.G of this guidance. This letter
may be a generic, one-tiae statement that covers all sites
within the State, or it may be site-specific. If a State
chooses to submit certification letters on a site-specific
basis, a certification letter must be provided for each site
covered under a multi-site Cooperative Agreement.
(b) In order to conduct procurement activities under the
Super-fund program, a State either must have an internal
procurement system that meets the intent of EPA's regulations.
Procurement Under Assistance Agreements (40 CTR Part 33), or
it must follow Part 33 when it conducts procurement and allow
SPA pre-award review. The procurement certification fora, EPA
Form 5700-43 (Procurement System Certification), demonstrates •
whether or not the State's procurement system is equivalent to
EPA requirements. The certification is valid for two years or
for the length of the project period established in the
assistance agreement, which ever is greater. It* the Statt has
previously provided this certification to EPA. the State needs
only to indicate in Part A of the fora the date the
certification was originally submitted.
(c) In accordance with Executive Order 12372, State- '*»1
removal proposals are subject to intergovernmental revie-
before EPA will obligate funds. Intergovernmental cev*ew is
implemented under 40 CFR Part 29, Intergovernmental Review of
EPA Programs and Activities. Under this regulation, if the
State has an established review process that includes the
project in question, an applicant must formally notify its
designated single point of contact, as well as any directly
affected governmental entities and areawide or regional
planning agencies that it is seeking Federal assistance and
comply with the State's review process. A copy of the
notification should be sent to the appropriate EPA Regional
office. Any comments received in response to this
notification must be attached to the Cooperative Agreement
Application. Funds will not ba obligated to the State until
representatives of the State have had an opportunity to
comment on the proposed project(s). The intergovernmental
review process should be initiated at least one quarter prior
to obligation of funds for response at a site. This lead time
is necessary to meet the required 60-day State review period
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and Co allow time for EPA to respond to State and local
comments. EPA must accommodata. or arplain why it cannot
accommodate, any comment received during the formal process
before it can award funds to the State.
(d) Section 300.67(b) of the National Contingency Plan (NCP)
requires a formal coonunity relations plan (CRP) for all
removal actions that last longer than 45 days (Note: proposed
revisions to the NCP change this requirement to 120 days).
States are therefore required to develop and implement a CBP
for all removal action* that are expected to extend b«youd
this designated time frame. Additional information on CSPs
and guidance for developing these plans is provided in the
Superfund Removal Procedures manual and in EPA's manual
entitled Community Relations in Superfundt A Handbook.
Statas may submit the CRP separately from the Cooperative
Agreement Application package. In that event, either the
Cooperative Agreement Application or a special condition oust
provide that the State will submit the CUP prior to beginning
on-sita activities. The CRP is subject to EPA review and
approval.
(a) A* required by 40 CFR Part 30.302(d)(2), a State must
submit within 30 days of receiving its Cooperative Agreement
the QA/QC procedures it intends to use in environmental
monitoring. These include any sample collect-ion and analysis
activities that may be necessary during the reason**.-. On*
generic QA/QC plan is sufficient for an MSCA. In addition.
however. States are required to develop a site-specifir
Quality Assurance Project Plan (QAPP) to describe the
measurement systems it intends to use on a site, when
preparing the QA/QC plan and QAPP, States must meet Superfund
program data requirements, including the following:
Data produced must be able to withstand the scrutiny
of litigative proceedings, thus requiring
appropriate chain-of-custody, document control and
•; QA/QC documentation.
'Data collection must be cost-effective. Costs of
generating the data cannot significantly exceed
costs associated with similar analyses provided by
the EPA Contract Laboratory Program (CLP).
Data turnaround times must meet project needs.
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The QA/QC plan muse be reviewed by the EPA Regional QA Officer
and the RPM/OSC and must be approved by the Award Official
before any sampling can begin for a project.
