REMOVAL COST MANAGEMENT MANUAL
OSWER Directive 9360.0-02B
April 1988
U.S. Environmental Protection Agency
Office of Emergency and Remedial Response
Washington, DC 20460
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OSWER Directive 9360.0-02B
Date 4/88
The information in this document has been funded, wholly or in part, by the United
States Environmental Protection Agency under Contract No. 68-01-7367 to the Roy F.
Weston, Inc. Headquarters Technical Assistance Team (T AT). It has been subject to the
Agency's peer and administrative review and has been approved for publication as an EP A
document.
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OSWER Directive 9360.0-028
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PREFACE
This manual is designed to provide comprehensive cost management procedures for use
by the Environmental Protection Agency (EPA) at removal actions authorized under the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA, or
Superfund). Specifically, this document should be used by the On-Scene Coordinator (OSC)
and other on-site personnel designated by the OSC when performing cost management
activities at a Superfund removal site.
The policies and procedures established in this document are intended solely for the
guidance of government personnel. They are not intended, and cannot be relied upon, to
create any rights, substantive or procedural, enforceable by any party in litigation with
the United States. The Agency reserves the right to act at variance with these policies
and procedures and to change them at any time without public notice.
This manual supersedes cost control procedures detailed in the January 1985 Removal
Cost Management Manual. The guidelines and procedures presented herein reflect CERCLA
policy and guidelines under the:
o
Delegations 14-1-A, 14-1-8, and 14-2 or delegation of
removal authority to Regional Administrators, February
1987; and ...'
"".
o
National Hazardous Substances Pollution
Contingency Plan (NCP), November 1985;
o.
Superfund Removal Procedures - Revision #3, 1987;
o
ERCS Contract Users' Manual, October 1987.
Supplemental information can be found in these documents and in those on the List of
References at the end of this manual. Revisions of these documents may change policies
and procedures outlined in this manual.
Questions, comments, and recommendations are welcomed re~arding the Removal Cost
Management Manual and should be forwarded to the EPA task mapitor for cost management:
Ms. Karen Holtzman
Emergency Response Division (WH-548B)
U.S. Environmental Protection Agency
401 M Street, S. W.
Washington, DC 20460
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OSWER Directive 9360.0-02B
TABLE OF CONTENTS
LIST OF EXHIBITS
LIST OF ACRONYMS
I. INTRODUCTION
1.1 Removal Cost Management
1.2 Approach to Cost Management
1.3 Changes in the Current Edition
1.4 Using the Manual with RCMS
2. COST PROJECTION
2.1 Cost Projection and the Action Memo Project Ceiling
2.1.1 The Project Ceiling
2.1.2 Policy Regarding Investigatory and
Enforcement Costs
2.2 Projecting the Cost of a Removal
2.2.1 Scoping the Project
2.2.2 Projecting Costs,. ',.-
2.3 Sources of Cost Information
3. COST CONTROL
3.1 General Cost Planning
,3.1.1 Identify Non-Commercial Support Services
and Response Equipment Available
to the Region
3.1.2 Identify Cleanup Services Available
to the Region
3.1.3 Maintain Field Safety Cost Information
3.2 Ongoing Cost Projection
3.3 Cost Tracking
3.4 Contractor Monitoring
3.5 Verification of Cleanup Contractor Charges
3.5.1 Verify Personnel Charges
3.5.2 Verify Equipment Charges
3.5.3 Verify Expendable Materials
3.5.4 Verify Subcontractor Charges
3.5.5 Sign EPA Form 1900-55
3.5.6 Certify Invoices
4. COST RECOVERY
4.1 Justify that Removal Actions are Consistent
with the NCP
4.2 Account for Costs Actually Incurred
4.3 Ensure that Costs are Reasonable and Allowable to
the Project
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Date 4/88
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IX
1-1
1-1
1-3
1-4
1-5
2-1
2-1
2-2
2-2
2-3
2-5
2-10
2-19
3-1
3-1
3-2
3-3
3-4
3-5
.' 3-6
:.. 3-8
3-10
3-11
3-12
3-13
3-13
3-14
3-14
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4-1
4-2
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OSWER Directive 9360.0-02B
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TABLE OF CONTENTS
(Continued)
5. COST DOCUMENT A nON
5.1 Information to be Documented
5.1.1 Chronology of Events and Decisions
5.1.2 Entry and Exit of Personnel and Equipment
5.1.3 Contractor Work Planned and Contractor Work
Accomplished
5.1.4 Contractor Costs
5.1.5 Site Conditions
5.1.6 Cumulative Project Costs
5.2 Options for Documenting Costs
5.2.1 OSC Log/Site Log
5.2.2 Detailed Daily POLREP
5.2.3 Entry and Exit Logs
5.2.4 Work Report
5.2.5 Contractor Cost Report -- EP A Form 1900-55
5.2.6 Incident Obligation Log,
5.3 Fulfilling Cost Documentation;;Requirements
5.4 The Site File Kit ..'
APPENDICES:
APPENDIX A:
APPENDIX B:
APPENDIX C:
APPENDIX D:
APPENDIX E:
APPENDIX F:
APPENDIX G:
APPENDIX H:
APPENDIX I:
APPENDIX J:
AfPENDIX K:
APPENDIX L:
APPENDIX M:
APPENDIX N:
5-1
5-1
5-2
5-2
5-3
5-3
5-3
5-4
5-4
5-5
5-6
5-6
5-6
5-7
5-7
5-8
5-8
Initial Action Memorandum Format for Removals Less Than 12 Months and
$2 Million
Initial Action Memorandum Format for Removals Requesting a $2 Million
Exemption .
Action Memorandum Format for Requesting an Exemption from 12 Month
Statutory Lim~t . . ,
Action Memorandum Format for Requesting a Ce-iiing Increase
Action Memorandum Format for Requesting a' $2 'Million Exemption and a
Ceiling Increase .
Format for EE/CA Approval Memorandum
Non-Allowable Costs Under Superfund
Cost Tables for EPA Indirect Provisional Rates and the National Contract
Laboratory Program
Cost Projection Example
Memorandum of Understanding Between EPA and Agency for Toxic Substances
and Disease Registry
Draft Memorandum of Understanding Between EPA and the Federal Emergency
Management Agency
Draft Memorandum of Understanding Between EPA and the U.S. Coast Guard
Roles of Other Federal Agencies at Non-Federal Facilities
References
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OSWER Directive 9360.0-02B
LIST OF EXHIBITS
Pa2e
2-1 Components of Cost Projection 2-4
2-2 Projection of Extramural Costs 2-14
2-3 Projection of EPA Direct Costs 2-16
2-4 Projection of Intramural Costs 2-18
2-5 Removal Project Ceiling Estimate 2-20
2-6 CERCLA Removal Response Costs 2-21
3-1 Methods of Obtaining Removal Cost Data 3-:9
3-2 Documenting Questionable Charges 3-16
5-1 Cost Documentation Matri~;::~ 5-11
5-2 Example of an OSC Log 5-12
5-3 Example of a Detailed POLREP 5-14
5-4 Example of a Personnel and Equipment Site Entry and
Exit Log 5-16
5-5 Example of a Hot Zone Entry and Exit Log 5-17
5-6 Example of a Work Report 5-18
5-7 EPA Form 1900-55 5-19
5-8 Example of an Incident Obligation Log 5-21
5-9 Example of a Cost Documentation Index 5-22
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AA/
OSWER
A TSDR
CDC
CERCLA
CLP
CA
OPO
EE/CA
ERCS
ERD
EPA
ERT
FEMA
FIT
FMO
FMS
HMIR TP
HQ
lAG
IOL
LDR
MOU
NCP
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OSWER Directive 9360.0-02B
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LIST OF ACRONYMS
Assistant Administrator for the Office of Solid Waste and
Emergency Response, EPA
Agency for Toxic Substances and Disease Registry
Centers for Disease Control
Comprehensive Environmental Response, Compensation, and
Liability Act, 42 U.S.C. 9601 et. seq., 26 U.S.C. 4611, 4612,
4661, 4662, 4671, and 4672.
National Contract Laboratory Program
Cooperative Agreement
Deputy Project Officer, EPA
Engineering Evaluation/Cost Analysis
Emergency Response Cleanup Services
'.
Emergency Response Division, Office of Emergency and Remedial Response
United States Environmental Protection Agency
Environmental Response Team
Federal Emergency Management Agency
Field Investigation Team
Financial Management Division, EPA
Financial Management System
~
Hazardous Materials Incident Response Training ".Program
EPA Headquarters, Washington, DC
Interagency Agreement
Incident Obligation Log
Land Disposal Restrictions, 40 CFR 260
Memorandum of Understanding
National Oil and Hazardous Substances Pollution
Contingency Plan
National Response Team
OSWER Directive 9360.0-02B
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OSWER Directive 9360.0-02B
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LIST OF ACRONYMS
(continued)
OERR
Office of Emergency and Remedial Response
OSC
On-Scene Coordinator
OSWER
Office of Solid Waste and Emergency Response, EP A
PCMD
Procurement and Contracts Management Division
POLREP
Pollution Report
RA
Regional Administrator, EP A
RCMS
Removal Cost Management System
RCRA
Resource Conservation and Recovery Act, 42 U.S.C. 6901 et.
seQ.
REAC
Response Engineering Analytical Contract
RRT
Regional Respon~'.-Team, EP A
Superfund Amendments and Reauthorization Act of 1986
(PL 99-499)
SARA
TAT
Technical Assistance Team
USCG
United States Coast Guard
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OSWER Directive 9360.0-02B
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CHAPTER 1:
INTRODUCTION
The purpose of this manual is to outline a comprehensive cost management system for
use by the U.S. Environmental Protection Agency (EPA) at removal actions authorized under
the Comprehensive Environmental Response, Compensation, and Liability Act of 1980
(CERCLA), as amended by the Sup~Ifund Amendments and Reauthorization Act of 1986 (SARA).
",.-
This system requires that specific on-site and off -site cost information be documented,
while offering flexibility to the On-Scene Coordinator (OSC) in documentation techniques.
This manual modifies and updates cost management procedures detailed in the. January' 1985,
Removal Cost Management Manual.
1.1 REMOVAL COST MANAGEMENT
Cost management refers to the process of planning the costs' G.f site objectives, and
tracking and controlling costs to ensure they are commensurate with accomplishments. Cost
management also involves documenting the planning and monitoring of all relevant
activities in a legally defensible manner.
The purpose of cost management at a CERCLA removal action is to ensure that public
funds are expended responsibly while threats to public health, welfare, and the
environment are mitigated in a manner that is consistent with CERCLA (as amended) and the
National Oil and Hazardous Substances Pollution Contingency Plan (NCP). In addition,
conscientious cost management strengthens the Federal government's claims when seeking
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OSWER Directive 9360.0-02B
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reimbursement from responsible parties (RPs) for response costs incurred during Federal-
lead CERCLA removals.
Ultimately, the On-Scene Coordinator (OSC) is responsible for ensuring that removal
costs are managed and documented adequately. As the primary Federal decision-makers, OSCs
are often summoned to justify actions taken and funds expended under their command.
Therefore, it is essential that OSCs implement a program that ensures that resources are
use.d effectively and efficiently and that adequate documentation exists to substantiate
removal decision-making and expenditures.
As the cost manager at a CERCLA-funded removal action, the OSC plans the activities
and costs to derive the project ceiling and then tracks these costs as the removal action
progresses. The OSC is also resDons.ible for documentation.
"'.,.
This manual identifies tools the OSC may use to manage costs effectively. The cost
management system provides a means of financial quality assurance during a remov~l action.
Quality. assurance is the process of management review and oversight at the planning,
implementation, and completion stages of a project. Cost projection, daily cost tracking,
and cost documentation all provide mechanisms to substantiate removal decision-making and
expenditures.
..
This manual offers guidance to OSCs on developing a compre-}lensive cost management
system. Each chapter addresses one of the major elements of an effective cost management
system. Chapter 2, Cost Projection, describes a method for reasonably forecasting the
costs of a removal. This will aid the OSC in avoiding cost overruns and delays associated
with seeking increases to the approved project cost ceiling. Chapter 3, Cost Control,
explores ways to control on-site costs through general cost planning, cost tracking,
monitoring contractor efforts, and verifying contractor charges. Chapter 4, Cost
Recovery, describes the OSe's role in maintaining legally defensible records that can
serve, when needed, to support cost recovery actions against responsible parties.
Finally, Chapter 5, Cost Documentation, provides suggestions on how to document costs 50
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OSWER Directive 9360.0-02B
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that the information necessary for cost projection, cost control, and cost recovery is
recorded in an easily accessible manner. A list of references and appendices is also
provided as support material to the cost management system.
1.2 APPROACH TO COST MANAGEMENT
A basic tenet of removal cost management is that costs can be managed and documel1~ed
most effectively from the removal site command post. Costs are best controlled and
documented as they occur. The primary responsibility for cost management rests with
the OSc.
Given the rapid response time required at most CERCLA removal actions, the demands on
the OSC's time and attention are great. It is understood that the OSC alone will not be
0',....
able to carry out all cost management responsibilities, and therefore will delegate
certain duties to other on-site and off-site personnel. The Regional Administrative,'
SUPPort. Unit will assist the OSC with cost management and documentation responsibilities
at removal actions. The cost management scheme outlined in this manual, therefore,
strives to achieve effective cost management without excessive paperwork and duplication
of effort.
The success of the cost management approach is largely depe'~ent on detailed
documentation of on-scene activities and costs. This approach emphasizes the specific
information necessary for effective cost management, rather than the specific form for
recording such information. As a result, particular attention should be given to Chapter
5, which outlines the information that must be provided by the OSC for each removal
action. This information is required, and the OSC will be held responsible for ensuring
that the information is recorded in an easily retrievable and coherent manner. To help
OSCs develop cost documentation suited to their needs, Chapter 5 outlines various
documentation tools available to the OSC for fulfilling each information requirement. The
cost documentation approach described herein provides the OSC with the necessary
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flexibility to take into account site-specific conditions and personal management style
when documenting costs. The specific types of information that must be recorded is
consistent for all removal actions, but the OSC may use any form or combination of forms
to document the required information. Of the documentation tools described in Chapter 5,
only the Contractor Cost Report (EPA Form 1900-55) is required. In addition, each piece
of recorded information must be filed in an organized manner for future reference. A
standardized site file kit has been developed for this purpose (see Section 5.4).
1.3 CHANGES IN THE CURRENT EDITION
The manual has been revised to account for changes in the Superfund legislation
(specifically, SARA); regulations, pol!cies, and procedures stemming from that
:': ;-J,.~
legislation; and the new contracts awarded for Emergency Response Cleanup Services (ERCS)
and the Technical Assistance Teams (TAT).
The changes set forth in SARA may significantly affect the complexity,'duration, and
cost of a removal action. These changes include the increase in the statutory limit on the
duration of a removal; the requirement to ensure that actions are consistent and
contribute to the efficient performance of long-term remedial, acti?ns; the increase in the
statutory ceiling to $2 million; and the encouragement of the use o~ alternative
technologies and more "permanent" solutions. The cost management procedures of this
manual have been revised to account for the coordination, documentation, and in-depth
preparation associated with these new or expanded tasks.
In this edition of the manual, significant changes have been made to the methodology
for cost projection, especially in the areas of Regional and Headquarters indirect costs.
Chapter 3, on cost control, has been modified to help OSCs understand the cost
implications of the new ERCS contracts. Methods of tracking site costs have been improved
to help the OSC monitor the project ceiling more closely. The documentation procedures in
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OSWER Directive 9360.0-02B
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Chapter 5 have also been modified, and the appendices have been updated with
current information.
1.4 USING THE MANUAL WITH RCMS
This manual is being released in coordination with Version 3.0 of the Removal Cost
Management System (RCMS) software. The software is designed for on-site use, and
automates some of the concepts of cost management described in this manual. It also
ensures that costing methods are applied consistently throughout the removal program.
The cost projection module of RCMS should be used with Chapter 2 of this manual; the
RCMS software will guide the user through the same step by step process as this manual,
and provide speed, accuracy, and fIe~~bility during cost projection. Chapter 3 of this
...
:'.'J.;"
manual explains the procedures associated with tracking the costs of a removal action on a
daily basis. . Use of the RCMS should greatly increase the efficiency and accu"racy of ,on-
site cost tracking. The 1900-55 module has been developed to accommodate the provisions
of all ERCS contracts and provides for daily tracking of cleanup contractor costs. The
Daily Cost Summary module provides for a daily accounting of all major cost components
incurred at removal actions. The Site Summary module can pr,?vide,valuable information on
the individual cost components of the removal action. An added feature of the RCMS is the
ability to view cost information in a format similar to the ERCS contractor invoices.
This feature should prove valuable to the OSC in reconciling contractor invoices.
The OSC or designated cost manager is encouraged to become familiar with the RCMS
software and RCMS User's Guide, and to learn to use the software in conjunction with the
procedures of this manual. EPA provides training for both cost management and use of the
RCMS.
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OSWER Directive 9360.0-02B
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CHAPTER 2:
COST PROJECTION
An OSC must be able to forecast costs in anticipation of initial and ongoing funding
needs. With the exception of classic emergency situations, detailed below, the OSC must
estimate the total project cost in order to request approval for initiation of the removal
action and sufficient funds for the completion of the action.
2.1 COST PROJECTION AND T}fE-ACTION MEMO PROJECT CEILING
The EPA Regional Administrator (RA) or Assistant Administrator (AA), of the Office of
Solid Waste and Emergency Response (OSWER) or other officials with delega~ed authority in
. .
accordance with delegations 14-I-A, 14-2-B, 14-3, and 8-33, will determine "whether to
approve a removal action under CERCLA based on information provided in an Action
Memorandum prepared by the OSC (see Appendices A and BlA. 'more detailed discussion of
"
preparation of the Action Memorandum can be found in Section IIf.:-C-3 of the Superfund
Removal Procedures Manual (Revision #3). An important element of the Action Memo is the
OSC's projection of the total project cost. This chapter provides guidance in projecting
the cost of the removal action by estimating the costs of individual elements of the
project.
In certain emergency situations, the urgency of the need for threat abatement will
not allow time to calculate project costs before beginning the removal action. Where OSCs
have been delegated authority to obligate up to $50,000 to initiate removal actions, the
Superfund Removal Procedures Manual (Revision 3) requires the OSC to document the decision
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OSWER Directive 9360.0-028
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in an Action Memo within 24 hours of initiating action, whether or not the project will
require further funding. The Action Memo will include a statement of costs already
obligated, and an estimate of any additional costs. Section III-C-9 of the Superfund
Removal Procedures gives further guidance on use of the $50,000 authority.
2.1.1 The Project Ceiling
Once approved, the c.ost projection specified in the Action Memo becomes the formal
project ceiling. The project ceiling, which must also be included in a request for a
ceiling increase or request for exemption to the 12-month/2 million dollar limits, may not
be exceeded without written approval of the RA or AA (or appropriate delegated official),
depending on the ceiling amount. The process of requesting an increase in the project
ceiling (see Appendix D) requires ~pproval of a ceiling increase request Action Memo.randum
. ',...
which includes a formal justification, as discussed in the Superfund Removal Procedures
Manual. Until a ceiling increase is authorized, and further funds are approved, no .
additional funds may be spent at a site. Response teams may be demobilized if a ceiling
increase is not authorized. Consequently, delay of the project will probably increase its
cost (because of the demobilization and remobilization of response teams) and may have
.
harmful effects on health and the environment. The costs a~ocia~ed with down-time will
also be difficult to justify during cost recovery litigation. In orde'~ to avoid delays
and excessive costs, it is crucIal that the OSC properly and accurately estimate the costs
of the removal action.
2.1.2 Policy Regarding Investigatory and Enforcement Costs
The Superfund Removal Procedures (Section III-C-4) states that the cost of all
investigatory and enforcement (I04(b) studies) activities is exempt from the $2 million
statutory ceiling and the overall project ceiling. After a removal action begins,
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however, it can be difficult to keep separate on-site accounts for investigatory or
enforcement-related activities.
In recognition of the difficulty of maintaining separate cost accounts for
enforcement and investigatory activities, the removal program has adopted the policy that
all on-site costs that are I) directed by the OSC, 2) performed by the cleanup contractor,
and 3) initiated after approval of the Action Memorandum are to be counted as response
costs, and therefore are considered part of the project cost ceiling. Categories included
in the project ceiling are:
o
Extramural costs (e.g., cleanup contractor, subcontractor,
waste transportation and disposal, other federal
agency costs, TAT and other support contractors)
o
Intramural (EP A) costs, both direct and indirect, including
labor and other costs, incurred on site, in the Region, and
at Headquarters.' ,:"
"',...'
Note, however, that investigative activities or I04(b) studies which take place before on-
site cleanup begins, such as the Preliminary Assessment, will not be included in the'
project ceiling. The Engineering Evaluation/Cost Analysis (EE/CA) is an ex-ainple oLa
1 04(b) activity which is specifically exempt from the project ceiling. Even if the EE/CA
is performed after the removal begins, it will have its own Approval Memorandum and
project ceiling (see Appendix F). Any costs associated with ,these ':activities (including
sampling or analytical costs, and intramural or extramural labor hO\1rs used to gather
information) are not to be included in the project ceiling for the removal action.
2.2 PROJECTING THE COST OF A REMOVAL
This chapter presents an approach for scoping a removal action and for
preparing cost projections (see Exhibit 2-1). The first part of the process deals with
developing the scope of work for the project. The second part explains how to estimate
costs for the project. These eleven components of cost projection are presented as
sequential steps. It is not necessary to follow this sequence, as long as all the
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OSWER Directive 9360.0-028
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EXHIBIT 2-1
COMPONENTS OF COST PROJECTION
Scooine: the Proiect:
1
Identify objectives of the removal action
2
Develop the scope of work
3
Develop a time frame for the project
4
Identify equipment and personnel requirements
S
Select ~p~ropriate contracting mechanism
.,.
",..
Proiectine: Initial Cost:
Extramural
6
Determine cleanup contractor costs, including subcontractors, waste transportatIon and
disposal, and a contingency
7
Determine TAT, external laboratory coSts,. and other
support contractor costs" . ~
8
Subtotal extramural costs, apply 15% contingency
Intramural
9
Determine EP A direct costs
10
Determine EP A indirect costs
11
Calculate the project ceiling
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OSWER Directive 9360.0-02B
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components are included in the cost projection process. It is also possible to perform
some steps simultaneously.
These procedures are used to create a cost projection for an initial Action
Memorandum;. they are also to be used to project costs for a ceiling increase request (See
Appendix D). When requesting a ceiling increase, the scoping and costing methods outlined
below are applied to the remaining portion of work to be done, not to
the entire project.
2.2.1
Scoping the Project
The Preliminary Assessment is generally performed prior to writing the Action
Memorandum, with the exception.Qf' removals that are classical emergencies or require the
",.,-'
. ,
use of the $50,000 emergency authority. The Preliminary Assessment is considered a 104(b)
investigation; therefore, costs incurred are exempt from the project ceiling. During .the
Preliminary Assessment, (as explained in Section III-C-3 of the Superfund Removal ',\
Procedures), the following information will be obtained:
o
the location of the emergency or release, the extent of contamination, the
population at risk, and all available details of the situation that
will define the objectives of the removal action; ,
o
the immediacy and significance of the threat to public h~lth and/or the
environment, as well as the precautions that must be taken for the safety of
response personnel; and
o
the existence of a non-I:ederal party(s) (such as State or local personnel, or
the responsible party) to 'un'dertake a proper response.
Once it is determined that a removal action is needed, the OSC is then ready to use this
information and begin the procedure for developing the cost projection.
In order to determine the scope of the project, it is necessary to. identify the
objectives of the removal action, define the scope of work, develop a project time frame,
identify equipment and personnel needs, and select the appropriate contracting mechanism.
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I: Ob iectives of the removal action. Using the data obtained during the Preliminary
Assessment, the OSC must define the objectives of the removal action. These objectives
should identify what kind of action will be taken at the site and the extent of the
planned cleanup. All concerned parties (e.g., participating State agencies and the
potentially responsible parties) should understand the objectives and limitations of the
removal action before an action is initiated.
2: Scooe of work. After the objectives of the removal action have been defined, the
OSC must develop the scope of work and determine specific tasks that must be performed.
Because there may be significant gaps in the available information at this early stage,
the OSC must make assumptions about the nature and extent of the tasks at hand (e.g., the
number of drums that must be o;v~.rpacked, staged, and removed from the site or the
dimensions of a containment pond that should be constructed). Given the limited
...
information available, OSCs must use their professional judgment to make the best possible
estimate of the scope of work necessary to abate a release or threat of release. The..OSC
may request assistance from the TAT or ER T and their contractors, as well as discuss the
anticipated scope of work with other OSCs. In order to avoid a potential conflict of
interest, the scope of work should not be developed by (or."with.:the assistance 00 the
~
cleanup contractor.
3: Time frame for the oro iect. Estimation of the time frame for the project is
linked in some instances with the scope of work. The larger the scope of work, the more
time will be needed for the removal. On the other hand, if a site requires a rapid
removal action, the scope of work is likely to be correspondingly smaller.