(f) States are required to have a site safety plan in place
before field activities can commence. A site-specific plan
must be developed for each removal action. Each safety plan
must provide for the protection of on-site personnel and area
residents. Plans must be consistent with site condition* and
must cover all phases of incident operations. Site safety
plans must also comply with all applicable Federal, State and
local Occupational Safety and Health (OSH) laws and
Occupational Safety and Health Administration (OSHA)
standards. Each sita-specific safety plan must be submitted
to the OSC/RPM for review to ensure removal program
requirements are met. Additional information on site safety
plans is provided in the Superfund Removal Procedures manual.
Site safety plans may be submitted to EPA after the
Cooperative Agreement has been signed providing that the
application or a special condition provides that the plan will
be submitted for EPA review before on-sita activities begin.
III. ADMINISTERING COOPERATIVE AGREEMENTS
OSCa/RPMs and SPOs are responsible for ensuring that response activities
are conducted according to the agreed-upon scope of work, budget, and
schedule included in the Cooperative Agreement and Action Memorandum. The
State official responsible for directing response activities, usually the
SPO, must ensure that all on-site activities are consistent with CEUCLA, the
NCP and removal program policies and procedures. Daily on-site presence by
SPOs is therefore required when response activities are underway. The
OSC/RPM and SPO should maintain close communication at all times to monitor
progress effectively. This can include meetings, phone calls, written
correspondence, and review of contractor monthly progress reports. In
addition, the OSC/RPM and SPO must notify each other immediately of any
unscheduled or unanticipated events (e.g., a fire or explosion on site that
may require an emergency response by EPA) that may have a direct impact on
the project and/or on the terms of the response agreement.
This section briefly discusses State reporting and cost documentation
requirements, monitoring State financial commitments and procedures for .....
agreement adjustments. Additional information on response agreement
administration and reporting and cost documentation requirements is provided
in the State Participation Manual.
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A. Reporting Requirements
When entering into a Cooperative Agreement. States are subject to a
number of reporting requirements, including submittal of technical
progress reports, financial status reports and other reports as required
in the Cooperative Agreement. These reporting requirements are
discussed briefly below.
1. For removal actions. States must submit quarterly technical
progress reports within 30 days of the «nd of each Federal fiscal
quarter and at the end of each response. These reports are
submitted to the Region and present information on activities
performed during the quarter and on total work to data. Exhibit 4
lists the minimum elements that State technical progress reports
should contain for removal actions.
(a) The OSC/RPM is responsible for reviewing technical
progress reports and providing any necessary direction or
assistance to the State, as required. The contant of State
reports should be tailored to specific requirements of the
response activities as covered in the Action Memorandum and
tha provisions of the Cooperative Agreement. All information
should be site-specific and tha OSC/RPM and SPO should reach
an initial agreement on the content and format of these
reports during negotiation of the Cooperative Agreement. For
certain removal actions, EPA may require daily communication
from the State, including submission of contractor progress
reports. A special condition to this effect should be
included in the Cooperative Agreement at the time the
agreement is negotiated and may include a provision that the
State require from its contractor submission of daily and/or
weekly progress reports.
(b) In addition, the State must prepare and submit a final
technical progress report to the OSC/RPM within 90 days after
the completion of the removal action. Removal act ions are
complete when the scope of work in the Action Memorandum has
been completed and the State has demobilized. The Cooperative
Agreement is closed out when all administrative/financial
reporting requirements are completed. See section IV of this
guidance.
2. Once a removal action has been completed. States must submit a
final Financial Status Report (FSR), Standard Fora 269, and any
ancillary reports. Ancillary reports include statistical or
monitoring data, operation and maintenance manuals and other
reports as required in the Cooperative Agreement. The State should
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EXfflBTT 4
CONTENT OF STATE TECHNICAL PROGRESS REPORTS
Description of activities and tasks completed to date, by site
Estimates (percentages) of wui cmupteual for CA.li activity, by site,
including a basis for the estimates
Itemization of expenditures by object ^"Tt fo^ farti iwu""*
Cooperative Agreement, f"HiKK"g h^rii*^friF<;"""' for the quarter and the
cumulative expenditures to date
variances ^^ cost and ome to comnJete t&e Txoiect
Narrative explanation of any trends observed
Description of any actions taken or planned to resolve problems or delays
encountered
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aubmit a final FSR and all ancillary reports to the OSC/RPM within
90 calendar days after completion of the removal action.