The project time frame can determine whether daily, weekly, or monthly ERCS equipment
rates are used to calculate costs. Because monthly rates can provide a substantial
savings for long-term projects, accurate projections of project length are an important
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budget consideration. Past experience, discussions with other OSCs who have worked in
similar situations, and OSC reports from other sites are probably the three best sources
of information for determining the amount of time needed to complete a project. Site
conditions (e.g., hazards, weather, and mobility of heavy equipment) have an important
bearing on determining the length of the operation. The projected time frame should
include the estimated turnaround time for sample analysis, and time for coordinating
subcontractors such as those used for transportation and disposal. Transportation and
disposal of wastes can extend the length of a project significantly. Time must also be
allowed for the temporary off-site storage of materials before ultimate disposal, and for
mobilization, decontamination, and demobilization during the project.
4: Eauioment and oersonneln~s. The OSC must examine the equipment and personnel
needs and availability required to accomplish the objectives of the removal., Having
identified the need for a specific expertise from TAT, for example, the OS<=: will need to
determine the availability of that expertise. If it is not available, then alternative
arrangements to obtain that expertise must be identified. An OSC should consider the
following factors when determining the type and quantity of equipment and personnel
necessary to perform the tasks of the removal:
."
o
availability of Federal personnel and government-owned ;equipment;
o
availability and expertise of TAT personnel (e.g., chemist, engineer);
o
specific personnel requirements from the cleanup contractor;
o
availability of a contractor to provide alternative technology (e.g..
potassium polyethylene glycol (KPEG), incineration);
o
availability of contractor specialized equipment (e.g., drum grapplers, portable
effluent treatment systems);
o
safety requirements that limit the use of personnel and/or equipment;
o
mobilization, decontamination, and demobilization procedures needed;
o
necessary waste transportation and disposal operations;
2-7
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OSWER Directive 9360.0-02B
Date 4/88
o
Federal, State, and local permits necessary to complete the project in
recognition of applicable, relevant and appropriate regulation (ARARs);
o
local ordinances that require fire, police, or other site security measures;
o
physical site security requirements.
Often equipment and services are more readily available or cost less when procured
from other government agencies (Federal, state, or local). Section 3.1.1 offers
suggestions on locating such equipment and services.
5: Appropriate cleanup contract. The information on objectives, scope, time frame,
and personnel requirements gathered in Steps 1-4 will define the parameters necessary for
an appropriate and efficient resPQ~se. The OSC should then use these parameters as
:.! ;..,;~.
decision criteria for selecting an appropriate cleanup contractor from a list of Emergency
Response Cleanup Services (ERCS) contractors.
EP A is improving and expanding the nature and number of cleanup contracts. As of the
publication date of this manual, three different types of cleanup contracts are available
in some Regions: Zone ERCS contracts, Regional ERCS contracts, and site-specific
contracts. Selection and initiation of the appropriate contr~ct type will be specific to
the type of incident as well as the exigencies of the situation. T~e ERCS Contracts
Users' Manual provides specific guidance on selecting the appropriate cleanup contractor;
however, the OSC should be familiar with the relative costs of using each of the different
types of cleanup contractors available. The OSC should coordinate with Contracting
Officers at Headquarters or in the Region to determine which contracts and contractors are
available. Through the selection of a contractor, the OSC will have new options for
improving cleanup capability and the cost efficiency of a removal. Section 3.1.2 provides
. further clarification of the cost implications of ERCS contractor selection.
2-8
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OSWER Directive 9360.0-02B
Date 4/88
Zone ERCS Contracts: The United States is divided into four Zones where each Zone is
covered by a separate Zone ERCS contract. The Zone contracts may be used when response
initiation time is extremely limited or a unique service provided by that company is
needed. Only the Zone contracts will provide guaranteed response time within 24 hours or
less. A total of seven Zones are planned.
Reeional ERCS Contracts: These contracts will differ from the Zone contracts by
requiring less stringent and less comprehensive emergency response cleanup services in
less urgent time frames. The geographic coverage of a Regional contract will be smaller
than that of a Zone contract.
Site-SDecific Contracts: These contracts will be awarded on a limited or full and
open competition basis depending on the time available prior to initiation of a response.
The Emergency Response Division (I~RD) and the Procurement and Contracts Management
Division (PCMD) are currently coordinating efforts to provide each Region wjth a source list
of prequalified firms. When it becomes apparent that a site-specific cleanup c:ontract may
be useful for the removal action, the OSC should contact the contracting office to
determine whether the prequalified competition process is appropriate for completing work
at the site. If nine months or more are available, the contract should. be offered on a
basis of full and open competition. The forthcoming Alternati~e .Technology Guidance
,
discusses the use of site-specific contracts to obtain contractors using. available
alternative technologies.
Removal Program Land Disposal Restrictions (LDR) Implementation Guidance requires
OSCs to implement LDR treatment standards for all "California List" wastes, including
PCBs, to the degree practicable. The Administrative Guidance for Removal Program Use of
Alternatives to Land Disposal (OSWER Directive #9380.2-1) offers guidance on contracting
for alternative means of disposal:
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OSWER Directive 9360.0-02B
Date 4/88
If an alternative technology is selected as the removal
action option, a decision must be made whether to use an
existing ERCS contract, or to competitively or non-
competitively award a separate contract. Among the factors
which should be assessed when making this decision are: the
urgency of the acquisition, the adequacy of specifications,
the number and identity of potential contractors for the
option selected, and whether a particular contracting
approach offers administrative or cost savings. The
Procurement and Contracts Management Division (PCMD) can
assist in making this decision.
The alternative technology guidance explains the appropriate process to use for
identifying types of technologies and the Headquarters approval officials for use of those
technologies (depending on the type of contract and the amount, concurrences from ERD and
PCMD may be necessary).
2.2.2 Projecting Costs
Because of the likelihood of increased complexity of removal actions (due to
.
legislative and regulatory requirements discussed in Section 1.3), direct and indirect
costs of removal actions are likely to increase. The coordin~tion;. documentation, and in-
~
depth preparation associated with the land disposal restrictions (LDR or land ban), and
longer removals, for example, also require that cost estimates now include the necessary
additional technical and administrative support hours used or charged in the Region and
Headquarters. Cost recovery efforts for sites addressed early in the removal program
indicate that EPA intramural direct and indirect costs were heavily underestimated.
Estimates for costs related to these tasks need to be included in the cost projection.
Note that calculations in steps 6 - II are presented for explanatory purposes. Once
estimates of hours and other costs have been made and entered into the computer, the RCMS
software will perform the necessary calculations.
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OSWER Directive 9360.0-02B
Date 4/88
Extramural Costs
6: CleanuD contractor. subcontractor. waste transDortation. and disDosal costs. This
step includes the majority of the extramural cleanup costs at a removal action, including:
ERCS, lAGs, CAs, letter contracts, notices to proceed, and a 10-20% contingency of the
above costs.
The price list for the ERCS contractor selected in Step 5 is the major source of information
for obtaining rates for the various cleanup personnel and equipment identified in Step 4.
When appropriate, it is important to include per diem expenses when estimating the labor
costs for the cleanup contractor. The new ERCS contracts now allow for more items which
are reimbursed at cost, as well as more "no charge" items. These new terms should reduce
the cost for some commonly used equ.ipment and therefore reduce the project ceiling. The
OSC should become familiar with the terms of all cleanup contracts as they are
. ,
awarded. If more information or clarification is needed, the OSC should cont~ct the ERCS
Deputy Project Officer (DPO), the Regional Contract Officer (if available), or" the
Contract Officer at Headquarters. For items not covered by the ERCS price list, the OSC
can refer to standard construction cost information manuals, commercial price lists
obtained from other contractors, product literature, the handb~oks'Jisted in Section 2.3,
"
and past OSC reports for cost information. Section 3.1 of this manual offers suggestions
and guidance for identifying supplies and services at lower than commercial costs.
Waste transportation and disposal costs may be difficult to estimate if these rates
have not been negotiated in the cleanup contracts. If these rates are not available
through the ERCS contract, the OSC may use past OSC reports or request TAT assistance to
prepare preliminary estimates. If past OSC reports are used, an inflation factor should
be used. It is not possible for this manual to provide a universally accurate factor to
account for inflation because transportation and disposal costs have escalated
dramatically in the last few years. The OSC may use TAT assistance to contact disposal
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OSWER Directive 9360.0-028
Date 4/88
facilities at the time the costs are being estimated. Also, discussing potential expenses
with other OSCs, especially if they have had experience with similar situations in the
past, may be very helpful in estimating costs.
In addition to the expenses listed above, there are many other extramural costs
which may affect the total project ceiling, including:
o
services of other Federal agencies (e.g., U.S. Coast Guard or Federal Emergency
Management Agency);
o
State and local agency services obtained by letter contract;
o
cooperative agreements with State agencies; and
o
other .anticipated external costs such as utilities, materials, and right-of-way
payments.
The OSC should make specific e.~imates for any "other cost" that can be anticipated.
To allow for unforeseen cleanup contractor expenses that may arise during a removal
(e.g., discovery of additional hazardous substances, delays resulting from p;oor weather
conditions, equipment failure, or increased disposal costs due to market and" regulatory
compliance changes), a contingency allowance of 10 - 20 percent should be added to the
cleanup contractor cost estimate. The specific percentage rate used for the contingency
allowance must be determined on a site-by-site basis, dep~~di~~ on the degree of
:.,
uncertainty surrounding the cost estimate, and the particular coriditions at each site.
7: TAT and other SUDDort contractors. Estimate the number of TAT hours needed to
complete the project. These hours should include off-site as well as on-site hours. Note
that the hours charged to the site during a Preliminary Assessment (or other 104(b)
study) to generate data for an EE/CA, and during PRP (Potentially Responsible Party)
monitoring activities, are considered investigatory and enforcement costs, and are not
charged against the total project ceiling. Each TAT Professional Level (PL) has an
averaged regional rate. This rate is available through the TAT Leader or the TAT Zone
2-12
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OSWER Directive 9360.0-02B
Date 4/88
Program Management Office (ZPMO). Multiply the number of hours times the appropriate
PL rate. Then add an allowance for hotel, per diem, rental car, and other estimated
expenses, which are available through the TAT Leader or lead TAT member for a project.
To cover administrative costs of the TAT program, an administrative multiplier, which
includes overhead expenses, is applied towards all TAT expenses. This factor, available
through the TAT Leader or ZPMO, is multiplied by the sum of the personnel and expense
amounts listed above, to estimate total TAT expenses for the removal action.
Analytical services may be obtained through the following mechanisms: TAT Analytical
TDDs, Contract Laboratory Program (CLP), or Regional laboratories. TAT will be able to
provide an estimate of the cost of a specialized quick turnaround analysis. Instructions
for estimating CLP costs are found in Appendix H. Regional laboratory costs are
considered intramural direct expenditures and are estimated in Step 10. Alll;tboratory
estimates should include costs of sample extraction, analysis, data validation, data
"
reduction, and quality control.
Also estimate any hours for other support contractors, including the Field
Investigation Team (FIT) and the Response Engineering AmHytical Contract (REAC).
8: Subtotal of all extramural costs. The next step in th,ecaiculation of the
"
project cost is to sum the costs obtained in steps 6 and 7 to obtain 'the subtotal of
extramural costs. To allow for unforeseen or unanticipated expenses, a contingency
factor of 15% is applied to the subtotal of the extramural costs.
Exhibit 2-2 summarizes the process of estimating extramural costs.
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OSWER Directive 9360.0-02B
Date 4/88
EXHIBIT 2-2: PROJECTION OF EXTRAMURAL COSTS
Extramural CleanuD Contractor Costs
*
Costs of prime ERCS Contractor (Zone contractor, Regional
ERCS contractor, or site-specific contractor): personnel,
equipment, and materials
*
Costs of subcontractors (including waste transportation
and disposal)
*
Other Federal Agencies (lAGs)
*
State and local agencies, through cooperative agreements
(CAs) or letter contracts
."" .
. 'J,.~-
SUDDort Contractors'
* TAT
* REAC, HMIRTP
* CLP
* FIT
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OSWER Directive 9360.0-02B
Date 4/88
Intramural Costs
9: EPA direct costs. An estimate should be made of the costs for EPA labor and
other direct costs, both on-site and off -site. Estimates should include hours for (1) the
preparation and review of work plans, safety plans, quality assurance project plans, and
the OSC Report; (2) data validation/evaluation; and (3) document control. The estimate should
also include costs of chemical analyses if Regional laboratories will be used. Regional
laboratory costs are estimated with input from the laboratory director; the OSC must be
sure to include sufficient hours for data validation, data reduction, and quality control.
To project EPA direct costs, an estimate must first be made of total direct
intramural labor hours; this estimate should include an estimate for anticipated hours
from Regional personnel (Total. Direct Regional hours), and personnel outside of the Region
(i.e., Headquarters, ERT, or other Regions). Because it is often difficult to estimate
hours for Headquarters personnel, the Comptroller's Policy Announcement No. 87-15 states
that a reasonable estimate of 10% of the total direct Regional hours should be. used. The
total number of direct intramural hours (Regional plus outside of the Region) is then
multiplied by the average loaded direct labor hour rate (to account for salary and fringe
benefits) to estimate intramural direct labor costs. This loade(j rat~ will be provided in
~
the future through the FMD Office or the Superfund Accounting a:!anch.
A separate estimate must be made for other direct costs (e.g., travel, per diem,
and lodging). Exhibit 2-3 lays out an example of the projection of EPA direct costs.
Note that demonstrations of calculations are for explanatory purposes only; RCMS will
perform all calculations after estimates of hours and other direct costs are entered into
the system.
2-15
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OSWER Directive 9360.0-028
Date 4/88
EXHIBIT 2-3: PROJECTION OF EPA DIRECT COSTS
Regional
*
On-site and off-site hours
Total Direct Regional Hours
300
60
+ 40
400
*
Planning, writing, and reviewing reports
*
Regional laboratory hours
Outside of the Region
*
Assistance from other ~.~gions
o
*
. . ; ~....
Assistance from ER T'
60
*
Headquarters direct hours
(Project as 10% of Total Direct Regional Hours)
+
40
100
TOTAL EPA DIRECT HOURS:
500
(Hourly Direct Labor Rate)
x."
$ '30
~
TOTAL EPA LABOR COSTS
Other Direct Costs:
(travel, per diem, lodging)
$15,OQO
$ 1,000
TOTAL EPA DIRECT COSTS:
$16,000
2-16
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OSWER Directive 9360.0-02B
Date 4/88
10: EP A indirect costs. Indirect costs are those costs which are necessary to the
operation of the program and support of site cleanup efforts (e.g., management support and
overhead costs from the Region and from Headquarters), but cannot be directly identified
to the efforts at anyone site. A portion of these indirect costs will be charged to each
Superfund site, and the OSC must include an estimate of these costs in the cost
projection. The Comptroller's Policy Memo No. 87-15 offers instruction on estimating
indirect costs. Indirect hours are estimated by multiplying the total direct Regional
hours estimated for the site by a precalculated "provisional indirect cost rate." A table
of regional rates appears in Appendix H.
For example, if the total direct Regional hours are estimated at 400 (as in Exhibit
2-3), and the provisional indirect cost rate was $60 for the Region, indirect costs for
the site would be estimated at (400) x ($60), or $24,000. The total dollar figure
represents the estimate of total :indirect costs (both Regional and Headquarters) which
will be charged to the site. Further explanation of the indirect cost rates can be, found
in the SUDerfund Indirect Cost Manual, March 1986.
Estimation of intramural costs (direct and indirect) is summarized in Exhibit 2-4
(Steps 9 and 10).
. .
11: Total Droiect ceiling. The total extramural costs plu~ the intramural costs
(EPA direct and indirect costs) compose the project ceiling. The project ceiling should
be the sum of all personnel, equipment, and other costs estimated for the project (Steps
6-11).
Exhibit 2-5 provides an example of this cost projection method as applied to a
hypothetical removal project. Exhibit 2-6 illustrates the funding sources for each of the
different costs esti~ated in the cost projection process.
.
2-17
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OSWER Directive 9360.0-02B
Date 4/88
EXHIBIT 2-4: PROJECTION OF INTRAMURAL COSTS
EPA Direct Costs
.
Costs charged by Regional employees (e.g., OSC, section chief,
Regional Lab)
.
Costs charged by EPA employees outside of the Region (i.e.,
ERT, Headquarters, other Regions)
TOT AL EP A DIRECT HOURS
(Hourly Direct Labor Rate)
TOTAL EPA LABOR COSTS
Other Direct Costs:
(travel, per diem, lodging)
..
.,.
'.',..-'
TOT AL EP A DIRECT COSTS:
Indirect' Cost Formula:
Region -Specific
Indirect Cost Rate
Estimated Regional
Direct Labor Hours
=
Indirect Costs
x
$60
400 hours
. ~24,000
TOTAL EPA INDIRECT COSTS
TOT AL INTRAMURAL COSTS
2-18
~
400
100
500
x $ 30
$15,000
$ 1,000
. $1~,000
$24,000
$40,000
-------
OSWER Directive 9360.0-02B
Date 4/88
2.3 SOURCES OF COST INFORMATION
OSC reports from previous removals generally contain technical information on field
operations, a chronological history of the work completed, and the costs incurred. By
reviewing these reports for cost data associated with specific tasks (e.g., staging drums,
regrading for surface drainage), information may be obtained to assist with estimating the
costs of similar tasks at other removal actions. Cost data should be adjusted for
inflation. Although OSC reports may provide a serviceable estimate for cost projection
and cost tracking, it is extremely difficult for one information source to provide cost
information which is applicable across the country for all types of removal actions.
In addition to the references noted in Step 6, other sources of information include
the Removal Tracking System and the Financial Management System. The Handbook for
Evaluatinl! Remedial Action Techno!ol!v Plans (EPA 600/2-83:..076) and the Handbook for
Remedial Actions at Waste DisDosal Sites (EPA 625-6/85/006) may also provide useful
.,.,-..,
technical and cost estimating information for work tasks common to both remedial and
removal actions. Regional Coordinators in the Emergency Response Divisiori can also have
information about other Regions where similar removal actions may have been conducted.
Transportation and disposal costs are among the most variable costs from site to
site. Disposal costs will vary depending on the type and con.fent~~tion of contaminants as
well as the quantity of waste. The OSC, with assistance froni TAT, should call the
facilities most often used by the Region and obtain estimates for disposal costs.
Transportation charges vary depending on the distance of the disposal facility from the
site. However, if the OSC knows which facility may be used, then a cost estimate can be
determined by multiplying the mileage from the site to the disposal facility by the
transportation costs per mile. The OSC should try to be aware of current costs of
transportation and disposal services.
2-19
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OSWER Directive 9360.0-02B
EXHIBIT 2-5
Date 4/88
REMOV AL PROJECT CEILING ESTIMATE
Extramural Costs
Extramural Cleanup Contractor
(in eludes ERCS. leller contracts. lAGs.
CAs, Regional ERCS, and a cofltingency
contingency can be 10 - 20%)
TAT Costs
NCLP Analytical Costs
ERT Contract (REAC)
Subtotal -- Extramural Costs
15% <:ontingency of Above Costs
(round. to nearest thousand) +
TOT AL - - EXTRAMURAL COSTS
Intramural Costs
Direct Costs
[$30 x 500 labor hours (400 Regional/40 HQ/60 ERT)]
Indirect Costs
Other Direct Costs
TOT AL - - INTRAMURAL COSTS
+
$750,000
$112.500 (15% contingency)
$862,500
$50,000
$100,000
+
$100.000
$1,112,500
$167.000
$1,279,500
$15,000
.'
+
. $:24,000
$ 1.000
$40,000
TOT AL REMOVAL PROJECT CEILING ESTIMATE:
Indirect Cost Formula:
Region -Specific
Indirect Cost Rate
x
Estimated Regional
Direct Labor Hours
$60
400 hours
2-20
$1,319,500
=
Indirect Costs
$24,000
-------
EXHIBIT 2-6
CERCLA REMOVAL RESPONSE COSTS
N
I
N
.....
IAGs* 'EKtramural Cleanup Contractor Costs CAs**
- ERCS Delivery Order
REGIONAL ALLOWANCE - Notice to Proceed
- Order for Service
- letter Contract
(State & Local Government)
OthE:r Ext!" amur al Costs
- TAL.,'
HEADQUAR TERS BUDGET - NClff..
- ERT (REAC)
- FIT
Intramural Costs
REGIONAL INTRAMURAL BUDGET - Direct Costs"
- Indirect Costs
.'
,.' .,,1' " 10% of Intramural Direct Hours
HEADQUARTEHS INTRAMURAL BUDGET - ERT
TOT AL PROJECT CEILING * lAGs:;: Interagency Agreements
** CAs:;: Cooperative Agreements
~....
---
00
00
a
CIJ
~
tT1
;;0
a
1-'-
t;
(1)
() .
...
1-'-
<:
(1)
\0
W
Q'\
o
o
I
o
N
tP
a
IlJ
...
(1)
-------
OSWER Directive 9360.0-028
Date 4/88
CHAPTER 3:
COST CONTROL
Cost control, the second element of cost management, ensures that public funds, once
approved, are expended responsibly, and that resources are used effectively and
efficiently to avoid unnecessary removal costs. Cost control involves five primary tasks:
o general cost planning;
o on-going cost projection;
o cost tracking;',~ :~:.
- extramural
- intramural
o cost monitoring; and
o verification of cleanup contractor charges.
This chapter explores each of these cost control mechanisms.
3.1 GENERAL COST PLANNING
Cost control generally begins before the removal action is Ift.itiated. The OSC must
plan to ensure that the government secures the most efficient services and equipment,
whenever practicable. This section identifies a number of planning activities that an OSC
should undertake to become an effective. cost manager. Cost planning is also necessary to
provide the best daily cost estimates (Chapter 2) and to ensure that the project stays
within the budget of the project ceiling.
3-1
-------
OSWER Directive 9360.0-02B
Date 4/88
3.1.1 Identify Non-Commercial Support Services and Response Equipment Available to
the Region
Often support services and response equipment may be available through Federal,
State, or local agencies at a lower cost than through available commercial vendors. To
identify least-cost resources, an OSC can:
o
Review National. Regional. and State contingency olans. Contingency plans often list
expertise and equipment available through different agencies and, therefore, are an
important resource for the prospective cost manager. By reviewing existing contingency
plans, the OSC can identify the response capabilities of organizations which may be
available to assist the Regional project (e.g., member agencies on the Regional Response
Team). These plans may also help identify non-commercial sources of response equipment
(e.g., emergency lighting through a local maintenance department).
"
o
Identifv resoonsibilities and role~;'that other Federal agencies may olav in resoonse
activities. As described in Section 300.21 of the NCP and delegated in Executive Ord~rs
12580 and 86735, a variety of Federal agencies may be called upon by an OSC: during the
, ,
, "
planning or implementation of a response to provide assistance in their respective areas'
of expertise. The Superfund Removal Procedures Manual also details the use of lAGs and
MOUs during response activities. Appendix M provides a description of the assistance
other Federal agencies may supply at Superfund response actions. '; '"
"
o
Review existing agreements with Federal and State agencies for the oerformance and
reimbursement of Suoerfund-related activities. EPA has negotiated several standing
agreements with Federal and State agencies for the performance and reimbursement of
certain Superfund-related activities. Such agreements may take a variety of forms,
including Memoranda of Understanding (MOUs) or Interagency Agreements (lAGs) with Federal
agencies, and cooperative agreements or Letter Contracts with States. OSCs should review
existing documents (such as the January 4, 1982, MOU between the EPA and the USCG,
reproduced in Appendix L) to learn the terms of the agreements and the available
3-2
-------
OSWER Directive 9360.0-02B
Date 4/88
resources. In addition, an OSC should become familiar with the procedures for securing and
compensating Federal and State agencies for services rendered on-site. Appendix L
summarizes the current administrative procedures for procuring such services and includes
an explanation of EP A's relationship with the USCG.
3.1.2 Identify Cleanup Services Available to the Region
Identification of the appropriate cleanup contractor is part of the process for
scoping the project (see Section 2.2.1). The ERCS Contracts Users Manual provides
guidance on selecting contractors to clean up sites; however, the OSC should become
familiar with the costs of using each of the different types of ERCS contractors
available. The ERCS Zone contracts are likely to be the most expensive because they are
bid using "emergency response" priqe' lists. The prices include contingencies for the
.' . : "~,..'
rapid response time required by the contract, as well as the many unknowns that may be
encountered during a removal action.
Since the Regional and site specific contracts contain less restrictive resl)onse
initiation times and are more limited in geographical response area, these contracts may
be less costly to use; however, the OSC should confirm this before selecting a contractor.
The contractors may also offer a special expertise or may be,avail~ble locally in a given
area. Again, these considerations may reduce the cost of a project~ In addition,
companies will bid on site-specific contracts knowing the site conditions and scope of
work. This information, resulting in a lower degree of uncertainty, should reduce the
cost of contingencies normally associated with response to unknown situations.
It may be cost effective to use more than one contractor on a site. For example, the
removal may be divided into two phases, using the ERCS contractor for stabilization, and a
site-specific contractor for treatment and/or disposal.
As a result of the increased number of contracts that can be used, the OSC should
maintain familiarity with the capabilities of cleanup contractors in the Region. Updated
3-3
-------
OSWER Directive 9360.0-02B
Date 4/88
services and cost information should be verified, whenever possible, by Regional
personnel. Such verification is especially important when considering the use of
alternative technologies. The OSC should become familiar with the availability and
effectiveness of the technologies being considered. Sources of information on alternative
technologies inClude, but are not limited to: the Superfund Technology Transfer Program;
ERT Technology Bulletins; ORD Publications Announcements; the ORD "Technology Transfer"
newsletter; and the Superfund Innovative Technology Evaluation Program (SITE).
When a waste management facility is to be used as part of the cleanup operations, the
NCP requires that the facility be in compliance with Subtitle C of the Resource
Conservation and Recovery Act (RCRA), as amended by the Solid Waste Disposal Act. The OSC
is also responsible for complying with the NCP provision that requires Fund-financed
removals to use transport, storage, aoo disposal facilities operating under appropriate
'.
Federal or State permits and authorization (40 CFR 300.65(g». The Off-Site, Policy
"
entitled, "Revised Procedures for Implementing Off -Site Response Actions," (OSWER
Directive 9834.11) details how to implement this policy. For removal actions, compliance
with the Off -Site Policy requirements is mandatory except in cases where the OSC or other
appropriate Regional official determines that extenuating conditions exist. These
conditions and requirements are detailed in section IV -A of t~e Suberfund Removal
~
Procedures Manual (Revision #3).
3.1.3 Maintain Field Safety Cost Information
The level of protection required for workers on-site will affect the cost of a
removal action. The OSC should, therefore, maintain cost information on safety equipment,
costs of operating and maintaining that equipment (available through ERCS contractors),
and information on the length of time expected to perform cleanup tasks in all levels of
protection. Some recently awarded cleanup contracts contain provisions for a broader
definition of Other Direct Costs (ODCs) that include safety equipment. Certain items
3-4
-------
OSWER Directive 9360.0-02B
Date 4/88
will not be directly charged to the site and some equipment will be reimbursed at cost.
For example, in Zone 4, if the ERCS contractor uses a cascade system, the system will not
be directly charged to the project. However, the tyveks used will be directly billed at
cost to the project. Effective cost control requires that the OSC be thoroughly
conversant with site safety requirements and the contractual costs of those requirements.
If a question arises, the OSC can obtain information from the ERCS DPO, Regional Contract
Officer, or the Contract Officer at Headquarters.
3.2 ON-GOING COST PROJECTION
Removal cost projection does not end with the signing of the Action Memo. On-going
projection and tracking (of both intramural and extramural expenditures) are essential
elements of all removals. On-goin:g"c;ost projection refers to the process of periodically
rescoping the project using the process outlined in Chapter 2. Re-examining the scope of
...
work enables the OSC to re-evaluate the initial assumptions about cost of the project, and
. .
allows the OSC to make necessary revisions, request approval for additional tunds, and
track the costs against the statutory limits. The OSC will be aided in managing the
removal by maintaining awareness of any deviations from the original assumptions that
would change the original cost projection.
..
..
~
On a continuing basis, OSCs must keep track of remaining funds in order to I) control
costs, 2) anticipate the need for ceiling increases, or 3) request an exemption to the $2
million statutory limit. If a removal action exceeds the total project ceiling or the $2
million limit without an exemption approval, site work must cease immediately. Note that
if work continues before new funds are authorized, the OSC is in violation of the Anti-
Deficiency Act. If the authorized funds of the project ceiling are spent, then the site
must be demobilized until the necessary approval has been received. This delay may pose a
serious threat to human health and the environment. Moreover, work stoppage and
demobilization are costly and an inefficient use of Federal funds and personnel. A
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OSWER Directive 9360.0-02B
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reasonable on-going projection, however, can help OSCs avoid exceeding statutory or Action
Memo ceiling limits inadvertently. The following situation(s) should trigger an OSC review:
o When the estimated total cost approaches $1.6 million (or 80% of the project
ceiling);
o When an estimate has been received from a contractor that project costs
will exceed $2 million (or the Action Memo ceiling);
o When 9 months have elapsed since the start of the removal action;
o Or at any earlier time during the removal action, if the OSC believes that
the $2 million limit (or the Action Memo ceiling) will be exceeded.
For actions requiring more than $2 million and/or I year, the $2 million exemption/ceiling increase
request should be in a separate Action Memorandum. Appendices C and E provide a model
outline to aid the OSC in preparing the exemption requests and more detail is provided in
section III-E of the Superfund RenW'val Procedures Manual (Revision #3).
. -',.,.
3.3 COST TRACKING
The cornerstone of on-going cost projection is accurate daily cost tracking (both"
intramural and extramural). The importance of this activity cannot be overemphasized. To
estimate the funds remaining to complete a removal, the OSC must have a reasonably
accurate accounting of the costs incurred to date. Therefore,; the, OSC must utilize a
system to track, on a daily basis, the costs being charged against a project ceiling.
Chapter 5 details various tools that may be used to keep track of costs, including the
computerized Removal Cost Management System (RCMS). Although there are manual methods for
cost tracking, the RCMS is the preferred method because all records are archived and are
easily accessible by other EP A personnel once site activities are completed by the removal
program.
The task of developing a cost tracking system is complicated by the fact that many of
the costs which count toward the project ceiling and the $2 million statutory limit are
not readily available to the OSC on a daily basis (e.g., off -site Regional and
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OSWER Directive 9360.0-02B
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Headquarters personnel costs). As a result, an OSC could exceed a statutory or project
ceiling because of charges beyond his/her direct control or knowledge.
As discussed in Section 2.3, data from previous removals demonstrates that five major
cost categories generally account for almost all removal costs. These categories are:
o
cleanup contract (ERCS) costs including subcontractor charges such as
transportation, disposal, and analytical laboratory costs;
o
support contractor costs including TAT personnel costs and CLP
analytical costs;
o
other Federal agency personnel costs (e.g., USCG Strike Team, FEMA);
o
EPA direct costs (e.g., iritramural costs for on-site and off-site personnel
salaries, Regional lab analysis, travel, per diem); and
o
EPA indirect costs from Regional management and administration. In the past,
these costs were estimated as an additional 15% of all other costs, but are now
being estimated with provisional rates (see Appendix H).
.,.
-1,...-
"
Therefore, an OSC can derive an estimate of the cost-to-date of a removal by daily
tracking of the five elements listed above. The best way to determine what charges' have
been made to a site is through the Financial Management System (FMS), which is accessible
by computer in each Region. The FMS can provide an accurate account of costs actually
charged to the site. The only actual charges to a site that would not appear in the FMS
are expenditures of other Federal agencies that are funded tl1.rough transfer allocation
Interagency Agreements (lAGs). FEMA lAGs are funded in this rn.anner. A record of FEMA
. .
charges can be obtained monthly from the "FEMA: Status of Superfund" report. Headquarters
costs may be obtained through the Financial Management Office in each Region. It is only
necessary to track Headquarters costs on a weekly basis, unless Headquarters personnel are
visiting the site and charging hours to it.
Although most costs will eventually be recorded in FMS, ERCS costs are not recorded
in FMS until they are obligated, and other extramural costs are not recorded in FMS until
they are paid. Exhibit 3-1 identifies the methods by which daily cost information can be
obtained for the five elements listed above. In addition, Chapter 5 includes a suggested
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OSWER Directive 9360.0-028
Date 4/88
Incident Obligation Log (lOL) that is designed to help the OSC keep a running total of
overall project costs and individual totals for each major cost category (e.g., ERCS, EPA,
TAT). The RCMS easily generates a computerized IOL and cost summary reports. The
objective .of the IOL form is to organize all cost information on a single sheet, thus
allowing the OSC (or designated cost manager) to track costs toward the overall ceiling
and the individual category limits (ERCS, TAT, etc.) simultaneously.
3.4 CONTRACTOR MONITORING
On-scene monitoring of contractor work is an essential feature of controlling costs at
Superfund removal actions. Monitoring actions as they occur can lead to significant
savings by ensuring that:
.'...-
o
all work is cqnsistent with OSC instructions;
o
the contractor uses equipment and personnel in the most cost-effective "
manner;
o
the quality of work is adequate to protect public health, welfare, and
the environment; and
o
site workers adhere to safety protocols and demonstrate common sense
in their actions.
.'
In addition, documented cost monitoring can support cost r'ecov&.ry actions by verifying
that total removal costs were not inflated by improper or excessive use of contractor
resources.
An OSC's ability to monitor site work adequately is determined largely by two
factors: (1) the number of personnel available to oversee contractor activities, and (2)
the number of on-site activities (e.g., diking, tank draining, drum staging) that occur
concurrently. The OSC should use available resources (e.g., EPA, TAT, USCG, and State
personnel) to the extent practicable to ensure adequate oversight of cleanup contractOr
performance. At the OSC's discretion, non-Federal monitors, such as TAT or State
3-8
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Tvoe of Cost
ERCS Contractor
TAT
USCG Strike Team
Other Federal Agency
State and Local
Intramural
Direct
Intramural
Indirect
Intramural
Headquarters Direct
OSWER Directive 9360.0-028
Date 4/88
EXHIBIT 3-1
METHODS OF OBTAINING REMOVAL COST DATA
Method of Obtaining Cost
Cleanup contractor provides costs for EPA Form 1900-55.
Multiply on-site and off-site TAT hours by the appropriate Pi....
hourly rate. Per diem and travel expenses are added
individually. Apply administrative multiplier to cover
administrative costs. Each DPO receives a copy of the monthly
invoice for site-specific charges. Estimated costs can be
verified against this invoice.
Strike Team will provide a daily cost accounting upon request.
When an lAG for special assistance at a site is employed
(e.g., aFEMA-managed temporary relocation), the agency
representative should be able to provide costs of the agency
services to date on a regular basis.
At the request of the OSC, State and local personnel win
provide a daily accounting of costs. Total State and local
agency costs may not be available until the end Of the removal
action.'"
Multiply EPA on-site and off-site Direct labor hours by
the Regional Direct labor hour rate for all personnel.
Multiply EPA Regional direct on-site. and off-site hours by the
provisional rate provided in ApP~ndix'.H, to obtain Regional
Indirect Costs. ~
Contact Regional FMO to determine if there are costs
associated with the site from ERD.
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OSWER Directive 9360.0-02B
Date 4/88
personnel, may observe the contractor and report any suggestions or problems to the OSc.
Non-Federal employees (e.g., TAT), may not give direction to the cleanup contractor, but
may perform oversight functions, record observations, and carry out the instructions of
the OSC. The OSC should make every effort to be on site as much as possible to give
proper direction. As stated in the Removal Procedures Manual, if an OSC leaves the site
for more than 24 hours, an alternate should be designated. The TAT may not assume the
responsibilities of the OSC. It is strongly suggested that the designee be a Federal
employee; however, State personnel may be designated as the OSC.
OSCs must use professional judgment when deciding on how to allocate available
personnel among competing site activities. Invariably, there will be pressure to use
available personnel for important site duties (e.g., site safety officer and security
'.
officer) in addition to cost monitorin'g~~"The OSC, however, must not underestimate the
imDortance of cost monitoring. The EPA Form 1900-55 is computerized on RCMS and therefore
can be archived for future use by PCMD. Chapter 5 discusses the EPA Form ~900-55 in
detail.
3.5 VERIFICATION OF CLEANUP CONTRACTOR CHARGES
Under the ERCS contracts, the contractor will supply the'ipfor;ination to complete a
"
daily Contractor Cost Report (EPA Form 1900-55), identifying all charges that will be
billed to the Federal government as a result of services provided each day. (See copy and
description of EPA Form 1900-55 in Chapter 5). Each of the ERCS contracts features four
different categories of costs. Labor and equipment are charged by either (I) fixed rates
or (2) Drovisional rates, depending upon the item. Invoices from subcontractor and rental
agents are (3) cost reimbursement items. Overhead and general and administrative (G & A)
costs are included in (4) indirect charges.
The OSC verifies the EPA Form 1900-55 to confirm that contractor services were
rendered as stated. In doing so, the OSC confirms that the hours of work charged for
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OSWER Directive 9360.0-02B
Date 4/88
personnel, equipment, and any other services are correct. Rate verification, however, is
not the responsibility of the OSC (see Section 4.3). Daily verification of the Contractor
Cost Report provides a check on possible contractor oversights (and abuses). Verification
also helps to avoid disputes of specific contractor charges in cost recovery actions (see
Chapter 4).
The following sections describe suggested methods for verifying: (I) personnel
charges, (2) equipment charges, (3) charges for expendable materials, and (4)
subcontractor charges. In addition, Section 3.5.6 explains the procedures for certifying
contractor invoices and reconciling disputes over invoices.
3.5.1 Verify Personnel Charges
Personnel costs can constitute ~;Jarge portion of total removal costs and, therefore,
should be carefully documented. It is the responsibility of the cleanup contrjictor
Response Manager to place cleanup personnel in positions best suited to the ~eds of the
removal, and to ensure that the field clerk supplies the information documenting personnel
use for the day on the EPA Form 1900-55. The OSC or other designated on-site personnel
can then verify personnel charges by routinely recording which personnel are on-site, the
duties that they perform, and the length of time that they rerti,ain ',Jn site. This
:..
information can then be cross-referenced with the personnel charges provided on the EP A
Form 1900-55. The reliability and effectiveness of this technique depends on consistent
and thorough documentation of personnel information. Chapter 5 elaborates on how to log
on-site personnel activity for the purpose of verifying hours (regular and overtime) and
costs for all on-site personnel. The personnel log will also help determine if hours
overlap for personnel who serve in more than one labor category and verify that these
hours are charged to the appropriate labor category. One way an overlap can occur is when
one person fulfills the responsibility of more than one labor category a day. For
example, one person may be a heavy equipment operator in the morning and a recovery
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OSWER Directive 9360.0-02B
Date 4/88
technician in the afternoon. The second way an overlap can occur is when a chemist
performs the duties of a recovery technician. The chemist should then be billed at the
technician rate. Occasionally, the hours are inappropriately charged at the chemist rate.
The ERCS User's Manual discusses overtime and labor categories in more detail. It is also
important for the OSC to maintain a record of personnel hours spent in the hot zone in
order to verify charges for contractor work hours in protective gear.
3.5.2 Verify Equipment Charges
The OSC can ensure the cost efficiency of a removal by ensuring that equipment
charges are correct, and by understanding the ERCS equipment rate schedule and adjusting
work practices accordingly. The ERCS contracts establish hourly, daily, weekly, and
monthly rate schedules for th~ maj.QJjty of necessary on-site equipment. OSC decisions on
equipment standby and the length of a working day will dictate which rates are used and
how much the government is charged. The new ERCS contracts have been improved to include
certain cost reimbursable equipment and to exclude infrequently used items..Rented '.
equipment is only reimbursed for the cost of rental. Equipment rental and usage is
tracked using the EP A Form 1900-55. Also, the acquisition cost is now limited to $1,000
for items not directly charged to a project. The ERCS Users~ Manual discusses these
"
expenditures in more detail.
To verify that equipment charges are accurate, the OSC or other designated on-site
personnel must prepare a record of what equipment was on site, the length of time that
each piece of equipment remained on site, and whether or not it was used. See Chapter 5
for mechanisms to record equipment usage.
For more information on the ERCS equipment rate schedule, consult the appropriate
ERCS DPO or the EPA Headquarters or Regional Contracting Officer.
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OSWER Directiv'e 9360.0-02B
Date 4/88
3.5.3 Verify Expendable Materials
It is difficult to monitor usage of expendable materials; in addition, most
verification methods require more time and money than are saved in correcting errors in
contractor charges. To verify contractor charges for these materials, periodic
inventories of expendable materials can be performed. The OSC should include a
requirement in the Delivery Order for the ERCS contractor to provide a pre-removal
inventory of expendable materials and subsequent updated inventories on a regular basis.
The OSC log should also note the arrival of significant quantities of expendable items
delivered to the site. For further information on Delivery Orders, see Chapter 4 of the
EPA ERCS Contracts Users' Manual.
3.5.4 Verify Subcontractor.£~.arges
The OSC or other designated on-site personnel must verify all ERCS subcontractor
charges claimed on the EPA Form 1900-55 by carefully checking subcontractor invoices.
Under the ERCS contracts, the authority of the Government to consent or no.t cons~~t to the
award of any subcontract rests with the OSC. Before consenting to the award of a
subcontract, the OSC should ascertain how and why a particular subcontractor was selected,
including measures taken to ensure competition and reason3,:;bl~ !¥.ices. The OSC must also
ensure that the ERCS contractor has fully documented the subcodtractor selection process.
The ERCS contractors are required by the terms of their contract to obtain a minimum of
three bids (if practicable), and to present to the OSC the results of such competition,
the record of price negotiations, and the rationale for selecting every subcontractor. It
is imperative that the contractor clearly and fully document the rationale for the
selection of the subcontractor. This is especially important if the subcontractor
selected is not the lowest bidder. The OSC cannot direct the contractor to use a specific
subcontractor; however, the OSC does have the authority to veto the choice of
subcontractor. The OSC must ensure that all subcontracting decisions are fullv documented
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OSWER Directive 9360.0-028
Date 4/88
by the contractor. The OSC must also document his/her approval of the subcontractor; and
his/her evaluation of the contractor's use of subcontractors and the subcontractor
selection process.
3.5.5 Sig!1 EPA Form 1900-55
After the OSC has verified all the charges listed on the EPA Form 1900-55, the form
is signed by the OSc. If a discrepancy exists, the OSC and contractor representative
should try to reconcile the difference. If the difference is irreconcilable, the OSC
notes the disputed cost on the EPA Form 1900-55. As a last resort, the OSC can always
refuse to sign an EP A Form 1900- 55 if it cannot be reconciled with the OSC's cost
documentation. The difference may then be referred to the EPA Headquarters Contracting
Officer.
.-J-
"..0..
Sometimes, actual costs may not be available and estimated costs will be listed on
the EP A Form 1900-55. In such cases, the amounts should be clearly marked as estimates,
with "await bill" annotated next to the estimated charge.
The RCMS provides a computerized EP A Form 1900-55 using the charges supplied by the
ERCS contractor. The information is entered into the computer by the OSC-designated on-
site personnel. The individual who prepared the 1900-55 sho!Jld b~ identified on the form,
along with his/her affiliation. This information may be used in fut1tre invoice
. reconciliation.
3.5.6 Certify Invoices
Each month, the ERCS contractor prepares a detailed invoice (bill) of the actual
costs incurred on site, a copy of which is sent to the OSC. Contractor invoices submitted
for payment must be certified promptly by the OSc. Note, however, that certification of a
invoices implies only that the services have been rendered. Certification does not
represent that invoiced costs are accurate, complete, or reasonable. The ERCS contractor
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OSWER Directive 9360.0-02B
Date 4/88
must submit a written justification with each invoice stating that the costs are accurate,
complete, or reasonable. In addition, the ERCS contractor must submit a written
justification with any invoice submitted more than ninety days after completion of the
Delivery Order.
If there is a portion of the invoice that cannot be reconciled with the contractor,
the OSC should certify the invoice except for the disputed amount, draft a memorandum
stating the disputed amount, and forward the invoice and memorandum to the Financial
Management Division (FMD) in Research Triangle Park, N.C. A copy of the invoice and
memorandum should be forwarded immediately to the Contracting Officer, who can attempt to
resolve the problem or authorize FMD to withhold payment. An example of a memorandum
entitled "Documenting Questionable Charges," is shown in Exhibit 3-2. For further
information, refer to the ERCS Contracts Users' Manual.
':. . :".....-'
The RCMS provides a computerized mechanism for the preparation of ERCS invoice
reports which include a detailed daily project cost report, the daily project cost
summary, the equipment usage report, the project summary report, the subco~tractor/cost
material log, and the awaiting subcontractor bill report. The format of the invoice
reports produced by the RCMS has been approved by PCMD and will be very similar to invoice
reports submitted by the ERCS contractors. The RCMS allows tJte':.OSC to review a "draft"
invoice prior to receiving an invoice from the contractor. The OSe~ then knows what should
be charged to the site from actual on-site estimates. This standardization of invoice
report formats should greatly increase the efficiency of the invoice verification and
delivery order verification process. General procedures for certifying ERCS invoices are
presented in the EPA ERCS Contracts Users' Manual.
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OSWER Directive 9360.0-02B
Date 4/88
EXHIBIT 3..2
Documenting Questionable Charges - Sample Memorandum
MEMORANDUM
SUBJECT: Contract No.
Delivery Order No.
(if applicable)
Contractor Name
Date
Invoice No.
FROM:
. '..~
On-Scene Coordinator
Region
TO:
Accounts Payable Branch
Contracts Section (MD-32)
Office of Financial Management
Research Triangle Park, NC 27711
I have reviewed the subject invoice for payment and have attached it with the signed
certification statement. However, I recommend that only partial payment of $
be made on this invoice, based upon my review and comparison of the amounts charged with
those accepted on the Reports of Daily Services (EP A Forms'1900l55). The following
individual items are questioned. ~
Date
(from 1900-55)
Line
Item
Amount
Invoiced
Amount
DisDuted
:" Amount
Recommended
fOT Payment
Totals
Attached is my explanation for all disputed amounts. On the basis of this, I
recommend that $ be withheld from the total amount paid.
Attachments:
Certified invoice
Explanation of charges not accepted
cc:
Contracting Officer
Contractor
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OSWER Directive 9360.0-02B
Date 4/88
CHAPTER 4
COST RECOVERY
The on-site observation and documentation of site conditions, response activities,
and response costs are important for cost recovery actions brought against responsible
parties. Essential evidence required for a cost recovery action includes, but is not
limited to:
..
'-!;..-
o
evidence of responsibility of the defendant(s) for the presence of the hazardous
substance;
o
evidence of a release or substantial threat of release of a hazardous substance;
o
proof that the removal action taken was consistent with the National Oil and
Hazardous Substances Contingency Plan (NCP); and
o
proof of costs of the removal action taken by EP A.
In the role of overseeing the on-scene cost management system, the OSC is
responsible, in particular, for the last three kinds of evidence. I~ addition, the OSC
must ensure that the costs are reasonable and allowable to the project. The OSC plays a
critical role in observing, documenting, and preserving the above evidence.
4.1 JUSTIFY THAT REMOVAL ACTIONS ARE CONSISTENT WITH THE NCP
The OSC is responsible for justifying that removal actions are consistent with the
NCP. This determination, and evidence of a release or threat of a release of a hazardous
substance, are usually established in the Action Memo authorizing or documenting
authorization (if using the 50K authority) of the removal action. Any changes in the
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OSWER Directive 9360.0-02B
Date 4/88
scope or nature of the removal activities must be corroborated in at least one of several
documents such as the OSC/Site Log, POLREPs, or a ceiling increase request memorandum.
Section 11-8 of the Superfund Removal Procedures Manual (Revision #3) provides more detail
on justifying consistency with the NCP (40 CFR 300.65).
4.2 ACCOUNT FOR COSTS ACTUALLY INCURRED
The Financial Management System (FMS), which is maintained by the Financial
Management Division (FMD), is the Agency's official source for fund obligation and
disbursement data. Accordingly, the FMS is the primary source of evidence for costs
actually incurred at a removal site for cost recovery actions. However, not all costs
currently incurred at a site are ident~fied in the FMS. It is possible that removal costs
"!,;.....--
which are obligated and paid prior to the establishment of a site ID (SSID) will not be
. ,
assigned to the specific site. Other costs may not appear on FMS reports until after :'
invoicing or payment.
"
The cost information kept on site by the OSC is, therefore, necessary to determine if
additional cost information needs to be collected directly from other ,sources. It is
important to emphasize again that on-site cost documentation}s t~ primary source of
information as to how and why costs were incurred at a removal sit~.
4.3 ENSURE THAT COSTS ARE REASONABLE AND ALLOWABLE
TO THE PROJECT
The reasonableness of all charges paid under any delivery order is the responsibility
of the Contracting Officer, not the OSC. It is also the Contracting Officer who
determines if costs are allowable under terms of the contract. The OSC has no authority
to negotiate prices or rates, nor to determine if costs are allowable. However, in the
interest of good cost management practice, the OSC should be cognizant of costs allowable
under the ERCS contract and associated rates.
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OSWER Directive 9360.0-02B
Date 4/88
CHAPTER 5
COST DOCUMENT A nON
Successful cost projection, cost control, and cost recovery depend on accurate
documentation of important daily site information. The cost management system in this
manual focuses on required information necessary to fulfill cost management goals. It
does not establish required forms that must be used to document this information. This
chapter outlines the six types tf cost information that must be documented at every
Superfund removal site. It also pr&v1des alternative documentation techniques.
The OSC must ensure that the cost management and related informatio,n, detailed in
Section 5.1, is documented every day when appropriate. The method used t? document the
information must be consistent from day to day at anyone site. The method of
documentation, however, may vary from site to site or Region to Region. Each OSC is
responsible for ensuring that the required information is documented, and that a
Documentation Index is prepared, thus indicating where to t~trie;~e each type of
~
information (see Section 5.3).
5.1 INFORMATION TO BE DOCUMENTED
As mentioned above, the on-scene removal cost management system requires specific
removal site information for effective cost management. The on-scene removal cost
management system also records and preserves the information for easy retrieval. The
following required information is necessary for proper cost documentation:
o
o
chronology of events and decisions;
entry and exit of personnel and equipment;
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OSWER Directive 9360.0-02B
Date 4/88
o
o
contractor work planned/authorized and contractor work accomplished;
contractor costs;
site conditions, such as weather; and
cumulative intramural and extramural project costs.
o
o
On-site information can be documented by the OSC and/or by other personnel who
perform the specific job functions of cost manager, and safety and security officer(s).