(a) The State must provide EPA with the opportunity to verify
that the removal has been successfully completed. At the
conclusion of the removal, joint EPA/State final inspection
may be required to confirm that the removal action has been
implemented properly and that all outstanding action item* are
resolved. The State and EPA will jointly inspect the project
to confirm that all outstanding action items are resolved.
The State shall prepare a final inspection report describing
any outstanding items and their resolutions. A copy of this
report shall be submitted to the EPA OSC/RPM.
(b) In addition, a Final OSC Report must be prepared by the
State at the conclusion of each removal action in accordance
with the NC? and removal program policy and procedures. This
report will be prepared by the SPO. in consultation with the
OSC/RPM, and must be signed by the SPO. The Final OSC Report ;
is subject to the approval of the OSC/RPM and therefore must
be signed by the OSC/RPM.
B. Cost Documentation Requirements
When entering into a Cooperative Agreement, States must also adhere
to certain cost documentation requirements as set forth in 40 CFR
Parts 30 and 33 and all additional Superfund-specific requirements or
procedures for documenting State expenditure of CSRCLA funds.
1. For removal actions. State accounting and recordkeeping
activities must be detailed on a site-specific basis to ensure
effective cost recovery. States must also track and report
expenditures by object class category. Superfund procedures
include documentation and recordkaeping measures intended to
protect the integrity of sits data, such as:
(a) Notifying EPA of archive research by third parties unless
authorized in writing by EPA
(b) Requiring all microform copying of original documentation
to be done in accordance with, or in a manner equivalent
to, the technical requirements for copying Federal
government records (36 CFR section 1230 et seg.).
2. In addition, the Superfund program adheres to the general
Agency-wide policy that, when requested by EPA, States must
provide documentation to support cost recovery litigation and
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related efforts. Documentation must be available for use as
evidence to answer questions such as what work was authorized.
what work was completed, what charges were incurred for the
work, and what payments were made for the work.
C. Monitoring Financial Commitments
OSCs/RPMs are responsible for ensuring that State expenditure of
CSSCLA funds corresponds to technical progress at the site and is within
the cost ceiling in the Action Memorandum and Cooperative Agreement.
Costs incurred by the State may not exceed the amount obligated for the
response in the Cooperative Agreement.
1. The OSC/RPM should review State drawdowns on a monthly basis,
using drawdown information available from the Regional financial
management office. Key documents for this review include the
Financial Management System (FMS) Outlay Report and the State's
quarterly reports.
2. Funds awarded under a Cooperative Agreement are assigned an
activity (e.g., removal action) and site code. The OSC/RPM should
ensure that the State is drawing funds from the proper account for
the site and for the action funded. The account from which
drawdowns are made, identified ia the FMS Outlay Report and the)
State quarterly reports, must match the action being conducted.
3. Under a multi-site Cooperative Agreement, when a removal at a
particular site has been completed, remaining funds may be used to
fund removal activities at another site covered by the same
Agreement. Such funds, however, must be officially transferred to
the appropriate account. A transfer of funds between 3it.es under a
MSCA requires a formal amendment to the Cooperative Agreement to
move the funds from one account to another. Funds remaining in a
site account at the completion of a removal should be deobligated
and returned to EPA unless the State requires additional funds to
support other removal actions covered in the same Cooperative
Agreement. .All amendments to Cooperative Agreements will be
negotiated at the Regional level. This requirement will ensure
that the statutory limitation on cost is adhered to when there is a
need to transfer funds.