The on-scene cost manager documents the chronology of events and decisions, contractor
work planned/authorized and accomplished, contractor costs, cumulative project costs, and
prepares the Documentation Index (see Section 5.3 for the Index). The on-scene safety and
security officer(s) document site conditions, and entry and exit of personnel and
equipment. Each type of on-site information is discussed in the following sections. A
matrix outlining the cost documen~ation system is presented in Exhibit 5-1.
. :;~..,.
5.1.1 Chronology of Events and Decisions
...
A chronology must be kept of dates and times of all key activities and'decisions made
on site. This record includes the types of actions taken and why they were taken;
problems encountered on-site and how they were resolved; activities carried out by on-site
personnel; all meetings with EP A managers, the contractor, elected officials, and the
" ~ -.:: '.
public; and any accidents or exposure incidents. A chronoldgy ~e.rves as a basis for the
pollution report (POLREP) and an account of site activities for EPA management, Congress,
and the public. The chronology becomes a historical record that may be useful for future
removals. It also serves to verify contractor charges, and for recovery actions, that
work completed was not inconsistent with CERCLA and the NCP (40 CFR 300.65).
5.1.2 Entry and Exit of Personnel and Equipment
The names of all personnel and equipment entering and exiting the removal site as
well as the dates and time of entry and exit must be recorded. This information is
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OSWER Directive 9360.0-02B
Date 4/88
instrumental in verifying TAT and ERCS personnel and ERCS equipment usage. In addition,
entry and exit information of personnel in the hot zone is recommended for personnel
safety and verifying protective equipment usage. In the event of exposure, the recorded
entry and exit information can help to identify personnel who might have been exposed, and
for what length of time.
5.1.3 Contractor Work Planned and Contractor Work Accomplished
The contractor work authorized by the OSC must be recorded along with the subsequent
detail of what work the contractor accomplished. When recorded, this information can
assist in reconciling discrepancies and help to verify the Contractor Cost Report (EPA
Form 1900-55). In addition, this information serves as a historical record of daily
cleanup progress.
. . ;~ ..'
5.1.4
Contractor Costs
A recorded daily account of all costs incurred by the cleanup contractor,' including
labor, equipment costs, and subcontractor charges, is required in the ERCS contract.
Daily cost information is a tool for cost tracking; it helps the OSC recognize an
impending need to increase contractor obligation monies or in~rease the project ceiling.
~
This information can also uncover inefficient or excessive use of labor and equipment.
Daily cost information is instrumental in cost recovery actions.
5.1.5
Site Conditions
It is important to keep a record of weather, ground conditions, and other physical
conditions at a removal site in order to account for delays and other on-site problems
resulting from such conditions. Information regarding site conditions can also assist in
protecting the health and safety of on-site personnel. Examples of relevant site
conditions that should be documented include a lightning storm, which requires that the
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OSWER Directive 9360.0-02B
Date 4/88
use of heavy equipment cease until the storm has passed causing project delays, or
topographical conditions that create physical hazards that should be noted by all
personnel.
5.1.6
Cumulative Project Costs
All on-site project costs, including those incurred by the ERCS contractor, EPA,
other Federal agencies, and TAT must be recorded and documented on a daily basis.
Maintaining a daily accounting of project costs provides data that can be used in future
cost projections. Because the OSC will have a current record of project costs, daily
tracking may allow early identification of the need to increase the project ceiling; this
in turn may reduce the chance of incurring delays and costs associated with work stoppage
'.
while awaiting approval of a requesf'for a project ceiling increase or exemption from the
$2 million ceiling.
5.2 OPTIONS FOR DOCUMENTING COSTS
The information described in Section 5.1 can be recorded and preserved through a
variety of cost documentation tools. The preferred documentation tool is the computerized
Removal Cost Management System (RCMS). Training on Ver~ion:tO is available on a regular
schedule and as requests are made by the Regions.
Use of the RCMS fulfills the
requirements to document contractor costs, EPA costs, and cumulative project costs. Using
the RCMS to document this information can help standardize documentation among sites
nationwide, and make it easier to retrieve accurate, consistent information for future
projects, cost recovery, ERCS contract definitization, and audits.
The RCMS, however, does not document all of the required information noted in Section
5.1. The forms listed and described below are currently used at many removal actions:
o
o
o
OSC Log/Site Log
Detailed Daily POLREP
Entry and Exit Logs
5-4
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OSWER Directive 9360.0-028
Date 4/88
o
o
o
Work Report
Cleanup Contractor's Daily Cost Report -- EPA Form 1900-55
Incident Obligation Log
Of these forms, only the Contractor Daily Cost Report, the EPA Form 1900-55, is
currently reauired to be completed. The other forms are optional mechanisms to record
required site information. EPA Regions and OSCs have the flexibility to either use the
forms presented herein or design their own forms to best meet the needs of cost management
and documentation at a particular site. To reiterate, documentation of the information
presented in Section 5.1 is required, while the particular documentation techniques
presented below (except the EPA Form 1900-55) are optional.
5.2.1
OSC Log/Si te Log
.'J'
. .1".
The OSC Log/Site Log is a legally defensible record with detailed daily entries which
discusses, for example, work accomplished at a CERCLA removal site, meetings het'd or
attended, and decisions made. In some cases, the OSC maintains a personal log book~ and a
separate site log is maintained by the OSC or designee. The site log will only contain
information concerning this particular site; the OSC log may also contain personal records
and information regarding other sites. A detailed log can f~JfiIl. the following
documentation requirements: chronology of events and decisions, ~ntry and exit of
personnel and equipment, contractor work planned/authorized and accomplished, and site
conditions. An example of an entry in a detailed log is presented in Exhibit 5-2.
It is important to note that for enforcement purposes, pages must not be torn out of
the bound log book. This is particularly important for cost recovery and for litigation
if the State or EPA pursue criminal prosecution.
5-5
-------
OSWER Directive 9360.0-02B
Date 4/88
5.2.2
Detailed Daily POLREP
Pollution Reports (POLREPs) must be prepared at the initiation and closing of an
action and be prepared daily, weekly, or as the need arises due to changes at the site. A
POLREP can include extensive information about activities on a removal site. A POLREP can
also be used to fulfill the following documentation requirements: chronology of events
and decisions, contractor work planned/authorized and accomplished, site conditions, and
cumulative project costs. An example of a detailed POLREP is presented in Exhibit 5-3.
For further guidance on POLREPs, refer to section III-G-l of the Removal Procedures Manual
(Revision #3).
5.2.3
Entry and Exit Log
The Site Entry and Exit Log i~;~ record of the entry and exit times of all personnel
. . .
and equipment on site. Any person or equipment leaving the site for any re!iS0n,
regardless of the duration of time, must be logged out. A Hot Zone Entry a?d Exit 'Log may
be used to record all personnel entering and exiting the hot zone and the level of
protection worn. These logs satisfy the requirement for documenting the entry and exit of
personnel and equipment. An example of a personnel and equipment Site Entry and Exit Log
is presented in Exhibit 5-4, and a Hot Zone Entry and Exit I;.og i~ shown in Exhibit 5-5.
"
5.2.4
Work Report
The Work Report can be used to document contractor work planned/authorized as well as
the contractor work accomplished. The Work Report can be used prospectively to detail
work to be performed by the contractor, with a summary of work completed added at the end
of the day. It can also be used to summarize oral work orders given to the contractor by
the OSC and to identify what work was performed. When used prospectively, the written
plans for the day can help avoid misunderstandings concerning OSC expectations and
instructions. If the Work Report is used prospectively, it is suggested that the
5-6
-------
OSWER Directive 9360.0-02B
Date 4/88
contractor sign the order. An explanation can also be provided to identify problems and
changes in work planned/authorized and work accomplished. A Work Report does not have to
be prepared daily if a particular phase or type of work is to be performed over a period
of days (e.g., drum staging). An example of a Work Report is presented in Exhibit 5-6.
5.2.5
Contractor Cost Report -- EPA Form 1900-55
The EPA Form 1900-55, which fulfills the requirement to document cleanup contractor
costs, is the only mandatory form in the cost documentation system. The EPA Form 1900-55
includes contractor personnel costs, equipment charges, expendable materials, and
subcontractor charges. RCMS can be used to complete the required EP A Form 1900-55 in
several ways, depending on the length of the removal. For removal actions lasting three
days or less, it may be preferable 'tc:)::':Itilize RCMS in the office after the field activity
has been completed. In longer removal actions, daily use of RCMS in the field is
recommended. Data entry will usually by performed by the ERCS contractor, either directly
on through a contractor-specific software interface. A copy of an EPA Form 1900-55 is
presented in Exhibit 5-7. Note that the 1900-55 module of the RCMS can generate this
form, as shown in Exhibit 5-7; OSCs are strongly urged to use the software to document
cleanup contractor costs each day.
~
5.2.6
Incident Obligation Log
The Incident Obligation Log (IOL) is used to record cumulative costs. It provides
daily tracking of all costs that are counted toward the total project ceiling. It also
tracks the limits for individual cost categories (e.g., ERCS, TAT, EPA, and other Federal
agencies). An example of an Incident Obligation Log is presented in Exhibit 5-8. The
columns on the left list the cumulative expenditures for each category (ERCS, support
contractors, other Federal agency personnel, and EPA direct and indirect costs). Daily
costs are listed in the smaller boxes under the appropriate categories. Cumulative costs
5-7
-------
OSWER Directive 9360.0-02B
Date 4/88
are listed in the larger boxes. Another column also provides space for other costs.
incurred (e.g., State and local agency assistance, utilities, materials). The columns to
the right list daily expenditures, cumulative expenditures, and funds remaining on a daily
basis. As stated previously, the RCMS will generate a computerized IOL, which can be much
easier and less time consuming than generating the IOL manually.
5.3
FULFILLING COST DOCUMENT A TION REQUIREMENTS
The OSC i~ required to document each of the six types of site information at a
removal action. The documentation method can incorporate any of the six forms presented
here or other forms that the OSC considers effective (but always including the EPA Form
1900-55). The OSC or the designated on-site cost manager must prepare a Cost
Documentation Index similar to the.;I1J.te in Exhibit 5-9. This Index serves to ensure that
each piece of required information has been documented. It also identifies the
documentation method used, and the location of the information. Without a Cost
Documentation Index, important site information that has been carefully documentedl11ay be
difficult to find, and therefore may be rendered useless.
5.4 THE SITE FILE KIT
..
..
The file structure used at each removal site must be consistent, well-organized, and
routinely maintained. Ideally, the site file structure should be consistent with the
Regional file system. The OERR Office of Program Management issued a suggested
organizational system for Regional CERCLA files. This file structure, however, appears to
be more detailed than would be necessary for a command post file at a removal action.
However, the amount of detail is dependent on the actual removal. For example, if the
removal is simple and does not require months of on-site work, then the file structure
will be simple. If the removal action is expected to extend for months (a large drum
removal), then a more detailed filing system will assist the OSC and the cost manager to
5-8
-------
OSWER Directive 9360.0-02B
Date 4/88
remain organized during the project and once it is completed.
The Office of Program Management is developing a Site File Kit, outlining a consistent
documentation structure for all removal sites. Until the kit is finalized, however, the
on-scene cost manager should consider utilizing the abbreviated file structure presented
below. The file subjects are:
o
Cost Documentation Index
o
Initial Action Memorandum
o
Request for Project Ceiling Increase Action Memorandum
o Entry and Exit Logs
Site
Personnel
Equipment
Hot Zone
Personnel
Equipment
o EPA Form 1900-55
o Incident Obligation Log (lOL)
o OSC/Site Log
o POLREP
o Site Safety Plan (and modifications)
o Work Report
Optional information for the site files include, but are not limited to the following:
o
Air Monitoring Data (daily, if applicable)
o
Sampling' Plan
o
Sampling Data Reports
o
Quality Assurance Plan
o
Community Relations Plan
o
Justification memos for subcontractors
o
TDDs and Special Project TDDs (if applicable)
5-9
-------
OSWER Directive 9360.0-02B
Date 4/88
The cost manager will be responsible for maintaining files on a daily basis and
maintaining the files in the Regional office. Maintaining all relevant documents in the
above orderly file system will facilitate the incorporation of the command post files into
the Regional office files. Complete, well-organized Regional files will aid in cost
recovery and facilitate review by the Inspector General's Office. The file system will
also provide readily accessible documents if an OSC is later called to testify on a
particular removal action.
5-10
-------
Exhibit
5-1
COST DOCUMENT ATION MA TAIX
R..Qulr.... Info....t Ion P..Quene..
Ch.on"loq~ 01 ...enta
.nd declalona
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p..aonn.1 .nd .qolp-
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huw the)' "~(e '~i80IVCII
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.onnel .r>d .qulp."ot Ih.t e..Ie. ..00
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. Wb.t contractor vo.1I .... 0."..""
on .It.
. w".t coot .acto. ..0.. .... c." I.... ..01
.od ho.. it v.. ."c".p 11."...1
. U.II~ .CC"""1 01 ..II CUIOt.. In.:oll..d
h~ c~fI~ J.Ch" 1".1...1",.., """I....nt
cOllt;.. lIol.cont ...ctu. cUIOIIi. etc.'
..
. We.tlurt, q,lhUIJ ,:un.llt lun..
. A I I p. 6J ~ (t . CJ ill' liP A. f... r.
.Ct..) ...'c ru~d tCJ dat:1i
flicS.
H~dson~ . UI Hr~,1
. AI:":.."", "t.. II t Y t u t:IJA &84n4tjeAlt:'ul,
C'on'.' t:'S~, t h~ ......, h-'
. Ih"'-.°u.Cllt4IiulI an tiU,~pu.t u' l.' u::i I He-
~U\feIY (",~.i'a":dl'on Ihdt 4~tAt~u~
t,'''cn wcJ~ cun:ia:.tC!lIt wil" ,,'t:~CI.A
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. Uabl~tlal'dl It:t.:UI.'S --
t 'II U I C I ~.u'" 4' :i
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. "''Jbl,.,''I.. .n~ Ineltie'..nt u. e.eelO-
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LUI,
. 0.. i I r 1'01.11[1' 1..11 h
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.c"uuo.ln~'
-------
Exhibit 5- 2
EXAMPLE OF AN OSC LOG
o~oo
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Ro.j ("\ \'-4~ '!> ropptJ - rove CO--' t- CA.1l~ r... clfO.~ dJ 'I ww..lNf
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1.t)a~leblc.IU'"'~ r,iW ctuk ()..iti~s (¥\ ~A~
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-------
Exhibit 5-2
(Continued)
1100
11.~O
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1"15
1500
\1100
All p~"'':>Of\f\eJ tYt4.k. Put' luk1ch
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-------
OSWER Directive 9360.0-02B
Date 4/88
EXHIBIT 5-3
EXAMPLE O~ A DETAILED POLREP
POLREP
DATE: NOVEMBER 12, 1986
POLREP NUMBER: 10
NAME OF REMOVAL ACTION: ABC DRUM SITE, ANYTOWN, NEW JERSEY
OSC: BRUCE SPRINGSTEEN, REGION II
SITUATION
A.
Rain showers last night created muddy conditions onsite.
Weather today was .partly cloudy, temperatures in the 50's.
Removal Action continues.
B.
Personnel on-scene on 11/11/86:
ERCS contractor - 13
TAT 2
EPA - 1 (OSC)
C.
RP has threatened to deny EPA access to site if his de~ar.ds
concerning site conditions are not met.
ACTIONS TAKEN:
~
A.
Excavated 156 cu. ydssoil near lagoon this~date.
yds total have been excavated to date. Phase 1 of
excavation now complete. OSC awaiting soil sample
to determine if further excavation is needed.
1780 cu
soil
results
B.
3,000 gallons of organic solvents from warehouse were bulKed
and shipped off site to .Firesign Incinerators. All dru~
waste trom the warehouse has now been removed except for 10
drums of PCB liquids.
C.
200 additional drums were excavated and staged. Drum
sampling continues. Estimate that 700 drums remain buried.
D.
OSC met with State geologist to discuss the state's
groundwater sampling efforts. Preliminary results should te
available within 2 - 3 weeks.
5-14
-------
OSw~R Directive 9360.0-02B
Date 4/88
EXBIBI~ 5-3, (continued)
FUTURE PLANS:
A.
Continue drum excavation, staging and sampling.
B.
OSC and Regional enforcement attorney to meet 11/13 to
discuss access. RP's actions have not impeded any cleanup
work to date. Enforcement will seek court order granting
EPA access to site if necessary.
C.
Await soil sample results to determine if further excavation
of soil near lagoon is needed.
D.
Evaluate disposal options for hazardous waste on site,
including 10 drums of PCB still in the warehouse.
'.
0".....
COST IQ ~
Cleanup contractor
TAT
NCLP :;::'alytical
Service
EERU
Intramural
Direct
Indirect
TOTAL
PROJECT COMMITTEDI REMAINING
CEILING OBLIGATED CEILING
$ 500,000 $ 250,000 $ 250,000
50,000 35,000 15,000
100,000 100,000 -0-
35,000 35,000 -0-
45,000 22,. 000" 23,000
90,000 40,000 :" 50,000
OTHER INFORMATION
Removal action expected to be completed within two weeks, as scheduled.
5-15
-------
OSWER Directive 9360.0-028
Exhibit 5-4
EXAMPLE OF A PERSONNEL AND EOUIPMENT
SITE ENTRY' AND EXIT LOG
Date 4/88
SITE ENTRY AND EXIT l.OG
Work Si.te Da te
TIME PERSONNEL REPRESENTING TIME EQUIPMENT
In Out In Out
'.
..'
.'
.. '
:,.
..
Comments
5-16
-------
OSWER Directive 9360.02B
Date 4/88
Exhibit 5-5
EXAMPLE OF A HOT ZONE ENTRY AND EXIT LOG
HOT ZONE ENTRY AND EXIT LOG
Work Site I Da te
TIME PERSONNEL LEVEL OF PROTECTION
In Out
- '.. ~
Comments
5-17
-------
OSWER Directive 9360.0-02B
Date 4/88
Exhibit 5-6
EXAMPLE OF A WORK REPORT
WORK REPORT
Work Sit. Work Period
From / / To / /
Contractor OSC
Contractor Reo.
Work Planned/Authorized Work Accomgllshed
"
,'!;.,.~.
EQuioment Planned/ Authorized EQuioment Used
,, ' "
"
"
"
Comments
Contractor Signature OSC Signature
Oate Oa te
5-18
-------
OSWER Directive 9360.0-02B
EXHIBIT 5-7
Date 4/88
* . * DRAFT * * * DRAFT * * * DRAFT . *
HAZARDOUS SUBSTANCE RESPONSE FUND
US ENVIRONMENTAL PROTECTION AGENCY
SITE NAME: LA.K! WINNEMUCCA
* DRAFT * * * DRAFT * * * DRAFT. . .'
CONTRACTOR COST REPORT PAGE 3 I
I
I
CONTRACTOR:
ACME ENTERPRISES
CONTRACT -
68-01-1959
CONTRACTOR UNIT RATE MATERIALS
EPA STANDARD FORM 1900-55
DELIVERY ORDER -
6801-03-195
DATE
09/12/87
18.
MATERIAL
19.
20.
21.
22.
23.
PURPOSE
UNITS
QUANTITY
UNIT
COST
COST
ERCS CONTRACTOR 0001: ACME ENTERPRISES
---------------------------------------
DISP. AIR FILTERS
VISQUEEN
PRSNL. PROTo
COVERING
FILTERS
ROLLS
0.0
0.0
23.500
50.000
0.00
0.00
=:=:8.=::1==-=
0.00
..
.'
.""0"
.'
24.
TOTAL U.R. MATERIAL COST TO DATE:
$ 3152.00
25.
TOTAL U.R. MAT~AL COST FOR TODAY:
$ 0.00
TOTAL ERCS COSTS TO DATE:
$ 35914.84
TOTAL DAILY ERCS COSTS:
$ 4097.48
5-19
-------
OSWER Dir~ctive 93bU.U-U2~
EXHIBIT 5-7 (cant'rl)
Date 4/88
. . . DRAFT * * * DRAFT * * * DRAFT * * * DRAFT * * * DRAFT * * * DRAFT * . *
HAZARDOUS SUBSTANCE RESPONSE FUND CONTRACTOR COST REPORT PAGE 2
CONTRACTOR EQUIPMENT REPORT
EPA STANDARD FORM 1900-55
CONTRACTOR:
ACME ENTERPRISES
DELIVERY ORDER #
6801-03-195
CONTRACT #
68-01-1959
US ENVIRONMENTAL PROTECTION AGENCY
SITE NAME: LAD WINNEMUCCA
13.
14.
DATE
09/12/87
15.
COSTS
9.
10.
11.
12.
EQUIPMENT
ITEM
EQ
ID
TOT WORK
DAY HOURS STATUS RATE
TODAY'S
COST
TOTAL TO
DATE
ERCS CONTRACTOR 0001: ACME ENTERP~ES
--------------------------------------
041:TRUCK VAC 3500 GAL 2001 I 121 9.0 REG DL 307.50 2460.00
Mileage Charge 22.0 Miles @ $ 0.21/Mile 4.62
057:TRAIL EMERGENCY RES 5001 10 9.0 REG DL 142.00 851. 50
063:TRAIL OFF APPR 8X40 5002 10 9.0 REG DL 87.00 520.50
076:8ACKHOE CAT 225 2003 11 9.0 REG DL 577.00 4039.00
086:FRT END LD CAT 966 5003 .....10 9.0 REG DL 673.50 4039.50
205:CYANIDE MONITOR 2003 ;',~;"'12 9.0 REG DL 62.00 494.50
298:COMPUTER PORTABLE-PC 5555 12 This item is RENTED
9.0 REG DL 31.00 247.50
G and A Charge 3.io .'
800:SWIMMING POOL 6666 11 9.0 REG DL 15.50 107.50
========-
1903.22'
16.
TOTAL EQUIPMENT COST TO DATE:
$ 12827.59
-r: -
17.
TOTAL EQUIPMENT COST FOR TODAY:
$ 1903.22
5-20
-------
OS.~R Directive 9360.0-02B
EXHIBIT 5-8
Date 4/88
INCIDENT OBLIGATION LOG Page 1
From: 09/01/87 To: 09/11/87
Site Name: LAD WINNEMUCCA Project Ceiling:
09/01/87 750000
09/11/87 1000000
Await
Date/ 1900-55 Bill EPA O. Fed TAT Add'nl Total Balance
TTD Costs Change Costs Costs Costs Costs Costs
09/01/87 4037 176 2004 900 724 500 8341
4037 176 2004 900 724 500 8341 741659
09/02/87 2183 165 1494 2050 958 0 6849
6220 341 3498 2950 1141 500 15190 734810
09/03/87 3766 0 2952 1966 936 873 10493
9986 341 6450 4916 2077 1373 25683 724317
09/04/87 4501 0 ,,<... 2782 1928 1126 0 10337
14487 341 9232 6844 3203 1373 36020 713980
09/05/87 3045 258 1464 1437 874 342 ,,7419
17532 599 10696 8281 4076 1715 '4 3 440 706560
09/06/87 1555 0 594 997 454 127. ' .3727
19087 599 11290 9279 4530 1842 47167 702833
09/07/87 1483 0 704 997 454 145 3782
20570 599 11994 10275 4984 1987 50949 699051
09/08/87 3595 0 1606 1877 1~27 0 8505
24165 599 13600 12152 6'925; 1987 59454 690546
"
09/09/87 2973 0 1516 1995 1021 ". 0 7504
27138 599 15116 14147 7046 1987 66958 683042
09/10/87 4003 0 1516 1995 874 0 8388
31141 599 16632 16142 7919 1987 75346 674654
09/11/87 3085 -423 1516 1995 544 0 6717
34226 176 18148 18137 8463 1987 82063 917937
5-21
-------
OSWER Directive 9J60.0-02B
Exhibit 5-9
Date 4/88
EXAMPLE OF A COST DOCUMENTATION INDEX
COST DOCUMENT A TION INDEX
wor. SUe Period 0' Removal Ac 1 Ion
Location OSC
INFORMATION REOUIREO OOCUMENTATION TECI-INIOUE
Chronology 01 E'lents and 0 OSC l.Og
OeCISlons 0
POl.RE~
0 01 h er. Soecity:
En 1 r y and Ex i 1 01 Personnel 0 OSC l.og
and Eauiomenl 0 Site
. '., .~. Entry/Exit log
0 1-10 t Z~ne EntryiEJlit L::I;1
o Other, Soecity:
Contractor Wor k Plannedl 0 POl.REP
Authorized and Contractor 0
Work AccomOlisned OSC l.og
0 Work Reo or t
0 Oth.;', ,Sl)ecily:
'.
'.
Contractor Costs 0 E~A Form 1900-55 (mandal::lr(1
Site Conditions 0 POl.RE~
0 OSC l.og
0 Other. Soecily:
Cumulative PrOject Costs 0 Incident Obligation Log
o POl.RE~
0 Other, S"8cdy:
5-22
-------
Source:
April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX A
INITIAL ACTION MEMORANDUM FORMAT FOR REMOVALS
LESS THAN 12 MONTHS AND $2 MILLION
..