D. Agreement Adjustments
Agreement adjustments consist of alterations in the amount, terms,
conditions, project period, project scope or some other administrative,
technical, or financial aspect of the Action Memorandum or Cooperative
Agreement. Depending upon the significance of the change, adjustments
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to the Agreement can be made, either through formal amendments or in
writing, between tha OSC/RFM and tha SPO. Modifications to Action
Memoranda ara subject to currant removal procaduras and policy. All
modifications to tha initial Action Memorandum (e.g., calling increases,
exemptions to tha statutory limits on cost and duration) must ba
documantad in an anandad Cooperative Agreement, but only a/tar the
Action Mamorandun requesting tha modification has baaa approvad.
Circumstances whara a Cooperative Agreement and Action Maaorandon mat
ba formally amandad ara presented below.
1. A Cooperative Agreement must ba amandad whan it requires a
significant change. These occur whan:
Objectives and/or scopa of tha projact, as funded, ara
altered
Funds obligated under one accounting coda will ba used
for a different activity or a diffarant sita
There is any increase or substantial dacreasa in tha
project period or budget
A rebudgeting of funds occurs, such as a transfer between
contractural services and another object class category
or a change in the amount of indirect costs
Changes to special conditions to tha Cooperative
Agreement award document.
(a) Formal amendments are not required for minor project
changes that ara consistent with tha project's objectives.
Minor changes include shifts between object class categories
(except as indicated above) and adjustments to the work plan
within the scope and objectives of the funded project. Minor
project changes should be approved in writing by the OSC/RPM
or the Regional Administrator, as appropriate.
(b) Responsibility for requesting and obtaining approval of
modifications to the Cooperative Agreement rests with the SPO
and OSC/RPM. Tha SPO or tha OSC/RFM identifies tha need for
aa adjustment and the SPO initiates the approval process by
submitting a request to the Region. The OSC/RPM then
determines whether a formal amendment is needed, and if so,
transmits the request to the Regional Administrator. If the —
RA signs the amendment, it is sent to the State for acceptance
and is executed upon signature by an authorized State official.
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2. According to standard removal program policy and procedures,
special requests, in the form of Action Memoranda, must be prepared
when the following are required after approval of the initial
Action Memorandum:
An increase in the project's established cost ceiling
Exemptions to the statutory limitations on cost and
duration
Changes in scope of work
Changes among cost categories where no change in total
project ceiling is required. •
Guidance on the procedures for requesting and obtaining approval
for these changes is set forth in the Suoerfund Removal Procedure*
manual. OSCs/RPMs ara responsible for preparing these requests and
obtaining the necessary concurrence, as well as ensuring that the
Cooperative Agreement is amended accordingly.
IV. CLOSEOUT OF RESPONSE AGREEMENTS
In order to close out a Cooperative Agreement, EPA must determine that
the State has completed the removal action and complied with a:l applicable
administrative requirements under the agreement. The general closeout
responsibilities of the State and the OSC/RPM are briefly discussed below.
A. State Responsibilities
1. A State must complete Che work specified in the Cooperative
Agreement and the Action Memorandum and produce the required
reports (e.g., final FSR and technical progress report), manuals.
plans and other information. The State is responsible for ensuring
that all products and reports necessary for closeout are submitted
to EPA, as required.
2. The SPO is responsible for the completion of the final report
as described in the Cooperative Agreement including the reports and
activities as follows:
Draft and final technical report
Final FSR
Ancillary products such as 0£M manuals
Property/equipment report
Other required reports.
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p •
B. EPA OSC Responsibilities
~1. OSCs/RPMs are responsible for ensuring that the State has
provided all required reports and is in compliance with the
provisions of the Cooperative Agreement and Action Memorandum.
2. Specific OSC/RPM responsibilities are as follows:
Reviews/inspects work in the project and arranges for
acceptance or correction
Reviews and approves required reports
Follows through on delinquencies or deficiencies
Ensures that all disputes and audit exceptions art
resolved
Transmits final determinations on any outstanding issues
Documents tha closure in the official file
Maintains the official records.
The State Participation Manual provides detailed guidance 01. closing out
response agreements. OSCs/RPMs should refer to the State Participation
Manual for additional information on the requirements/procedure? for closing
out Cooperative Agreements.
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