:'!;.....'
Superfund Removal Procedures, OSWER Directive 9360.0-038 (Revision #3),
U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Appendix 6.
-------
April 1988
OSWER D[RECTIYE 9360.0-02B
MOCEL INITIAL ACTION ~RANDUM FOR R.Do!OVM.S
t.ESS nw.I TWELVE MONTHS AND $2 MILLION
Below is a '~ecommended format for OSCs to follow in preparinq their
removal Action Memoranda. Whi Ie use of this model format is not mandatory.
OSCs must cover all of the topics presented in the model in order to
demonstrate that the incident meets the removal criteria of section 300.65
of the NCP and that all actions in the scope of work are consistent with
both CERCLA. as amended by SARA, and the NCP. SARA raised the statutory
limitations for removal actions from six months and $1 million to twelve
months and $2 million. SARA also established a new requirement that all
removal actions contribute. to the extent practicable. to the efficient
performance of any long-te~ remedial action performed by EPA. the State.
the locality, or a private party. OSCs must include in the Action
Memorandum a discussion of how the proposed removal action contributes to
the long-term efficiency of ongoing or future remedial actions. whether
Federal. State or PRP. In addition. OSCs should attach to their removal
Action Memoranda all appropriate~TSCR Health Advisories.
i'! ;~.:~'
The structure of the recommended format is a representative sample of
the type of Action Memoranda frequently prepared by the Regions. , In
addition to this sample format. OSCs are encouraged to use the Decision:'
Rationale (Appendix 5) as supplemental guidance in preparing a request for
removal actions. When it is initially known that the removal action will
exceed the $2 million limitation. ascs should prepare at1 initial Action ':
Memorandum and $2 million exemption request in accordance with Appendix 7.
1.
HEAD-ING
CATE:
Month/Cay/Year
SUBJECT:
Request for Removal Action Approval at the ~ite. City. State
AC'I'ION MEMORANDUM
Site/Spill-IC:
Cateqorv of Removal: All removal actions are considered
time-critical unless othe~ise indicated (e.q.. classic
emerqency or non-time-critical)
.
National Significance:
national significance
Indicate whether the removal is of
FROM :
On-Scene Coordinator
TO:
Regional Administrator (or to the file. thru the RA. if the
response is initiated under the OSC's $SOK authority and will
not exceed that cost)
THRU:
Reqional Civision Cirector. as appropriate
A-l
-------
April 1988
OSWER DIRECTIVE 9360.0-028
II.
ISSUE
Briefly state that the site meets the criteria for initiatinq a removal
action under section 300.65 of the NCP and is anticipated to require less
than twelve 80Dths and $2 million for completion.
III.
BACKGROOND
The background section should contain info~tion on. the location of the
site, the incident characteristics (includinq the history of the site,
qeneral character of the site, and issues relevant to waste manaqement),
summary of quantity and types of substances present. State and local
authorities' role. and actions to date. includinq previous and current
actions to abate threat. Each of these info~tion points is described
below.
A.
Site Description
1.
Describe the site's physical location.
Give distances from n~a"rest populations and points of reference,. as
appropriate. Also state the population size. For example. a school is
within one-quarter of a mile and there are 1.000 residences within a
mile of the site; ten of these residences are adjacent to the site. The
area is mainly suburban residential with some industrial areas. .
Describe the areas adjacent to the incident or site in terms of.
nearby vulnerable or sensitive populations. habitats and natural
resources. For example, the site is adjacent to wetlands and a
tributary to the river flows nearby. Describe how sensitive areas, such
as floodplains, could impact the removal.
Describe any areas protected by statute, s4ch as parks. historic
sites. and sensitive ecosystems and cite the statut"eh This may include
areas such as the New Jersey Pinelands. wetlands areas, or wild and
scenic rivers.
2.
Discuss the general character of the site.
Describe the current use of the site (e.g.. active facility, vacant
lot. or recreational area). Also describe the nature and type of the
facility or vessel. as well as the business activities undertaken at the
site that ..y have contribute~ ~o the incident (for example. a sanitary
landfill that accepted industrial wastes or .a midnight dump of PCB
wastes) .
Describe any existinq st~ctures. measures, or conditions that
would either mitiqate or accelerate the release of any materials on-site
(e.g.. an unstable dike, a temporary containment system, adverse weather
conditions. site security, fencinq. condition of containers and similar
situations). State whether the release is widespread and/or is
miqratinq rapidly.
A-2
-------
April 1988
OSWER DIRECTIVE 9360.0.02B
Include any pertinent information on the site's owners. past and
present. This should reflect information on. whether the current or
previous owners contributed to the conditions on-site. Note whether
this is the first removal at the site or is a restart.
3.
Indicate NPL status.
Indicate whether the site is on the NPL. If the site is on the
NPL, then state when remedial action is expected. If the site has not
been promulqated on the NPL. indicate whether it has received an HRS
ratinq. is likely to be proposed or already has been proposed for
inclusion on the NPL. Indicate if the site has appeared on the NPL. but
that no remedial action is to be taken (e.q.. because of ramoval or PRP
response) .
4.
Provide supportinq documentation.
Pictures. diaqrams. maps. and/or sketches are encouraqed if they
substantiate ose findinqs. They may be included as attachments or
inco~rated into the text. This documentation may help to substantiate
the threat at the site...
. ~ ~.."
B.
Incident/Release Characteristics
...
Discuss the history of the incident or release. Describe the'type
of incident that occurred (e.q.. a classic emerqency) and vby it
occurred. For example. a storaqe laqoon overflowed due to heavy rains.
Be sure to list all of the site's key problem areas (e.q.. drums. bulked
liquids. laqoons. or contaminated soils).
Describe the exact locatlon of the incident at the site. For
example. the release occurred at an overflowinq laqoon in the south
corner of the site. Include the time and date t'if known) of the
incident. State whether the release is new or has j~t recently been
discovered. Also describe when and how the incident~was discovered.
For example. drums washed up on the beach and were d~scovered by park
ranqers.
C.
Quantities and Types of Substances Present
1.
Describ. the hazardous substances in terms of cateqories or classes
of c:huUcals.
List all materials known on-site at the time of the approval
request and indicate whether these materials are hazardous substances or
are pollutants or contaminants. Sections l04(a)(1)(A) and (B) of CERCLA
state the different criteria that are used dependinq on whether the
release is a hazardous substance or a pollutant or a contaminant (NOTE:
pollutants and contaminants must pose an imminent and substantial danqer
in order to elicit CERCLA response). Also hiqhliqht any substances of
critical concern (e.q.. PCBs. dioxins). If this information is provided
A-3
-------
April 1988
OSWER DrR£CTIYE 9360.0-028
in chart form, identify in column fo~t the substance, quantity,
location (I.g., well .1) and existinq standards (e.g., DWEL), if there
are any, for comparison. Later discussion of threats should refer to,
not duplicate, the information on this chart.
Descrjbe briefly the results of the samplinq (e.g., most affected
residences showed elevated levels of trichloroethylene in tap water) and
give estimates of quantities of the classes of materials if they are
available (for example, 220,000 ppm of PCBs in the soil). Indicate
whether they are "reportable quantities" as set forth in 40 CFR 302.
CERCLA's definition of "hazardous substance" in section 101(14)
includes substances designated or toxic pollutants listed in sections
3l1(b)(2)(A) and 307(a) of the Federal Water Pollution Control Act; any
hazardous air pollutant listed under section 112 of the Clean Air Act;
and substances with respect to section 7 of the Toxic Substances Control
Act and section 3001 of the Solid Waste Disposal Act. In addition,
categories of hazardous substances are listed in Appendix VIII of RCRA,
"Hazardous Constituents" and in 40 CFR Table 302.4 "List of Hazardous
Substances and Reportable Quantities."
'.
2.
Describe the sampling methodology.
Briefly describe the samplinq methodology as well as
maintaininq consistency, reliability and quality control.
perfo~ed the data collection and the lab analysis (e.g.,
contractor, local health authorities). Indicate the time
the samples were taken.
methods for
Mention who
EPA,::
frame in which
D.
State and Local Authorities' Roles
1.
Briefly describe State and local actions to date.
. .
State whether State and/or local governments '~equ~sted EPA
assistance and the name of specific agencies/officials~makinq the
request. Swranarlze any "first-responder" or other actions these or
other agencies have taken to protect public health and the environment
(e.g., evacuated individuals within one square mile, posted police to
restrict public access). Provide the dates for and indicate the
effectiveness of such actions. Indicate State/local cooperation in
assessinq the release and threat and whether State and local government
personnel remain at the site.
2.
Summarize the potential for continued State and local response.
Describe any actions State and local gove~ent personnel are
currently taking and their anticipated future roles. Examples of roles
could be providing site security or hookups to the water main. Indicate
whether the State mechanism for obtaining funding is available, is
depleted or will require delaying the response for an unacceptable
period of time given the threat. Indicate whether the State/locality
will fund these activities or require funding under a letter contract.
Indicate whether the State is going to lead the response and enter into
A-4
-------
April 1988
OSWER DrREcnYE 9360.0-028
a Cooperative Agreement. This is most likely to occur for non-time-
critical removals at NFL sites, although Cooperative Aqreements also. may
be executed for removals at non-NPL sites. Indicate if the State or
locality wants to be reimbursed for participation in response actions
under SARA section 123.
E.
Other Actions to Date
1.
Discuss any previous actions to abate threat.
Describe any Federal or privately-sponsored activities that have
been performed and are not previously described. Give the dates, costs,
and effectiveness of such actions. Indicate if response has been
initiated under OSC's $50,000 authority. Actions to abate the threat
may include advice from the locality advising residents not to drink
their water. Other actions may include the provision of bottled water.
2.
Discuss any current actions to abate threat.
Any Federal or privately-sponsored activities that are currently
unde~ay (but not previous11:~iscussed) should be described. This
information should inctude estimated costs and completion dates of these
activities. Discuss how proposed EPA actions will interrelate with
current activities.
IV.
~T TO PUBLIC ~IH OR WELFARE OR THE ENVIRONMENT
Section 300.65(b)(2) of the NCP combines three previously distinct types
of Superfund responses into the category of "removals": immediate removals,
planned removals and initial remedial measures. Removals address two
distinct requirements. The first is a threat to the public health, welfare
and environment. The second requirement is the availability of non-CERCLA
response mechanisms. The following threats are cons.ider_d in determining
the appropriateness of a removal action: .. ."
Actual or potential exposure to hazardous substances or pollutants
or contaminants by nearby populations, animals, or food chain;
Actual or potential contamination of drinking water supplies or
sensitive ecosystems;
Kaardous substances or pollutants or contaminants in drums,
barrels. tanks, or other'~lk storage containers. that may pose a
threat of release;
High levels of hazardous substances or pollutants or contaminants
in soils largely at or near the surface. that may migrate;
Weather conditions that may cause hazardous substances or
pollutants or contaminants to migrate or be released;
Threat of fire or explosion:
A-5
-------
April 1988
OSWER Dnu:CI1VE 9360.0-02B
The availability of other appropriate Federal or State response
..~sms to respond to the release:
Other situations or factors which may pose threats to public health
or welfare or the environment.
OSCs should make sure that their Action Memoranda discuss the ways in which
the release ~eets these NCP criteria. Sections A and B below provide some
specific examples of the type of material to include.
A.
Threats to Public Health and Welfare
Describe the threats to public health and welfare. List all of the
current and potential threats, starting with the most serious, that
adversely affect human health or welfare (e.g., fire/explosion, drinking
water contamination). Identify any human exposure that already has
occurred, the kind of exposure (e.g., -inhalation, ingestion. dermal contact)
and the exposure pathway Ce.g., food supply, water supply, indoor air
pollution). Describe any reports of illness, injury or death that appear to
be linked to the exposure. Be as specific as possible about the number of
individuals exposed, the proximity of sensitive populations Ce.g.,
hospitals, schools), the geograPhic area affected and whether exposure was
acute or chronic. Also describe any anticipated exposure and whether it is
imminent.
.,",
Describe all actual and potential impacts on human health and; welfare.
Describe any known effects of human exposure to the chemical released (e~g.,
nausea, respiratory dysfunction, cancer) and any actual or projected'
manifestations of these effects.
Compare amounts of hazardous substances shown to background or health
standards as appropriate. If a chart is provided in Section III.C.!' it
should be referenced, not duplicated, here. It may ~e necessary to consult
policy on compliance with other environmental statute.s. ,This policy may ,be
found in OSWER directive 19234.0-05, "Interim Guidance on~.Compliance with
Applicable or Relevant and Appropriate Requirements" (July 9, 1987). If
written ATSDR or other health advice is given, include this as an attachment
to the Action Memorandum. The health advice should also be referenced in
the discussion. If health advice is given orally, it should be documented
in the Action Memorandum.
B.
Threats to the Environment
Describe threats to the environment. List all the current and potential
threats, startinq with the most serious, that adversely affect the
environment (e.g., damage to ecosystem, animals, ground water). Identify
any natural resource or environmental damage that already has occurred and
the extent of exposure (e.g., acute or chronic). Indicate whether there
have been reports of deaths of flora or fauna (e.g., fish kills). If so,
state how much environmental damage has occurred (e.g., 20,000 acres of
wetlands contaminated or 1 million fish killed). Discuss potential damage
to the environment and indicate a time frame within which damage will occur
if response actions are not taken.
A-6
-------
April 1988
OSWER DIRECTIVE 9360.0-02B
Discuss all actual and potential impacts on the affected area. Describe
any anticipated exposure and whether it is imminent. Indicate whether the
release threatens endanqered species. critical wetlands, or-other resources
protected under lave State whether natural resources trustees have been
notified.
v.
ENFORCnQIT
The purpose of this section is to assist in makinq the determination of
the potential for response action by PRPs. This information should be
referenced here as "see attachment" and placed on a separate paqe entitled
"Enforcement Sensitive." This section includes information on the
enforcement strategy (summarized), the status of notice letters or 106
orders and/or neqotiations, the available enforcement authority, potentially
responsible parties, previous enforcement actions, the probability of
recoverinq costs and the recommended enforcement strategy if there is no
strateqr currently in place. This section also should contain information
on the potential for responsible party response. In some Reqions, this
section of the Action Memorandum may be prepared by enforcement personnel.
A.
Enforcement Strateqy
.;1......
1.
Briefly summarize the enforce~ent strategy.
Summarize the enforcement strategy for notifyinq, neqotiatinq ~ith,
and litigating against responsible parties. Indicate whether;the State
or Federal enforcement atto~eys are actively pursuing informal,
neqotiations, are actively pursuinq litigation, or have decided to
postpone or forgo litigation (e.g, no enforcement actions are currently
unde~ay or the RP has agreed to a cleanup). Describe what enforcement
actions are planned (e.q., neqotiations or Administrative Orders).
If an enforcement strategy has not yet been,~ev~loped, describe the
strategy that is recommended by the Reqional enforcement attorney. For
example, discuss any decisions to pursue Federally-fuhded action or
continue litigation or neqotiations. Indicate whether concurrence to
proceed with removal is conditional. If so, state the conditions.
2.
Briefly summarize the enforcement actions.
Indicate if litigation is proceedinq or is contemplated. Cite
under what statutory authority the action will be or is beinq taken
(e.q., ACRA section 7003, CERCLA).
B.
Status of Enforcement Actions
1.
Potentially responsible parties.
Describe the number and types of potentially responsible parties
(e.q., transporters and owners or operators of production facilities or
waste disposal facilities). Indicate whether the PRP is known. If a
site has one or two primary responsible parties, they may be named. rf
a search has been completed, the results Should be summarized.
A-7
-------
April 1988
OSWER DDU:CTIVE 9360.0-02B
Indicate if the PRP has taken action. If so. mention whether or
not the action was adequate. Indicate whether the PRP is financially
capable and likely to act within a time frame that adequately protects
public health and the environment. Cite. do not repeat. descriptions of
PRP actions discussed previously in the request.
Describe what efforts are beinq undertaken to obtain additional PRP
response. Discuss the status of the potentially responsible party
search. Mention if search efforts are underway and whether there is
time to continue the search before response must beqin. If not.
indicate that PRP search will continue as the removal proceeds and a PRP
may later take over removal actions. Describe the attempts that have
been made to locate PRPs (e.g.. oral inquiries both on and off site).
Include whether the PRP has been notified (e.g.. orally contacted.
written follow-up).
Give the date(s) that notice'letter(s) were sent and a summary of
the responses of the recipients (e.g.. the PRPs have aqreed to clean up
the site or the PRPs have denied involvement at the site). If
neqotiations are unde~ay. describe the activities under discussion.
2.
Discuss the probabi li ty;"of recovering costs.
Estimate the solvency of the major responsible parties.' Eval~te
the ability to obtain the necessary actions in a timely fashion through
litigation. This should be included if it explains why actions are
beinq 'requested of the EPA when responsible parties are financially able
to undertake these actions.
VI.
PROPOSED ACTIONS AND COSTS
The purpose of this
info~tion on proposed
project schedule. Also
the threat.
section is to provide guidelines for presenting
and alternative actions. estima.ted costs and the
included is information on how th~ action addresses
A.
Proposed Actions
1.
Describe the proposed actions and what they will accomplish.
De.cribe the specific tasks involved and the results sought by the
ramoval action as they pertain to the threat(s) discussed in Section III
of this model Action Memorandum'. For example. "The primary objective of
the proposed action is the mitigation of the direct contact threat to
nearby residents by provision of alternate potable water supplies to the
affected homes." The NCP provides examples of types of action that may
be taken for this type of incident. The list in the NCP is not
exhaustive. however. and actions are not limited to these examples.
Describe the procedures to be undertaken in the proposed actions.
For example. "A two-phase removal action is planned. The first phase is
the installation of activated carbon columns. The second phase is the
A-a
-------
April 1988
OSWER DIR£CTIYE 9360.0-02B
installation of water mains and hookups to public water supply."
Describe any impediments to the proposed action (e.g., lack of public
acceptance or problems with access).
If off-site storage, treatment or disposal is proposed, indicate
the amount or type of waste(s) requiring off-site treatment or disposal,
the facility selected and the extent to which the substance can be
treated. In cases where the type or amount of waste is not available
for inclusion in the Action Memorandum, indicate the intent to comply
with all requirements of the Off-site Policy. For detailed information
on the Off-site Policy, OSCs should refer to Chapter IV of the Superfund
Removal Procedures manual.
Indicate whether any further information is needed before all
response actions can be decided (e.g., sampling to address ground-water
or drinking water contamination or a RCRA pe~it and compliance
verification are needed for selecting the disposal option).
State why proposed actions are appropriate for this situation and
explain the rationale for choosing this option. Describe the technical
feasibility and prob4bl,e e.tiectiveness of the proposed action. Address
inte~edia relationships, temporary versus long-term solutions, and
adverse impacts.
2.
Provide a discussion of how the proposed actions will contribute to
. the efficient performance of long-term remedial actionS.
For all removals, discuss how, to the extent practicable given the
exigencies of the situation, the proposed actions will contribute to the
efficient performance of long-term remedial actions. The primary
objective of this provision is to avoid the need for removal restarts.
The following questions should be considered when preparing this
discussion: -
,
What is the long-term cleanup plan for th~ site?
Which threats will require attention prior to the start of the
long-term action?
How far should the removal action go to assure that the
threats are adequately abated?
Is the proposed removal action consistent with the long-term
remedy?
For additional guidance on this requirement, see OSWER directive
19360.0-131, "Guidance on Implementation of the 'Contribute to Remedial
Performance' Provision."
If no remedial plans are available, describe how proposed removal
actions are consistent with the remedial actions that would be expected
to be undertaken based on site conditions. Discussion should be based
A-9
-------
April 1988
OSWER DIRECTIVE 936O.0-02B
on best professional judqement usinq the info~tion available.
In--depth analyses of remedial actions are not required. For example,
indicate that the proposed actions will address near-term threats that
!DaY' require attention prior to the start of remedial action as well as
more urgent threats. Also discuss haw, wherever appropriate, removal
actions will provide a suitable foundation for future remedial actions.
In general, removal actions should not interfere with future remedial
actions, nor should proposed actions eliminate any feasible remedial
alternatives.
3.
Describe the project schedule.
Give the time frame needed to stabilize or clean up the site and
include haw quickly response can beqin. Give the estimated period of
performance. State whether the proposed action will exceed twelve
months. (Note: Previous actions count toward the twelve-month and
S2 million limits.) If the twelve-month clock has started, state when
the twelve months end.
If the proposed action. i~ expected to exceed the twelve-month
statutory limit, then a. twel.;/..e-month exemption request approved by the
RA should be included this removal Action Memorandum. If post removal
site control will be required, the State or other authority ~t provide
it. Indicate a commitment to provide post removal site control.
4.
Describe alternative actions considered.
Describe other actions considered (e.g., providinq hookups to city
water instead of providing bottled water, alternatives to off-site
disposal). Briefly describe the technical feasibility and probable
effectiveness of each alternative. Address intermediarelationships,
temporary versus long-term solutions, and possible adyerse impacts.
State any impediments to each alternative, e.g.,'public acceptance or
access to the site. Give the estimated period of'per~ormance for
alternative actions. State how quickly response can begin. State the
duration of the alternative. State whether it will exceed twelve
months. For example, "The first phase should be completed within
approximately 3 weeks of initiation of the action. The second can be
expected to be completed by July 1988." Give further detail for each
component of the phases. State whether post removal site control will
b. required and who would provide it or if this would be an impediment
to cleanup or stabilization o~ ~he site.
B.
Eatimated Costs
Detail the estimated total project ceilinq and an itemized breakdown of
the followinq cost cateqories that comprise that ceiling. This includes
extramural cleanup costs allowed under the RA's $2,000,000 authority (which
consist of cleanup contractor costs, letter contracts with States and other
commercial entities, and site-specific IAGs); TAT costs; EPA intramural
costs; National Contract Lab Program analytical costs; and ERT/REAC costs.
If applicable, include the cost of previous removal actions taken at the
site. An example is provided on the followinq paqe.
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April 1988
OSWER DIRECTIVE 9360.0-028
Summarv of Costs
Es tLIT',a-ted Cos t3
Extramur!l Costs
Extramural Cleanup :or.tractor
(includes ~S, Mini-~~CS.
Subcontractors, Letter Contracts,
Alternative Technology Contracts.
IAGs with other Federal agencies,
etc.; contingency can be 10-20%.)
5711.450
(15% contingency) 125.550
837.000
TAT costs
CtP analytical services
ERT/REAC
10.000
20.000
20,000
Subtotal ~xtramural Cost
887,000
15% Contingency of above costs
(round to nearest thousand)
133.050
..
$1, 020.050
Total Extramural Cost
;.! ';..,;~.
Intramural Costs
Intramural Direct Labor (HQ, ERT and Region)
Intramural Indirect Costs.
19,000
33,000
..
TOTAL PROJECT CEItING ESTIMATE
51.Q72.050
If CERCtA funds have been obligated for past actions, then indicate the
obligations:
TOTAL PROJECT CEILING REQUESTED
..
51,072,050
~
Previous Removal (1982) Obligations
200.000
TOTAL CEILING TO DATE.
51.272 .050
A statement of obligations is necessary because these costs count toward ~he
$2 million limit.
* Fo~ula for calculating indirect-costs:
Reqion-Specific
Indirect Cost Rate
x
Estimated Reqiona1
Direct Labor Hours
=
Indirect Costs
Regional indirect cost rates may be found in the Comptroller Policy
AMouncement No. 87-15, "New Method for Dete~ination of Indirect CostS
in Superfund Removal Project Ceilings" (7/15/87).
A-ll
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April 1988
OSWER DIRECTIVE 9360.0-02B
VII.
EXPErrED OWlGE IN THE SITUATION SHOULD NO ACTION BE TAKEN OR
ACTION DELAYED
Describe any expected changes in the situation should no action be taken
or action be delayed. Include a description of a worst-case scenario should
no action be taken. These changes may include:
Spread in scope of contamination. For example. the ground-water
contaminant plume may spread throuqh a larger area.
Chanqe in nature of contamination. For example. incompatible
substances may come into contact with each other. producing added
threats such as fire/explosion or formation of poisonous gases such
as hydroqen cyanide.
Increased threat to human health and the environment if action is
delayed or denied. For example. the contaminant plume may soon
reach drinking water wells or phosphine gas or other poisonous gas
may be produced.
Additional response act1~ns required if the initial response is "
delayed or denied resulting in a longer. more costly removal. ror
example, the drums will deteriorate further. leakingad4itional
contaminants into the ground.
",
VIII.
IMPORTANT POLICY ISSUES (Only!! necessary and' applicable)'
If applicable. include a separate section on important policy issues
that are significant to this request. These issues may include:
Provision for cost sharing (cost sharinq is applicable only in a
small number of cases and applies only to r~movals at NPL sites
that were publicly operated. either by a Sta~e "~r a political
subdivision thereof. at the time of a release ~ a remedial action
is ultimately undertaken at the site)
The division of responsibilities among rederal and/or State agencies
Off-site disposal availability and compliance with OSWER's Off-site
Policy
Compliance with other environmental statutes
Special coordination needs/issues of national siqnificance (e.g.,
dioxin) and similar issues
Noncontiguous sites (if multiple locations are recommended by the
Region for consideration as one site. give justification for such
consideration) .
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April 1988
OSWER DIRECTTVE 9360.0-028
Issues should be fully explained and include a discussion on the efforts
being made to resolve the issue and/or decisions that must be made before a
resolution is reached.
IX.
RECOMMENDATION
The purpose of this section is to briefly present the Region's
recommendations, rationale and projected costs for the action. For example,
"Because conditions at the site meet the NCP section 300.65(b)(2) criteria
for a removal, I recommend your approval of the proposed removal action.
The total project ceiling is $X, of which $Y are for extramural cleanup
contractor costs (Regional allowance). I recommend your approval to
initiate response actions due to the nature of the threat described herein."
Approved:
Date:
(Name and Title)
Disapproved:
Date:
(Name and .Titie)
Attachments
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Source:
April 1988
OSWER DIRECTIVE 9360.0-02B
APPENDIX B
INITIAL ACTION MEMORANDUM FORMAT FOR REMOVALS
REQUESTING A $2 MILLION EXEMPTION
Superfund Removal Procedures, OSWER Directive 9360.0-03B (Revision #3),
U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Appendix 7.
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April 1988
OSWER DIRECTIVE 9360.0-02B
MODEL OF AN INITIAL REMOVAL MEMORANDUM REQUESTING
A $2 MILLION EXEMPTION
The purpose of Appendix 7 is to provide OSCs with a sample format that
can be easily followed to prepare an initial removal Action Memorandum that
includes a request for an exemption from the $2 million limitation. While
the use of this model format is not mandatory, OSCs must cover all the
topics presented in the model in order to demonstrate that the incident
meets the removal criteria of section 300.65 of the NCP and that all actions
in the scope of work are consistent with both CERCLA, as amended by SARA,
and the NCP. OSCs must also document that the threat meets the exemption
criteria set forth in CERCLA, as amended by SARA.
The CERCLA Amendments added a new independent exemption that permits an
exemption to the statutory limitations on cost and duration whenever a
continued removal action is determined to be otherwise appropriate and
consistent with remedial action to be taken. This new exemption
(consistency exemption) applies to NPL sites and sites proposed for the NPL,
and to non-NPL sites only in limited circumstances. SARA also established a
new requirement that all remova,t,"actions contribute, to the extent
practicable, to the efficient performance of any lonq-term remedial action
performed by EPA, the State, the locality or a private party. OSCs must
include in the Action Memorandum a discussion of how the proposed remov~l
action contributes to the lonq-term efficiency of onqoinq or future remedial
actions, whether Federal, State or PRP. In addition, OSCs should; attach to
their Actlon Memoranda all appropriate ATSDR Health Advisories.
The structure of the recommended format is a representative sample of
the type of Action Memoranda frequently prepared by the Reqions. In
addition to this sample format, OSCs are encouraqed to use the Decision
Rationale (Appendix 5) as supplemental quidance in preparinq a request for
removal actions. ' '
I.
HEADING
"
DATE:
Month/Day/Year
SUBJECT:
Request for Removal Action Approval and Exemption from the
$2 Million Limit at Site, City, State
ACTION MEMORANDUM
Site/Spill-ID:
Cateqory of Removal: All removal actions are considered
time-critical unless otherwise indicated (e.q., classic
emerqency or non-time-critical)
National Significance:
national significance
Indicate whether the removal is of
B-1
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April 1983
OSWER DIRECIlVE 9360.0-02B
FROM :
Regional Administrator
TO:
Assistant Administrator for Solid Waste and Emergency Response
THRU:
Director
Office of Emergency and Remedial Response
AT'l'N:
Director,
Emergency Response Division
II.
ISSUE
Briefly state that the site meets the criteria for initiating a removal
under section 300.65 of the NCPand one of the two exemptions for exceeding
the statutory limits under section l04(c) of CERCLA, as amended. Indicate
which of the l04(c) exemptions the site meets. Exemption from the $2
million statutory limit requires AA, OSWER approval. This authority may be
redelegated to the RA on a case-by-case basis.
III.
BACKGROUND
.,.
The background section should"contain information on the location of the
site, the incident characteristics (including the history of the site,
general character of the site, and issues relevant to waste management),
summary of quantity and types of substances present, State and local'
authorities' role, cleanup timeframe, and actions to date, including
previous and current actions to abate threat. Each of these information.
points is described below.
A.
Site Description
1.
Describe the site's physical location.
. .
Give distances from nearest populations and points of reference. as
appropriate. Also state the population size. For example, a school is
within one-quarter of a mile and there are 1,000 resid~nces within a
mile of the site; ten of these residences are adjacent to the site. The
area is mainly suburban residential with some industrial areas.
Describe the areas adjacent to. the incident or site in terms of
nearby vulnerable or sensitive populations, habitats and natural
resources. For example, the site is adjacent to wetlands and a
tributary to the river flows neacby. Describe how sensitive areas, such
as flood plains, could impact the removal.
Describe any areas protected by statute, such as parks, historic
sites, and sensitive ecosystems and cite the statute. This may include
areas such as the New Jersey Pinelands, wetlands areas, or wild and
scenic rivers.
2.
Discuss the general character of the site.
Describe the current use of the site {e.g., active facility, vacant
lot, or recreational area). Also describe the nature and type of the
B-2
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April 1988
OSWER DIREC!1VE 9360.0-028
facility or vessel, as well as the business/activities undertaken at the
site that may have contributed to the incident (for example, a sanitary
landfill that accepted industrial wastes or a midnight dump of PCB
wastes) .
Discuss.the relevant issues relating to current waste management
practices. Describe any existing structures, measures, or conditions
that would either mitigate or accelerate the release of any materials
on-site (e.g., an unstable dike, a temporary containment system, adverse
weather conditions, site security, fencing, condition of containers and
similar situations). State whether the release is widespread and/or is
migrating rapidly.
Include any pertinent info~tion on the site's owners, past and
present. This should reflect info~tion on whether the current or
previous owners contributed to the conditions on-site. Note whether
this is the first removal at the site or is a restart.
3.
Indicate NPL status
Indicate whether the si~.~.': is on the NPL. If the site is on the
NPL, then state when remedial:'a'ction is expected. If the site has not
been promulgated on the NPL, indicate whether it has received an HRS
rating, is likely to be proposed or already has been proposed for.
inclusion on the NPL. Indicate if the site has appeared on the NPL, :'but
that no. remedial action is to be taken (e.g., because of removal or PRP
response) .
.'
4.
Provide supporting documentation.
Pictures, diagrams, maps, and/or sketches are encouraged if they
substantiate OSC findings. They may be included as attachments or
incorporated into the text. This documentation ~y ~~lp to substantiate
the threat at the site. ' .
~
Incident/Release Characteristics
B.
Discuss the history of the incident or release. Describe the type
of incident that occurred (e.g., a classic emergency) and why it
occurred. For example, a storage lagoon overflowed due to heavy rains.
Be sure to list all of the site's key problem areas (e.g., drums, bulked
liquids, lagoons. or contaminated soils). '
Describe the exact location of the incident at the site. For
example. the release occurred at an overflowing lagoon in the south
corner of the site. Include the time and date (if known) of the
incident. State whether the release is new or has just recently been
discovered. Also describe when and how the incident was. discovered.
For example. drums washed up on the beach and were discovered by park
rangers.
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April 1988
OSWER DrRECTIYE 9360.0-02B
C.
Quantities and Types of Substances Present
1.
Describe the hazardous substances in terms of categories or classes
of chemicals.
List all materials known on-site at the time of the approval
request and indicate whether these materials are hazardous substances or
are pollutants or contaminants. Sections l04(a)(1)(A) and (B) of CERCLA
state the different criteria that are used depending Qn whether the
release is a hazardous substance or a pollutant or a contaminant
(NOTE: pollutants and contaminants must pose an imminent and
substantial danger in order to elicit CERCLA response). Also highlight
any substances of critical concern (e.g., PCBs, dioxins). If this
information is provided in chart form, identify in column format the
substance, quantity, location (e.g., well .1) and existing standards
(e.g., DWEL), if there are any, for comparison. Later discussion of
threats should refer to, not duplicate, the information on this chart.
Describe briefly the results of the sampling (e.g., most affected
residences showed elevated levels of trichloroethylene in tapwater) and
give estimates of quantitie~(9f the classes of materials if they are
available (for example, 2.2.0~OOO ppm of PCBs in the soil). Indicate
whether they are "reportable quantities" as set forth in 40 CFR 302.
CERCLA's definition of "hazardous substance" in section 101( 14')
includes substances designated or toxic pollutants listed in sections
3ll(b)(2)(A) and 307(a) of the Federal Water Pollution ControlAct;~ny
hazardous air pollutant listed under section 112 of the Clean Air Act;
and substances with respect to section 7 of the Toxic Substances Control
Act and section 3001 of the Solid Waste Disposal Act. In addition,
cat~gories of hazardous substances are listed in Appendix VIII of RCRA,
"Hazardous Constituents" and in 40 CFR Table 302.4 "List of Hazardous
Substances and Reportable Quantities." .
2. .
Describe the sampling methodology.
Briefly describe the sampling methodology as well as
maintaining consistency, reliability and quality control.
performed the data collection and the lab analysis (e.g.,
contractor, local health authorities). Indicate the time
the samples were taken. Samples must be recent enough to
an imminent threat in accordance with the original CERCLA
exemption.
methods for
Mention who
EPA,
frame in which
substantiate
section l04(c)
D.
State and Local Authorities' Roles
1.
Briefly describe State and local actions to date.
State whether State and/or local governments requested EPA
assistance and name the specific agencies/officials making the request.
Summarize any "first-responder" or other actions these or other agencies
have taken to protect public health and the environment (e.g., evacuated
B-4
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April 1988
OSWER DIRECTIVE 93~.0-02B
individuals within one square mile, posted police to restrict public
access). Provide the dates for and indicate the effectiveness of such
actions. Indicate State/local cooperation in assessing the release and
threat and whether State and local gove~ent personnel remain at the
site.
2.
Summarize the potential for continued State and local response.
Describe any actions State and local government personnel are
currently taking and their anticipated future roles. Examples of roles
could be providing site security or hookups to the water main. Indicate
whether the State mechanism for obtaining funding is available, is
depleted or will require delaying the response for an unacceptable
period of time given the threat. Indicate whether the State/locality
will fund these activities or require funding under a letter contract.
Indicate whether the State is going to lead the response and enter into
a Cooperative Agreement. This is "most likely to occur for
non-time-critical removals at NPL sites, although Cooperative Aqreemen~s
also may be executed for removals at non-NPL sites. Indicate if the
State or locality wants to be reimbursed for participation in response
activities under SARA sect'~,9n 123.
. .~ : '..,.~.
E.
Other Actions to Date
,,:
1.
Discuss any previous actions to abate threat.
..
, '
Describe any Federal or privately-sponsored activities that ha~e
been performed and are not described previously. Give the dates, costs, ,
and effectiveness of such actions. Indicate if response has been
initiated under OSC's $50,000 authority. Actions to abate the threat
may include advice from the locality advising residents not to drink
their water. Other actions may include the provision of bottled water.
"
2.
Discuss any current actions to abate threat.~,
~
Any Federal or privately-sponsored activities that are currently
underway (but not previously discussed) should be described. This
in£o~tion should include estimated costs and completion dates of these
activities. Discuss how proposed EPA actions will interrelate with
current activities.
IV.
THREAT TO PUBLIC HEALTH OR WELFARE OR THE ENVIRONMENT
In situations where sites are initially found to meet ~ the NCP
section 300.65 removal criteria and one of the two 'CERCLA section l04(c)
exemptions to the statutory limitations, OSCs must demonstrate how the site
meets both these requirements. If the site is expected to exceed the
statutory limits based on the original l04(c) exemption OSCs should: 1)
state in this section that the conditions at the site meet and exceed the
300.65 NCP removal criteria because of the existence of immediate threats
and 2) demonstrate in Section V of this document that site conditions meet
the original 104(c) exemption requirements. However, for those sites
expected to exceed the statutory limits based on the new consistency
B-5
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April 1988
OSWER DIRECTIVE 9360,O-02B
exemption, OSCs must: 1) demonstrate in this section how the site meets the
NCP section 300.65 removal criteria and 2) demonstrate in Section V of this
document how the site meets the 104(c) consistency exemption.
Section 300.65(b)(2) of the NCP combines three previously distinct types
of Superfund response into the category "removals": immediate removals,
planned removals and initial remedial measures. Removals address two
distinct criteria. The first is a threat to the public health, welfare and
environment. The second criterion is the availability of non-CERCLA
response mechanisms. The following threats are considered in determining
the appropriateness of a removal action:
Actual or potential exposure to hazardous substances or pollutants
or contaminants by nearby populations, animals, or food chain;
Actual or potential contamination of drinking water supplies or
sensitive ecosystems;
Hazardous substances or pollutants or contaminants in drums,
barrels, tanks, or other bulk storage containers, that may pose a
threat of release;"
. . '..".~'
High levels of hazardous substances or pollutants or contaminants
in soils largely at or near the surface, that may migrate;
Weather conditions that may cause hazardous substances or
pollutants or contaminants to migrate or be released;
Threat of fire or explosion;
The availability of other appropriate Federal or State response
mechanisms to respond to the release;
Other situations or factors which may pose threa~s to public health
or welfare or the environment.
ascs should make sure that their Action Memoranda discuss the ways in which
the release meets the NCP Section 300.65(b)(2) criteria. Sections A and B
below provide some specific examples of the type of material to include.
A.
Threats to Public Health and Welfare
Describe the threats to public~health and welfare. List all of the
current and potential threats, starting with the most serious, that
adversely affect human health or welfare (e.g., fire/explosion, drinking
water contamination). Identify any human exposure that already has
occurred, the kind of exposure (e.g., inhalation, ingestion, dermal contact)
and the exposure pathway (e.g., food supply, water supply, indoor air
pollution). Describe any reports of illness, injury or death that appear to
be linked to the exposure. Be as specific as possible about the number of
individuals exposed, the proximity of sensitive populations (e.g.,
B-6
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April 1988
OSWER DIRECTIVE 936O.0-02B
hospitals, schools), the geographic area affected and whether exposure was
acute or chronic. ~lso describe any anticipated exposure and whether it is
iltlllinent.
Describe all actual and potential impacts on human health and welfare.
Describe any knQwn effects of human exposure to the chemical released (e.g.,
nausea, respiratory dysfunction, cancer) and any actual or projected
manifestations of these effects.
Compare amounts of hazardous substances shown to background or health
standards as appropriate. If a chart is provided in Section III.C.l, it
should be referenced, not duplicated, here. It may be necessary to consult
the policy on compliance with other environmental statutes. This policy may
be found in OSWER directive ;t:9234.0-05, "Interim Guidance on Compliance with
~pplicable or Relevant and Appropriate Requirements (July 9, 1987). If
written ATSDR or other health advice is given, include this as an attachment
to the ~ction Memorandum. The health advice should also be referenced in
the discussion. If health advice is given orally, it should be documented
in the Action Memorandum.
B.
"
Threats to the Environment.'>,.
Describe threats to the environment. List all the current and potential
threats, starting with the most serious, that adversely affect the ,.
environment (e.g., damage to ecosystem, animals, ground water). ,Identi'fy
any natural'resource or environmental damage that already has occurred ~nd
the extent of exposure (e. g., acute or chronic). Indicate whether-' there'\
have been reports of deaths of flora or fauna (e.g., fish kills). If so,
state how much environmental damage has occurred (e.g., 20,000 acres of
wetlands,contaminated or 1 million fish killed). Discuss ,potential damage
to the environment and indicate a time frame within which damage will occur
if response actions are not taken. '
"
. .
Discuss all actual and potential impacts on the affected area. Describe
any anticipated exposure and whether it is imminent. ,Indicate whether the
release threatens endangered species, critical wetlands, or other resources
protected under law. State whether natural resources trustees have been
notified.
v.
EXEMPrION FROM STATUTORY LIMITS
In order to obtain an exemption from the $2 million limit, the OSC must
demonstrate in the Action Memorand~ that the site meets one of the two
CERCLA section 104(c) exemptions. Describe in detail how site conditions
meet the exemption requirements listed below. In order to be granted an
exemption, site conditions must either meet exemption ~ 2! B below. Include
a description of worst-case scenarios to help substantiate the need for
action. Be sure to note and iriclude as attachments any appropriate ~TSDR
health advice memoranda or other data that substantiate the need to exceed
the $2 million limitation. If the site meets the new consistency exemption,
then OSCs also must demonstrate in Section IV of this document how the site
meets the NCP section 300.65 criteria for initiating a removal action.
B-7
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April 1988
OSWER DDlECI1VE 9360.0~02B
A( i) .
There is an Immediate Risk to Public Health, Welfare or the
Environment
The key word here is immediate. This discussion should focus on how
soon the public or the environment will be at risk. Describe site
conditions that. constitute an immediate risk. Indicate all hazardous
substances involved and define the immediacy of the risk (e.g., nearby
residents will be exposed within two weeks). State whether immediate risk
is to public health, welfare, or the environment, or a co~ination. If a
health risk is present, describe affected populations and their proximity to
the site. If an environmental risk is involved, describe the nature of the
threat. If there is a way to determine how quickly the public may be
threatened by an increasing threat (e.g., modelling), describe how soon the
public will be at risk. Indicate any weather conditions that may exacerbate
site conditions. Cite all supporting documentation, for example, ATSDR
health advice.
Mil).
Continued Response Actions are Immediately Required to Prevent,
Limit, or Mitigate an Emergency
The key word here is emergency. Describe the conditions that are
considered emergencies andexplairi why response actions must continue beyond
$2 million. Include an explanation of why they are required (e.g., to
prevent, limit, or mitigate an emergency) and within what time frame.
Explain the consequences if an exemption is not granted and action is not
continued.. Cite all supporting documentation, as appropriate. .
A(iii).
Assistance Will Not Othe~ise be Provided on a Timely Basis
The key words here are timely response. Emphasize that no other party
can provide timely response. Indicate whether the State/locality or other
party is willing and financially able to accomplish the required work within
the required time frame. Indicate whether Federal o~ state enforcement
actions are expected to result in revenues to support the action requested.
Reference the enforcement section or attach enforcement s~nsitive
information. If the site is on the NPL, state when remedial action is
planned to begin.
OR
B.
Continued Response Actions are Othe~ise Appropriate and Consistent
with the Remedial Action to be Taken
Describe how the proposed removal action is appropriate and consistent
with Federal, State or PRP remedial actions currently unde~ay or planned
for the site. For example, discuss how continued removal actions will
facilitate future remedial cleanup activities (e.g., consolidation and
stabilization of hazardous substances on site) or how continued response
will not hinder or interfere with the remedial action to be taken. If no
remedial plans are available, describe what remedial actions might be
expected to be undertaken given site conditions.
B-8
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April 1988
OSWER DIRECTIVE 9360.0-028
VI.
ENFORCEMENT
The purpose of this section is to assist in makinq the determination of
the potential for response action by PRPs. This information should be
referenced here as "see attachment" and placed on a separate paqe entitled
"Enforcement Sensitive." This section includes information on the
enforcement strategy (summarized), the status of notice letters or 106
orders and/or neqotiations, the available enforcement authority, potentially
responsible parties, previous enforcement actions, the probability of
recoverinq costs and the recommended enforcement strategy. This section
also should contain information on the potential for a non-Federal r,esponse.
A.
Enforcement Strategy
1.
Briefly summarize the enforcement strategy.
Summarize the enforcement strategy for notifyinq, neqotiatinq with,
and litigatinq against responsible parties. Indicate whether the State
or Federal enforcement attorneys are actively pursuinq informal
neqotiations, are actively pursuing litigation, or have decided to
postpone or forgo litigatioz;;;..(e.g, no enforcement actions are currently
underway or the RP has agreea"to a cleanup). Describe what enforcement
actions are planned fe.g., negotiations or Administrative Orders).
If an enforcement strategy has not yet been developed, describe the
strat~qy that is recommended by the Reqional enforcement attorney. For
example, discuss any decisions to pursue Federally-funded action or '~,
continue litigation or negotiations. Indicate whether concurrence to
proceed with removal is conditional. If so, state the conditions.
2. . Briefly summarize the enforcement actions.
Indicate if litigation is proceeding or is ~ont~mplated. Cite
under what statutory authority the action will be. or: is being taken
(e.g., RCRA section 7003, CERCLA). '
B.
Status of Enforcement Actions
1.
Potentially responsible parties.
Describe the number and types of potentially responsible parties
(e.g., tr&D8porters and owners or operators of production facilities or
waste dispo8al facilities). Indicate whether the PRP is known. If a
site has one or two primary responsible parties, they may be named. If
a search has been completed, the results should be summarized.
Indicate if the PRP has taken action. If so, mention whether or
not the action was adequate. Indicate whether the PRP is financially
capable and likely to act within a time frame that adequately protects
public health and the environment. Cite, do not repeat, descriptions of
PRP actions discussed previously in the request.
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April 1988
OSWER DrRECTIVE 9360.0-02B
Cescribe what efforts are being undertaken to obtain additional PRP
response. Discuss the status of the potentially responsible party
search. Mention if search efforts are underway and whether there is
time to continue the search before response must begin. If not,
indicate that PRP search will continue as the removal proceeds and a PRP
may later take over removal actions. Cescribe the attempts that have
been made to locate PRPs (e.g., oral inquiries both on and off site).
Include whether the PRP has been notified (e.g., orally contacted,
written follow-up).
Give the date(s) that notice letter(s) were sent and a summary of
the responses of the recipients (e.g., the PRPs have agreed to clean up
the site or the PRPs have denied involvement at the site). If
negotiations are underway, describe the activities under discussion.
2.
Discuss the probability of recovering costs.
Estimate the solvency of the major responsible parties. Evaluate
the ability to obtain the necessary actions in a timely fashion through
litigation. This should be included if it explains why actions are
being requested of the EP~ w~en responsible parties are financially able
to undertake these actions. ,'" .
VII.
PROPOSED ~CTIONS AND COSTS
The purpose of this
information on proposed
project schedule. ~lso
the threat.
section is to provide quidelinea for presenting
and alternative actions estimated costs and.. the:
included is information on how the action addresses
~.
Proposed ~ctions
1.
Describe the proposed actions and what they ,wilt. accomplish.
Describe the specific tasks involved and the res~lts sought by the
removal action as they pertain to the threat(s) discussed in Section III
of this model ~ction Memorandum. For example, "The primary objective of
the proposed action is the mitigation of the direct contact threat to
nearby residents by provision of alternate potable water supplies to the
affected homes." The NCP provides examples of types of action which may
be taken for this type of incident. The list in the NCP is not
exhaustive, however, and actions are not limited to these examples.
Describe the procedures to be undertaken in the proposed actions.
For example, "~ two-phase removal action is planned. The first phase is
the installation of activated carbon columns. The second phase is the
installation of water mains and hookups to public water supply."
Describe any impediments to the proposed action (e.g., lack of public
acceptance or problems with access).
If off-site storage, treatment or disposal is proposed, indicate
the amount or type of waste(s) requiring off-site treatment or disposal,
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April 1988
OSWER DrRECTIVE 9360.0-02B
the facility selected and the extent to which the substance can be
treated. If off-site treatment or disposal is required, please see the
provisioaa of the off-site disposal policy. In cases where the type or
amount of waste is not available for inclusion in the Action Memorandum,
indicate the intent to comply with all requirements of the Off-site
Policy. For. detailed information on the Off-site Policy, OSCs should
refer to Chapter IV of the Superfund Removal Procedures manual. State
whether the site is to be stabilized or cleaned up, if known.
Indicate whether any further information is needed before all
response actions can be decided (e.g., sampling to address ground-water
or drinking water contamination or a RCRA permit and compliance
verification are needed for selecting the disposal option).
State why proposed actions are appropriate for this situation and
explain the rationale for choosing this option. Describe the technical
feasibility ~d probable effectiveness of the proposed action. Address
intermedia relationships, temporary versus long-term solutions, and
adverse impacts.
2. Provide a discussion 0(;. how the proposed actions will contribute to
the efficient performahce of long-term remedial actions.
For all removals, discuss how, to the extent practicable given the
exigencies of the situation, the proposed actions will contribute to the
efficient performance of long-term remedial actions, whether'Federal,
State or PRP. The primary objective of this provision is to.avoid the
need for removal restarts. The following questions should be considered
when preparing this discussion:
What is the long-term cleanup plan for the site?
Which threats will require attention prior.:to. the start of the
long-term action? ~
How far should the removal action go to assure that the threats are
adequately abated?
Is the proposed removal action consistent with the long-term remedy?
For additional guidance on this requirement, see OSWER directive
#9360.0-131, "Guidance on Implementation of the 'Contribute to Remedial
Performance' Provision."
If no remedial plans are available, describe how proposed removal
actions are consistent with remedial actions that would be expected to
be undertaken based on site conditions. Discussion should be based on
best professional judgement using the information available. In-depth
analyses of remedial actions are not required. For example, indicate
that the proposed actions will address near-term threats that may
require attention prior to the start of remedial action as well as more
urgent threats. Also discuss how, wherever appropriate, removal actions
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April 1988
OSWER DDlECI1VE 936O.0-02B
will provide a suitable foundation for future remedial actions. In
general, removal actions should not interfere with future remedial
actions, nor should proposed actions eliminate any feasible remedial
alternatives.
3.
Describe the project schedule.
Give the time frame needed to stabilize or clean up the site and
include how quickly response can begin. Give the estimated period of
performance. State whether the proposed action will exceed twelve
months. (Note: previous actions count toward the twelve-month and
$2 million limits.) If the twelve-month clock has started. state when
the twelve months end. If post removal site control will be required.
the State or other entity must provide it. Indicate a commitment to
provide post removal site control.
If the proposed action is expected to exceed the twelve-month
statutory limit, then a twelve-month exemption request approved by the
RA should accompany this removal Action Memorandum.
4.
Alternative actions c9~sidered.
"'..1..-.
Describe other actions considered, e.g., providinq hookups to city
water instead of providing bottled water. Briefly describe ,the
technical feasibility and probable effectiveness of each alternative.
Address intermedia relationships, temporary versus long-te~,solutions,
and possible adverse impacts. State any impediments to each... ...
alternative, e.g., public acceptance or access to the site. Give the
estimated period of performance for alternative actions. State how
quickly response can begin. State the duration of the alternative.
Stat-~ whether it will exceed twelve months. . For example. "The first
phase should be completed within approximately three weeks of initiation
of the action. The second can be expected to b~ co~pleted by July
1988." Give further detail for each component Of .the phases. State
whether post removal site control will be required abd who would provide
it or if this would be an impediment. ~
B.
Estimated Costs
Detail the estimated total project ceiling and an itemized breakout of
the following cost categories that comprise that ceiling. This includes
extramural cleanup costs allowed under the RA's $2.000.000 authority (which
consist of cleanup contractor costa~ letter contracts with States and other
commercial entities. and site-specific IAGs); TAT costs; EPA intramural
costs; National Contract Lab Proqram analytical costs; and ERT/REAC costs.
If applicable, include the cost of previous removal actions taken at the
site. An example is provided on the following page.
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April 1988
OSWER DIRECTIVE 9360.0-02B
Summa~f of Costs
Estimat~d ':05:3
:::<':. :,amural Costs
~xtramural Cleanup Cor.t:'!ctor
(includes ERCS. ~ini-ERCS.
Subcontractors. Lett9~ Contracts.
Alte~native Technology Contracts.
IAGS with other Federal agencies.
etc; contingency can be 10-20%.)
(15% contingency)
S1. ~2:. 100
251.:00
1.674.000
TAT costs
CLP analytical services
ERr/REAC
20,000
40,000
..0,000
Subtotal Extramural Costs
1. 774,000
15% Contingency of above costs
(round to nearest thousand)
266, LOO
Total Extramural Cost
.,.J;,.:.'
S2, 04.0, l':,J
Int~amural Costs
"
Intramural Direct Costs (HQ. ERT and Region)
Intramural Indi~ect Costs*
13 ,000
90,000
TOTAL PROJECT CEILING ESTIMATE
52.1..3.~iJlJ
If CERCt.A funds have been obligated for past actions. then indicate the
obligations:
TOTAL PROJECT CEILING REQUESTED
"
."
52.14.3,100
~
Previous Removal (1982) Obligations
200.0CO
TOTAL CEILING TO DATE
52.H3.1CO
A statement of obligations is necessary because these costs c~unt towa:,1 t~e
52 million limit.
* Fo~ula for calculating indirect costs:
Region-Specific
Indirect Cost Rate
x
Estimated Regional
Direct Labor Hours
=
Indirect CostS
Regional indirect cost ~ates are provided in the Comptroller Policy
Announcement No. 87-15. "New Method for Determination of Indirect Cos~s i:\
Superfund Removal PC'oJec: Ceilings" (7/15/87).
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April 1988
OSWER DmEC11VE 9360.0-02B
VIII.
EXPEX:TED CHANGE IN THE SITUATION SHOULD NO AC'l'ION BE TAKEN OR
AC'l'ION DELAYED
This section may consist of info~tion previously provided in
Section V.B., the discussion of how site conditions meet the consistency
exemption from .the statutory criteria. If this info~tion is provided
elsewhere in the Action Memorandum, it should not be repeated here, but
should be cited.
Describe any expected changes in the situation should no action be taken
or should action be delayed. Include a description of a worst-case scenario
that could possibly occur should no action be taken. These changes may
include:
Spread in scope of contamination. For example, the ground-water
contaminant plume may spread through a larger area.
Change in nature of contamination. For example, incompatible
substances may come into contact with each other, producinq added
threats such as fire/explosion or fo~tion of poisonous gases such
as hydrogen cyanide. ..,'
".'-,.,.
Increased threat to human health and the environment if action is
delayed or denied. For example, the contaminant plume may soo~
reach drinking water wells or phosphine gas or other poisonous 'gas
~y be produced. :
Additional response actions required if action is delayed or denied
resulting in a longer, more costly removal. For example, the drums
will deteriorate further, leaking additional contaminants into the
ground. .
IX.
IMPORTANT POLICY ISSUES (Only!! necessary and applicable)
If applicable, include a separate section on importan~ policy issues
that are significant to this request. These issues may include:
Provision for cost sharing (cost sharing is applicable only in a
small number of cases and applies only to removals at NPL sites
that were publicly operated, either by a State or a political
subdivision thereof, at the time of release and a remedial action
is ultimately undertaken at the site) .
The division of responsibilities among Federal and/or State agencies
Off-site disposal availability and compliance with OSWER's Off-site
Policy
Compliance with other environmental statutes
Special coordination needs/issues of national significance (e.g.,
dioxin) and similar issues
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April 1988
OSWER. DIRECTIVE 9360.0-028
Noncontiguous sites (if multiple locations are recommended by the
Reqion for consideration as one site, give justification for such
conaideration) .
Issues should be fully explained and include a discussion on the efforts
beinq made ~resolve the issue and/or decisions that must be made before a
resolution is reached.
x.
REX:OMMEND~TION
The purpose of this section is to briefly present the Region's
recommendations, rationale, and projected costs for the action. For
example, "Because conditions at the site meet the NCP section 300.65(b)(2)
criteria for a removal and one of the two CERCtA l04(c) exemptions from the
$2 million limitation as described herein, I recommend your approval of
proposed removal action and $2 million exemption. The total project ceiling
is $X, of which $Y are for extramural cle~nup contractor costs (Regional
allowance). I recommend your approval to initiate response actions due to
the nature of the threat described herein."
Approved:
:',!;,;.
Date:
(Name and Title)
Disapproved:
Date:
(Name and Title)
Attachments
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Source:
April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX C
ACTION MEMORANDUM FORMAT FOR REQUESTING AN EXEMPTION FROM
12-MONTH STATUTORY LIMIT
Superfund Removal Procedures, OSWER Directive 9360.0-03B (Revision #3),
U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Appendix 9.
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April 1988
OSWER DDU:CTIYE 9360.0-02B
MODEL EXEMPTION FROM !WELVE-MON'tH LIMIT AC'rION MD!QRANDUM
The purpose of Appendix 9 is to provide OSCs with a sample format that
can easily be 'followed to request an exemption from the twelve-month
limitation and to document that the threat meets the exemption requirements
set forth in CERCLA. as amended by~. The CERCLA Amendments added a new
independent exemption that permits an exemption to the statuto~ limitations
on cost and duration whenever a continued removal action is determined to be
otherwise appropriate and consistent with remedial action to be taken.
whether Federal. State or PRP. This new exemption (consistency exemption)
applies to NPL sites and sites proposed for the NPL. and to non-NPL sites
only in limited circumstances.
The following model is representative of the memoranda frequently
prepared by the Regions. and is intended to be used in situations where an
initial Action Memorandum (Appendix 6) has been approved. but an exemption
to the twelve-month limitation becomes necessary. OSCs should attach to
their Action Memoranda all appropriate ATSDR Health Advisories.
.'.,.;-
I.
HEADING
DATE:
Month/Day/Year
SUBJECT: .
Request for a Twelve-Month Exemption for the Site. City. State
AC'l'ION ~ORANDUM
Site/Spill-ID:
Cateqory of Removal: All removal actions are considered
time-critical unless otherwise indicat!!d (',e.g.. classic
emergency or non-time-cri tical) ". . .
~
National Siqnificance:
national significance
Indicate whether the removal is of
FROM :
On-Scene Coordinator
TO:
Regional Administrator
THRU :
Regional Division DirBctor. as appropriate
II.
ISSUE
Briefly state that continued response actions of a duration greater than
twelve months are required and further removal actions cannot be taken
unless an exemption to the statutory limitation is granted. Indicate which
of the C!RCLA section l04(c) exemptions the site meets. Give the date on
which response action was initiated at the site and when the twelve-month
limit will expire. Estimate how much more time is needed to complete the
removal action.
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April 1988
OSWER DIRECTIVE 936O,O-02B
III.
BACKGROUND
The primary purpose of this section is to identify the key
characteristics of the release in order to lay the foundation for
demonstratinq that an actual or potential threat to human health or the
environment st1ll exists. These characteristics include site location and
pre-release use of the site, the type of release and its scope. In
compilinq this info~tion, ascs should consider the availability of
pictures, diagrams, maps and/or sketches that may assist in describing the
site.
A.
Incident/Response History
Briefly discuss the background/history of the site including: current
conditions at the site (e.g., overflowing lagoon); who initiated action (for
example, EPA or the State) and when: the date action was approved in the
initial removal Action Memorandum and'by whom; the actions initially
approved (e.g., temporary relocation or an extent-of-contamination study);
actions to date (e.g.. staging of drums or provision of bottled water): and
actions to be completed. such as}inal disposal at a RCRA-approved facility.
'.',...'
State whether the site is on the NPL. If the site is on the NPL. then
state when remedial action is expected. For sites not on the NPL, indicate
whether the site is scheduled to be or has been scored, if proposal for.. the
NPL is expected, or already has occurred.
s.
Site Conditions
Briefly describe the problems or conditions at the site that have led to
the twelve-month limit exemption request. Examples include adverse weather
conditions, newly detected threats, natural disasters or the extensiveness
of the work required.
",
IV.
EXEMPTION FROM STATUTORY LIMITS
~
In order to obtain an exemption from the twelve-month limit, OSCs must
demonstrate in the Action Memorandum that the site meets one of the two
exemptions in CERLCA section l04(c). Describe in detail how site conditions
meet the exemption requirements listed below. In order to be granted an
exemption, site conditions must meet either exemption A 2! B below. Include
a description of a worst-case scenario to help substantiate the need for
action. Se sure to note and include as attachments any appropriate ATSDR
health advice memoranda or other data that substantiate the need to continue
removal action beyond twelve months.
A(i) .
There is an Immediate Risk to Public Health, Welfare. or the
Environment
The key word here is immediate. This discussion should focus on how
soon the public or the environment will be at risk. Describe site
conditions that constitute an immediate risk. Indicate all hazardous
substances involved and define the immediacy of the risk (e.g., nearby
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April 1988
OSWER D£RECTIVE 9360.0-028
residents viII be exposed within two weeks). State whether the immediate
risk is to public health, welfare, or the environment, or a combination. If
a health risk is present, describe affected populations and their proximity
to the site. If an environmental risk is involved. describe the nature of
the threat. If there is a way to determine how quickly the public may be
threatened by an increasing threat (e.g., modelling), describe haw soon the
public will be at risk. Indicate any weather conditions that may exacerbate
site conditions. Cite all supporting documentation, for example. ATSDR
health advice.
Mii).
Continued Response Actions are Immediately Required to Prevent,
Limit or Mitigate an Emergency
The key word here is emergency. Describe the conditions that are
considered emergencies and explain why response actions must continue beyond
twelve months. Include an explanation. of why they are required ('e.g., to
prevent, limit, or mitigate an emergency) and within what time frame.
Explain the consequences if an exemption is not granted and action is not
continued. Cite all supporting documentation, as appropriate..
Miii) .
Assistance Will Not Otherwise be Provided on a Timely Basis
The key words here are timely response. Emphasize that no o~her party
can provide timely response. Indicate whether the State. locality or other
party is willing and financially able to accomplish the requiredvork within
the required time frame. Indicate whether Federal or State enforcement
actions are expected to resul t in revenues to support the act ion'. requested.
Reference the enforcement section or attach enforcement sensitive
info~tion. If the site is on the NPL, state when remedial action is
planned to begin.
OR
B.
Continued Response ~ctions are Otherwise ~ppropriate:"and Consistent with
the Remedial ~ction to be Taken
Describe how the proposed removal action for the site is appropriate and
consistent with Federal. State.or PRP remedial actions currently underway or
planned for the site. For example, discuss how continued removal actions
will facilitate future remedial cleanup activities (e.g., consolidation and
stabilization of hazardous substances on site) or how continued response
will not hindlr or interfere with~he remedial action to be taken. If no
ramedial plana are available, describe what remedial actions might be
expected to be undertaken given site conditions.
v.
PROPOSED ACTIONS
Briefly describe what actions are required to complete site
stabilization or cleanup. Indicate the objective of the proposed actions or
C-3
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April 1988
OSWER DIRECTIVE 9360.0-028
the threats these actions are to abate, minimize or limit. For example,
"th. primary obj8Ctive of the proposed action is the mitiqation of the
threat to public h.alth by provision of alternate water supplies to the
aff8Cted re8idents." Describe all alternative actions and provide the
rational. for s.lectinq the actions proposed. If off-site storaqe,
treatment or disposal is proposed, indicate the amount or type of waste(s)
requirinq off-~ite treatment or disposal and the facility selected. Also
discuss any options to off-site disposal. In cases where the type or amount
of waste is not available for inclusion in the Action Memorandum. indicate
the intent to comply with all requirements of the Off-site Policy. For
detailed information on the Off-site Policy. OSCs should refer to Chapter IV
of the Superfund Removal Procedures manual.
For all removals, discuss how. to the extent practicable qiven the
exiqencies of the situation. response actions will contribute to the
efficient performance of lonq-term r~edial actions, whether Federal, State
or PRP. The primary objective of this provision is to avoid the need for
removal restarts. The followinq questions should be considered when
preparinq this discussion:
What is the lonq-.term;',lc;leanup plan for the site?
Which threats will require attention prior to the start of the
lonq-term action?
.How far should the removal action qo to assure that the 'threats are
adequately abated?
Is the proposed removal action consistent with the lonq-term remedy?
For additional quidance on this requirement, see OSWER directive
*9360.0-131, "Guidance on Implementation of the 'Contribute to Remedial
Performance' Provision."
~
If no remedial plans are available, describe how proPosed removal
actions are consistent with the remedial actions that would be expected to
be undertaken based on site conditio~. Discussion should be based on best
professional judqement usinq the information available. In-depth analyses
of remedial actions are not required. For example, indicate how proposed
actions (provided a twelve-month exemption is granted) will address
near-term threats that may require attention prior to the start of remedial
action as veIl as more urgent thr,ats. Also discuss how, wherever
appropriat., removal actions will provide a suitable foundation for future
remedial actions. In general, removal actions should not interfere with
future rem.dial actions. nor should proposed actions eliminate any feasible
remedial alternatives.
VI.
Im:Ct!MENDATION
The purpose of this section is to briefly present the Reqion's
recommendations, rationale, and projected time schedule. For example,
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t'\pru 1'106
OSWER DrRECTIVE 936O.0-02B
"Because conditions at the site meet one of the two CERCtA l04(c) exemptions
as described herein, I recommend that you approve an exemption from the
twel "-month Hili t to allow continued removal at the 3i te, Ci ty, State."
Include any special conditions or provisions that pertain to this exemption.
Approve:
Oate:
(Name and Title)
Disapprove:
Date:
(Name and Title)
Attachments
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Source:
April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX D
ACTION MEMORANDUM FORMAT FOR REQUESTING A CEILING INCREASE
Superfund Removal Procedures, OSWER Directive 9360.0-038 (Revision #3),
U.S. Environmental Protection Agency. Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Appendix 10.
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AorU 1988
OSW'ER DalECTtVE 9360.0-023
~CEt. aIUNC INC:RDSE ACtION ~RAHDUM
the followi119 Action Memorandum format is recomm.nded for approval ot
all c:.ilinq increase requests. inc:ludi119 tho.. over $2 llillion providi119 &II
exemvticn bas been approved. The PU1';>o8' ot Appendix 10 is to provide the
OSC with a qen.ric: fo~t that caD be easily follow.d when sub8tantiatinq
the n..d for txc:..dinq the current c:eili119 on rtlDOftl C:08tS. It tAt c:.ilinq
iner.a.. will brinq the total proj.c:t c:.ili119 above $2 llillioft. 0SCs should
prepare a c:ombin.d 32 ~illion examption and c:.i1inq incr.as. requ..t
(App8D4ix 12).
t.
HDDING
CA1'! :
Month/Day/Year
SUBJErI' :
Request for a Cailinq Inerea.. for the Sit.. City. State
AC'I'ION MEMORANDUM
Site/Spill-II):
:".,..
Cataqor-f of Removal: All removal actions are c:onsidered
time-crit:ic:al unless otherwise indic:ated (e.q... c:~assic:
amerqenC:7 or non-tim.-critic:al)
National Siqnificanc:e:
national si~fic:anc.
Indicat. vh8th.1:' the removal is of
FRaf:
On-Scene Coordinator
to:
Reqional Administrator
~: !f t:he ceilinq is already abov.' 32. '~illioft. then t:he
request is addressed to the AA. OSWER froa. the RA. thru the
Director. OERa to the attention of the Oir~c:tor. ERe.
II.
ISSUE
Briefly explain why the ceilinq increase is b.inq requested. Indicate
what the n.w project cailinq will be if the c:.ilinq increase is approved.
Por .xampl.. "A ceilinq increase of $X for a new total of SY is b.inq
reque.ted to c:ontinue a ramoval action at the sit.." It a c.ilinq increase
vill result in a total project c:eilinq that exc:e~ the $2 million statuto~
limit, than prepare a ccmOined ceilinq increa.e/S2'.ai11ion exemption requ..t.
III.
u.c:xGRCXJND
th. primar:y purpose of this s.ction is to identify th. leey
characteristics of the rlleas. in o:48r to lay the foundation for
d8JDCft8tratinq that an actual or potl11tial tJu-..t to !NmaD health or the
enviroament still exist~. l'h8s. characteristic. include site location and
pr.-r.1ea.. us.. ~~e typ' of re1.a... and its scop.. In compilinq this
0-1
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April 1988
OSWER DUlECTIVE 9360.0-02B
information, the OSC should consider the availability of pictures, diaqrams,
maps, and/or sketches that may assist in describinq the site.
A..
Inc:identli881:1QftS e Hi s to ry
Discuss th. backqround/history of the site. includinq: current site
conditions (I.g.. "the site was used for recyclinq PCB capacitors and is
W1fit for human habitation because of high levels of PCBs in the soil"); who
initiated action and when (for example. EPA or the State); the dati action
was approved in the initial Action Memorandum and by whom; the actions
initially approved; actions to date (e.g. staqinq and overpackinq of drums,
or the pumpinq down of lagoons).
State whether the site is on the NP~. If the site is on the NPL, then
state when ramedial action is expected. For sites not on the NPL, indicate
whether the site is scheduled to be or. has been scored, if proposal for the
NFL is expected, or already has occurred.
B.
Site Conditions
Briefly describe the site conditions and the reasons for a ceilinq
increase request. These may include unanticipat9d events such as natural
disasters, newly detected threats, contract lab delays or discovety of,
additional areas requirinq cleanup or stabilization. Include a description
of a worst-case scenario should the ceilinq increase not be granted.
..J'
""-1...'
Discuss the present status of the removal action (e.g., drums currently
awaitinq disposal at a RCRA-approved disposal site). Describe for what the
ceilinq increase will be used (e.q.. disposal of additional drums that
washed ashore after the removal action beqan). .
Include any info~tion that may help substantiat~. th. need for a
ceilinq increase. Attach any enforcement status informai~on; ATSDR health
advice; and other pertinent info~tion. such as pictures.~drawinqs, and
other materials to the back of the Action Memorandum. .
IV.
PROPOSED ACTIONS
Describe the proposed actions to be undertaken if a ceilinq increase is
approved. Briefly describe what actions are required to complete the
response (I.g, samplinq for compatibility remains to be completed before
final dispoaal may be undertaken)~ .Indicate the objective of the proposed
actions or threats these actions are to abate, minimize or limit. Describe
any alternative actions and provide the rationale for selectinq the actions
proposed. If off-site storaqe, treatment or disposal is proposed, indicat.
the amount or type of waste(s) requirinq off-site treatment or disposal and
the facility selected. Also discuss any options to off-site disposal. In
cases where the type or amount of vaste is not available for inclusion in
the Action Memorandum. indicate the intent to comply with all requirements
of the Off-site Policy. For detailed info~tion on the Off-site Policy.
OSCS should refer to Chapter IV of this manual.
0-2
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April 1988
OSWER DrRECTIVE 9360.0-02B
For all ramovals, discuss how, to the extent practicable given the
exigencies of the situation, continued response actions (provided the
ceilinq increase is approved) will contribute to the efficient performance
of lonq-term remedial actions, whether Federal, State or PRP. The primary
objective of this provision is to avoid the need for removal restarts. The
following-questions should be considered when preparing this discussion:
What is the long-term cleanup plan for the site?
Which threats will require attention prior to the start of the
long-term action?
How far should the removal action go to assure that the threats are
adequately abated?
Is the proposed removal actiqn consistent with the long-term remedy?
For additional guidance on this requirement, see OSWER directive
19360.0-131, "Guidance on Implementation of the 'Contribute to Remedial
Performance I Provision." . .
.'J,.
If no ramedial plans are available. describe how proposed removal
actions are consistent with the remedial actions that would be expected to
be undertaken based on site conditions. Discussion should be based on best
professional judgement using the information available. In-depth analyse.
of remedial actions are not required. For example, indicate how- continued
actions (provided a ceilinq increase is granted) will address nlar-term
threats that may require attention prior to the start of remedial action as
well as more urgent threats. .\1so discuss how, wherever appropriate,
continued removal actions will provide a suitable foundation for future
remedial actions. In general. removal actions should not interfere with
future remedial actions, nor should proposed actio~ eliminate any feasible
remedial alternatives. . "
v.
SUMMARY OF COSTS
Provide a summary of costs. including a breakdown of costs for both the
current ceiling and the proposed ceilinq. Detail the estimated total
project ceiling and an itemized breakdown of the following cost categories
that comprise the ceiling. This includes extramural costs allowed under the
RA's $2,000,000 authority (these consist of cleanup contractor costs, let~.r
contracts with States and other c9~ercial entities, and site-specific
tAGs); TAr costs; EPA intramural costs; National Contract Lab Proqram
analytical costs; and ERT/REAC costs. For example; the total project
ceilinq should be broken down as shown on the followinq page.
D-3
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APril 1988
OSWEJ. DalEcrIVE 9360.0-021
SumnaC"'f of ~~St3
CIJ:'t'er.t Cd U:tc;
Pt'OQ09~d CeiHr.c;
~;'t::'alftura: ~OI:3
~xt:amural Cleanuc Con~:3c:o"
(i.ncllJdes"DCS- .Mini-~.
Subcontractors. ~.ttlr
Cont:'acts. Al~.~ti.vl
tacnnoloqy Cont:,acts.
tAGs with other Federal
aqencil.. ItC; continqencl
can bl 10-20~.)
~t'ojlct continqlncl (l5~)
(round to nla:,ut t~ousand).
.,.
"'s.,.-
S669.600 S1.l09. 600
(20~ continqlncl) 161.400 2.17.400
S831.000 S1. 387 .000
lO.OOO lO.OOO
20.000 2.0.000
2.0.000 2.0.000
881.000 1.437.000
lJ3.0~0 2.15.530
Sl.020.0~0 S1. 632.550
.,",
tAT costs
etg analytical sirvices
::R1' / RDC
Subtotal Extramural Costs
total ~xt:amural Costs
!nt:amurd Costs
Intramural Oi:'lc: Costs (HQ. ERt and Reqion)
!nt:'amural tndi:'lct Costs.
19 .000
33.000
11.000
33.000
to'I~ ~ROJEC'I' aIt.ING ~-:=~!::
St.072.a~a
St.7~~.~~a
"
. ~o~la for calculatinq i:tdi:'lct costs:
- .
x
~ti:aat.c1 Rlqiona~
Oirlct tabor Hours
tndirect CostS
Reqion.-Splcific
tndi:'lc~ Cost Rate
=
Reqional indi:,ec: cost ratls may bl found in thl Colftpt:'ollir ~olicl
Mriouncemlnt ~o. 87-l5. "Ne" ~lthcc1 for Cltermina~ion. of Indi:lc: CostS
i.n Su.pe:fu.nd Removal ~:oject Clilinqs'. (7/15/87).
D-4
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VI.
RECOMMENDATION
April 1988
OSWER DIRECTIVE 9360.0-028
The purpose of this section is to briefly present the Region's
recommendations, rationale, and proj ect costs. For example, "To eliminate
the continuing threat posed to the nearby public and the environment
consistent with the removal criteria contained in section 300.65 of the
National Contingency Plan, I recommend you approve this $X ceiling increase
request." Briefly summarize what the additional funds will be used for.
Briefly state how much the approval would increase the total project
ceiling. For example, "Your approval would raise the total project ceiling
from $X to $Y, of which $Z are for the extramural cleanup contractor costs
(Regional allowance). You may indicate your approval or disapproval by
signing below."
Approve:
Date:
(Name and Title)
Disapprove:
Date:
(Name and Title>.:::..
Attachments
D-5
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April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX E
ACTION MEMORANDUM FOR REQUESTING A $2 MILLION EXEMPTION AND A CEILING INCREASE
Source:
Superfund Removal Procedures, OSWER Directive 9360.0-038 (Revision #3),
U.S. Environmental Protection Agency, Office of Emergenc'y and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Appendix 12.
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April 1988
OSWER D£RECTIVE 9360.0-02B
MODEL $2 MILLION LIMIT AND CEIt.ING INCREASE ACTION MEMOAANDUM
The purpo.. of Appendix 12 is to provide OSCs with a sample format that
can easily b. followed to request an exemption from the $2 million
limitation and a ceiling increase in order to continue site actions and to
document that ~he threat meets one of the two exemptions set forth in
CERCLA. as amended by SARA. The CERCLA Amendments added a new exemption to
the statutory limitations on cost and duration that allows for an exemption
whenever a continued removal action is determined to be otherwise
appropriate and consistent with future remedial actions to be taken. whether
Federal. State or PRP. This new exemption applies to NPL sites and sites
proposed for the NPL, and to non-NPL sites only in limited circumstances.
The following model is representative of the memoranda frequently
prepared by the Regions, it is intended to be used in situations where an
initial Action Memorandum has been approved. but site conditions are such
that to complete the removal action underway an exemption to the $2 million
limit and a ceiling increase is necessary.
'.
I.
HEADING
:"!;.,:"
DATE:
Month/Day/Year
SUBJEX:'r :
Request for an Exemption from the $2 Million Limit and Ceiling
Increase at Site. City. State
AC'l'ION MEMORANDUM
.'
Site/Spill-ID:
Category of Removal: All removal actions are considered
time-critical unless otherwise indicat~(1 (8"g.. classic
emergency or non-time-critical) . - .
:..
National Significance:
national significance
Indicate whether thi removal is of
FROM :
Regional Administrator
TO:
Assistant Administrator for Solid Waste and Emergency Response
THRt1 :
Director.
Office of Emergency and Remedial Response
ArrN:
Director.
Emergency Response Division
II.
ISSUE
State that continued response actions are estimated to exceed the
$2 million statutory limit and further removal actions cannot be Wldertaken
unless an exemption to this limitation and a ceiling increase are granted.
Include as an attachment a summary of costs and the proposed ceiling
increase.
E-l
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April 1988
OSWER D(RECIlVE 9360.0-028
III.
BIOaZJUIm
The pri88ry purpose of this section is to identify the key
characteristic. of the release in order to lay the foundation for
demonstratiDq that an actual or potential threat to human health or the
environment still exists. These characteristics include site location and
pre-release use, the type of release, and its scope. In compilinq this
information, the OSC should consider the availability of pictures, diaqrams,
maps, andIorsketches that may assist in describing the site.
A.
Incident/Response History
Briefly discuss the backqround/history of the site includinq: current
site conditions (e.q., overflowinq laqoon); who initiated action and when
(for example, EPA or the State); the date action was approved in the initial
Action Memorandum and by whom; the ac~ions initially approved; actions to
date; and actions to be completed (e.q., provision of bottled water).
State whether the site is on the NPL. If the site is on the NPL, then
state when remedial action is expected. For sites not on the NPL, indicate
whether the site is scheduled to .ij'e or has. been scored, if proposal for the
NPL is expected, or has already occurred.
B.
Site Conditions
Briefly describe the problems or conditions at the site that have led to
the $2 million limit exemption and ceilinq increase request. ExamPles.
include, adverse weather conditions, natural disasters, or the extensiveness
of the work required.
IV.
EXEMPTION FRCM STA'l'U'IORY t.IMITS
In order to obtain an exemption from the $2 millia~limit, the OSC must
demonstrate in the Action Memorandum that the site meets one of the two
CERCLA section l04(c) exemptions. Describe in detail how iite conditions
meet the exemption requirements listed below. In order to be qranted an
exemption, site conditions must either meet exemption A 2! B below. Include
a description of worst-case scenarios to help substantiate the need for
action. Be sure to note and include as attachments any ATSDR health advice
memoranda or other data that substantiate the need to exceed the $2 million
limitation.
A(i).
There is an Immediate Risk to Public Health, Welfare or The
Environment
A key word here is immediate. This discussion should focus on how soon
the public or the environment will be as risk. Describe site conditions
that constitute an immediate risk. Indicate all hazardous substances
involved and define the immediacy of the risk (e.q., nearby residents will
be exposed within two weeks). State whether immediate risk is to public
health, welfare, or the environment, or a combination. If a health risk is
E-2
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April 1988
OSWER D£RECTIVE 9360.0-028
present, describe affected populations and their proximity to the site. If
an environmental risk is involved. describe the nature of the threat. If
there is a way to determine how quickly the public may be threatened by an
increasing risk (8.q., modelling), describe how soon the public will be at
risk. Indicate any weather conditions that may exacerbate site conditions.
Cite all supporting documentation. for example. ATSDR health advice.
Mii).
Continued Response Actions are Immediatelv Required to Prevent,
Limit. or Mitigate an Emergencv
The key word here is emergency. Describe the conditions that are
considered emergencies and explain why the response actions must continue
beyond $2 million. Include an explanation of why they are required (e.g.,
to prevent. limit. or mitigate an emergency) and within what time frame.
Explain the consequences if an exemption is not granted and action is not
continued. Cite all supporting documentation. as appropriate.
A(iii).
Assistance Will Not Otherwise be Provided on a Timelv Basis
The key words here are timelv response. Emphasize that no other party
can provide timely response. Indicate whether the State. locality or other
party is willing and financially able to accomplish the required work within
the required time frame. Indicate whether Federal or State enforcement
actions are expected to result in revenues to support the action requested.
Reference the enforcement section or attach enforcement sensitive
information. If the site is on the NPL. state when remedial action is
planned to begin.
OR
B.
Continued Response Actions are Otherwise Appropriate and Consistent .., i th
the Remedial Action to be Taken
.'
Describe how the proposed removal action for the sit~ is appropriate and
consistent with Federal. State or PRP remedial actions carrently underway or
planned for the site. For example. discuss how continued removal actions
will facilitate future remedial cleanup activities (e.g., consolidation a~d
stabilization of hazardous substances on site.) or how continued response
will not hinder or interfere with the remedial action to be taken. If no
remedial plans are available. describe what remedial actions might be
expected to be undertaken given site conditions.
v.
PROPOSED ACTIONS
Briefly describe what actions are required to complete site
stabilization or cleanup. Indicate the objective of the proposed actions or
threats these actions are to abate. minimize or limit. For example. "the
primary objective of the proposed action is the mitigation of the threat to
public health by provision of alternate water supplies to the affected
residents." Describe any alternative actions and provide the rationale for
selecting the actions proposed. If off-site storage, treatment or disposal
E-3
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April 1988
OSWER DIRECTIVE 9360.0-028
is proposed. indicate the amount or type of waste(s) requiring off-site
treatment or disposal and the facility selected. Also discuss any options
to off-site disposal. In cases where the type or amount of waste is not
available for inclusion in the Action Memorandum. indicate the intent to
comply with all requirements of the Off-site Policy. Po.r detailed
information on the Off-site Policy, OSCs should refer to Chapter IV of this
manual.
For all removals, discuss how, to the extent practicable given the
exigencies of the situation, response actions will contribute to the
efficient performance of long-term remedial actions. The primary objective
of this provision is to avoid the need for removal restarts. The following
questions should be considered when preparing this discussion:
What is the long-term cleanup plan for the site?
Which threats will require attention prior to the start of the
long-term action?
How far should the r~~al action go to assure that the threats are
adequately abated.?'
Is the proposed removal action consistent with the long-term r,emedy?
For additional guidance on this requirement, see OSWER directive; .
.9360.0-131, "Guidance on Implementation of the 'Contribute to RemediaL
Performance' Provision."
If no remedial plans are available, describe how proposed removal
actions' are consistent with the remedial actions that would be expected to
be undertaken based on site conditions. Discussion should be based on best
professional judgement using the information available.., ': In-depth- analyses
of remedial actions are not required. For example, '-indicate how proposed
actions (provided a $2 million exemption and ceiling inc~ease are granted)
will address near-term threats that may require attentiori prior to the start
of remedial action as well as more urgent threats. Also discuss how,
wherever appropriate, removal actions will provide a suitable foundation for
future remedial actions. In general, removal actions should not interfere
with future remedial actions, nor should proposed actions eliminate any
feasible rem.dial alternatives.
VI. ~ or COSTS
Provide a summary of costs, including a breakdown of costs for both the
current ceiling and the proposed ceiling. Detail the estimated total
project ceiling in an itemized breakdown of the following cost categories
that comprise the ceilinq. This includes extramural costs allowed under the
RA's $2,000,000 authority (these consist of cleanup contractor costs, letter
contracts with States and other commercial entities, and site-specific
IAGs); TAT costs; EPA intramural costs; Contract Lab Program analytical
costs; and ERT/~ costs. An example of how the total project ceiling
should be broken down is provided on the following page.
E-4
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April \988
OSWER D£RECTIVE 9360.0-028
S\..J1'\r.1a n 'Jt ::05':3
Cl.::,rer:t Ceillnq
~roQosec Cei.ll~
Ex~ramural Costs
Ex:r3mural Cleanup Contrac':or
(includes ERCS. Mini-ERCS.
Subcontractors. Letter
Contracts. Alternatlve
Technology Contracts.
IAGs with other Federal agencies.
etc; cont~ngency can be 10-20%.)
(20% conti~ger.c:)
5661.600
157,,*00
S837.000
$ i. , S '* 1 . 6 'J 0
337,';,JO
$1,937,JOO
!AT costs
CLP analytical services
::RT/Rv.C
10.000
20.000
20,000
LJ, :00
lQ,COO
20.000
......
Subtotal Extramural Cost
837,000
1,987,000
15% Contingency of Above Costs
(roW1.d to nearest ':housand,.}'
"",...
133.050
2ga.SSJ
rotal Extramural Cos:s
S1.020 .050
S2.235.:::
:ntramural Costs
Intramural Direct Costs (HQ. ~RT and Region)
:ntramural Indirect Costs.
19.000
~3.000
13 ,000
3'3.800
!OTAL PROJECT CEILING EST!~:E
S1 ,072 .05Q
S2,337,'J:J
. ~o~ula for calculating i~direct costs:
Region-Specific
Indirect Cost Rate
:<
Estimated Regional
Direct Labor Hours
Indirect Costs
=
Regional indirect cost ra~es are ~rovided in the Com;~rol:er Policy
Announcement No. 87-15. "~ew Method Eor Deta:-mination of Indirect Cos:s
in SuperfW1.d Removal ?:-oJec'=. Cei1i~gs" (7/15/8:7>.
E-5
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April 1988
OSWER DIRECTIVE 9360.0-02B
VII.
tm:OMMENDATION
The purpose of this section is to briefly present the Region's
recot1lftendationa, rationale and project costs. For example. "Because
conditions of the site meet one of the two CERCLA l04(c) exemptions as
described herwin. I recommend that you approve an exemption from the $2
million limitation "to allow continued removal activities at the Site. City.
State. In addition. I recommend an increase in the ceilinq to $X. of which
$Y are for the extramural cleanup contractor costs (Regional allowance).
Approve:
Date:
(Name and Title)
Disapprove:
Date:
(Name and Title)
Attachments
E-6
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April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX F
FORMA T FOR EEjCA APPROVAL MEMORANDUM
'.
" ~ ;~,..
... DRAFT ...
A FINAL VERSION WILL BE FORWARDED WHEN AVAILABLE
-------
April 1988
OSWER DIRECTIVE 9360.0-02B
EE/CA APPROVAL MEMORANDUM OUTLINE
This memorandum format is to be used for documentation of threat pursuant to
Section 300.65 of the NCP and is a record of decision for both HQ and RA approved
engineering evaluation/costs analyses (EE/CAs).
I.
HEADING
SUBJECT:
EE/CA Request for the ABC Site. XYZ State
EE/CA APPROVAL MEMORANDUM
Site/SDill-ID:
Cate20rv of Removal: (State that the removal is 1) a non-time-
critical action and/or 2) of national significance)
FROM:
On-Scene,C,qordinator/Remedial Project Manager
TO:
Regional Administrator (or AA. OSWER. if approp,riate)
THRU:
Regional Division Director. as appropriate
II.
BACKGROUND
The background section should contain information on the location of the
site. the incident characteristics (including the history of the site. general
character of the site. and issues relevant to waste management). summary of
quantity and types of substances present. State and local ~uthorities' role, and
actions to date. including previous and current actions to; 8,bate threat. Each of
these information points is described below.
A. Site DescriDtion
1.
Describe the site's physical location.
2.
Discuss the general character of the site.
3.
Provide supporting documentation.
B. Incident Characteristics
1.
Discuss the history of the incident.
2.
Discuss the relevant issues relating to current waste management
practices. .
F-I
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III.
. DRAFT .
April 1988
OSWER DIRECTIVE 9360.0-028
C. Ouantities and Tvees of Substances Present
I.
Describe the hazardous substances in terms of categories or classes of
chemicals.
2.
Describe the sampling methodology.
D. State and Local Authorities' Roles
1.
Briefly describe State and local actions to date.
2.
Summarize the potential for continued State and local response.
E. Actions to Date
1.
Discuss any previous actions to abate threat.
2.
Discuss any current actions to abate threat.
THREA T TO PUBLIC HEALTH OR WELFARE OR THE ENVIRONMENT
(Include determination,~hat threat is non-time-critical)
. ".J.,.-
Removals address two distinct criteria. The first is a threat to the public
health, welfare and the environment. The second criterion is the availability of
non-CERCLA response mechanisms. The following threats are considered in
determining the appropriateness of a removal action: .
o
. .
.' ".
Actual or potential exposure to hazardous substances or pollutants' or
contaminants by nearby populations, animals, or food chain;
o
Actual or potential contamination of drinking water supplies or sensitive
ecosystems; .
o
~ ~
Hazardous substances or pollutants or cOD.tanii~ants in drums, barrels,
tanks, or other bulk storage containers, that miy pose a threat of
release; . ~.
o
High levels of hazardous substances or pollutants or contaminants in
soils largely at or near the surface, that may migrate;
o
We,ather conditions that may cause hazardous substances or pollutants or
contaminants to migrate or be released;
o
Threat of fire or explosion;
o
The availability of other appropriate Federal or State response
mechanisms to respond to the release;
o
Other situations or factors which may pose threats to public health,
welfare or the environment.
F-2
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IV.
. DRAFT .
April 1988
OSWER DIRECTIVE 9360.0-028
OSCs should make sure that their Approval Memoranda discuss the ways in
which the release meets these NCP criteria. Sections A and B below provide
some specific examples of the type of material to include.
A. Threats to Public Health and Welfare
.1.
Describe the threats to public health and welfare.
2.
Describe all actual or potential impacts on human health and welfare.
B. Threats to the Environment
1.
Describe threats to the environment.
2.
Discuss all actual or potential impacts on the affected area.
ENFORCEMENT (not for public release)
The purpose of this. ~.~tion is to assist in making the determination of the
potential for response action by PRPs. This information should be referenced
here as "see attachment" and Dlaced on a seDarate Dasze entitled "Enforcement
Sensitive." This section includes information on the enforcement strategy,
(summarized), the status of notice letters and/or negotiations, the available
enforcement authority, potentially responsible parties, previous enforcement
actions, the probability of recovering costs, and the recommended enforcement
strategy if there is no strategy currently in place. This section also should
contain information on the potential for responsible party response. In some
Regions, this section of the Approval Memorandum may be prepared by
enforcement personnel. .
A. Enforcement Strateszv
,.
1.
Briefly summarize the enforcement strategy.
~
2.
Briefly summarize the enforcement actions.
8. Status of Enforcement Actions
1.
Potentially responsible parties.
a. Describe the number and types of potentially responsible
parties (e.g., transporters and owners or operators of production
facilities or waste disposal facilities).
b. Indicate if the PRP has taken action. If so, mention whether
or not the action was adequate.
F-3
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V.
VI.
. DRAFT .
April 1988
OSWER DIRECTIVE 9360.0-028
c. Describe what efforts are being undertaken to obtain
additional PRP response.
d. Give the date(s) that notice letter(s) were sent and a summary
of the responses of the recipients (e.g., the PRPs have agreed to
clean up the site or the PRPs have denied involvement at the site).
If negotiations are underway, describe the activities under
discussion.
2.
Discuss the probability of recovering costs.
PROPOSED PROJECT AND COSTS
A. Objectives of the EE/CA: A short statement should be made describing the
specific tasks involved in preparation of the EE/CA, including anyon-site
activities necessary (e.g., drum excavation), and the results sought by the
EE/CA as they pertain to the threat(s) discussed in IV.
B. The estimated total EE/CA project ceiling (104(b) costs) and an itemized
breakout of the following cost categories which comprise the total ceiling:
TAT costs, intramurarC;9.~ts, National Contract Lab Program analytical costs.
and ERT IREAC costs. ' (REM contractor costs would be included' at NPL
sites, if appropriate.) For example, the total project ceiling may be
established in the following manner:
...
TAT costs
NCLP analytical services
ERT study
Indirect (HQ and Region)
TOT AL I 04(b) COSTS
10,000
20,000
20,000
45.000
$95,000
If any CERCLA funds have already been allocated for this site, give the
amount and tasks involved. Indicate obligations ,to date, if appropriate.
,
C. EE/CA Schedule: The estimated period of performance should be given, with
interim milestones, as appropriate.
D. Estimated Cost and Duration of Removal Action: The approximate cost and
duration of the final removal action, based on the nature of the site
problems and waste volume and characteristics.
EXPECTED CHANGE IN THE SITUATION SHOULD NO ACTION BE TAK E~ OR
SHOULD ACTION BE DELAYED
Describe any expected changes in the situation should no action be taken or
action be delayed. Include a description of a worst-case scenario should no
action be taken. These changes may include:
F-4
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VII.
. DRAFT .
April 1988
OSWER DIRECTIVE 9360.0-028
o
Spread in scope of contamination. For example, the ground water
contaminant plume may spread through a larger area.
o
Change in nature of contamination. For example, incompatible
substances may come into contact with each other, producing added
threats such as fire/explosion or formation of poisonous gases such as
hydrogen cyanide.
o
Increased threat to human health and the environment if action is
delayed or denied. For example, the contaminant plume may soon reach
drinking water wells or phosphine gas or other poisonous gases may bt
produced.
o
Additional response actions required if the initial response is delayed or
denied resulting in a longer, more costly removal. For example, the
drums will deteriorate further, leaking additional contaminants into the
ground.
IMPORT ANT POLICY ISSUES (Onlv as necessary and aoolicable)
If applicable, include a separate section on important policy issues that are
significant to this request;;. These issues may include:
o
Provision for cost sharing (cost sharing is applicable only. in a small
number of cases and applies only to removals at NPL sites that were
publicly operated, either by a State or a political subdivision thereof, at
the time of the release and a remedial action is ultimately' undertaken at
the site) '. . "
o
The division of responsibilities among Federal and/or State agencies
o
Off -site disposal availability and compliance with OSWER's Off-site
Policy
o
Compliance with other environmental statutes ;"
o
Special coordination needs/issues of national significance (e.g., dioxin)
and similar issues
o
Contiguous sites (if multiple locations are recommended by' the Region
for consideration as one site, give justification for such consideration).
Issues should be fully explained and include a discussion on the efforts being
made to resolve the issue and/or decisions that must be made before a
resolution is reached.
F-5
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VIII.
. DRAFT .
April 1988
OSWER DIRECTIVE 9360.0-028
REGIONAL RECOMMENDATION
Use a paragraph such as: -Because conditions at the XYZ Site meet the NCP
Section 300.65 criteria for a removal action, I recommend your approval of the
engineering evaluation/cost analysis (EE/CA) request. The estimated total costs
of performing the EE/CA are SX. You may indicate you approval or disapproval
by signing below.-
Approve:
Date:
Disapprove:
Date:
F-6
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Source:
April 1988
OSWER DIRECTIVE 9360.0-02B
APPENDIX G
NON-ALLOWABLE COSTS UNDER SUPERFUND
Superfund Removal Procedures, OSWER Directive 9360.0-03B (Revision #3),
U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Section III-F-2-c.
-------
April 1988
OSWER DIRECTIVE 936O.0-02B
NON- ALLOW ABLE COSTS UNDER SUPERFUND
Permissible US8 of money from the Hazardous Substances Response Trust Fund
("Superfund-) are circumscribed by CERCLA and the NCP. There are certain expenditures
which cannot be charged to Superfund, including:
1. State and local costs for which prior authorization was not specifically given by the "
OSC or addressed in a cooperative agreement or Superfund State Conuact or procurement
contract (e.g., municipal services, such as use of police or fire depanmencs, and State
personnel who are on-scene performing tasks not specifically requested by the OSC).
2. Costs to restore release-related damages to property (as opposed to response-related
damages). Release-related damages are those that occur as a direct result of the release
of a hazardous substance (e.g.. poisoning of fish or livestock). Payment for restoring,
rehabilitating, or acquiring the equivalent of costs to natUral resources damaged by the
release may be made upon the trustee's request for preauthorization under the claims
regulations, which are under development. "
3. Costs for the research and developm~nt of equipment and response technologies used in
conjunction with a removal action; e.g.;~:"alternative disposal technologies. Funding may
be available, however, through sources' other than the CERCLA Trust Fund. If such
situations arise, the OSC should contact the Hazardous Response Support Division (HRSD) in
Headquarters. " "
4. Costs for removal of petroleum. including crude oil and any fraction thereof' which is
not otherwise specifically listed or designated as a hazardous substance, natural gas, ,"
natural gas liquids, liquefied natural sas, or synthetic sas usable for fuel (or mi%tUres
of natural gas and such synthetic gas).
5. CostS in,urred by a contractor to provide response measures, for which that
contractor is later found to be liable.
,"
More complete guidance on allowable costs is currently being de~loped by OERR.
G-l
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April 1988
OSWER D[RECTIVE 9360.0.028
APPENDIX H
COST TABLES FOR EPA INDIRECT PROVrC;IONAL RATES
AND THE :--JATIONAL CONTRACT LA80RATORY PROGRAM
-------
April 1988
OSWER DntECTIVE 9360.0-028
Estllaatlal EPA NatloaaJ Coatract Laboratory ProlnlD (CLP) Costs
Routine Analytical Services (RAS)
Organics-EPA Hazardous Substances
List (Volatiles, Base/Neutral!
Acid, Pesticides/PCBs)
Inorganic - 23 metals artd
cyanide
Dioxin - 2,3.7.8- TCDD
Volatile Organics Only
Soedal Analytical Services (SAS)
SamDle Matrix
Cost(S)/Samolel
Water and
Soil/Sediment
1389
Water and
. Soil/Sediment
209
Soil/Sediment
Only
200
Water and
$oil/Sediment
Not A vailable at this Time
. . ',.~
Cost may be requested from the CLP Sample Management Office (SMO) thfough the EPA
Regional Sample Control Centers (RSCC). . .
To estimate CLP laboratorv cost
. .
From information in Chapter 2 (Steps 1-6), estimate the number of samples and the
type of analyses for each sample matrix (i.e., water or soi1/s'edim~ntS). Remember to
include field blanks if applicable. . . ~
I.
Example:
Matrix
Analysis
Water
Soil
Water
Sedimencs
Inorganics
Inorganics
Organics
Dioxin
------------------------------
No. of Sarno Ie!
7
27
17
S
1 ReflectS the highest cost/sample presently paid in the CLP for each analysis category.
H-l
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April 1988
OSWER DIR£CTIYE 9360.0-028
2.
EPA requires contract labor-uories to perform quality control (QC) sample analyses
(i.e., matrix spikes, duplicates, and method blanks) for each samD/e matrix at an
interval of every 20 samples or per case whichever is more frequent. (A case is
designated as a sroup of samples collected at one site or geographic location during
a specific time period usuaJly one to two weeks.) The cost of the QC analyses is not
included in the cost per sample listed above. Therefore, contract laboratories
charge the EPA the same cost per sample listed above for each required QC sample
analysis. To determine the total number of samples to use in estimatins costs, add
four QC samples per 20 samples or per case whichever is more frequent of each sample
matrix analysis request. For example:
Matrix
Analvsis No. of SamD/es
Total
OC SamDles
SamDles
Water Inorganic
Soil Inorganic
Water Organic
Sediment Dioxin
7
27
17
5
4
8
4
4
II
35
21
9
3.
Multiply the total number of samples (Step 2) for each analysis by the cost per
sample listed in the table and subtotal} ;,.
Total No. Cost ($) Estimated
Matrix Analvsis of SamDles SamDle Cost ($)
Water Inorganic II 209 2299
Soil Inorganic 35 209 7315
Water Organic 21 1389 29169
Sediments Dioxin 0 200 ilQQ
Subtotal $408583
4.
Add a fifteen percent contingency allowance to the laboratory cOstS 'to cover labels,
bottles, packaging materials, sample shipment and other miscellaneous~.costs related
to CLP costs. '.
H-2
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April 1988
OSWER DIR.£CTIVE 9360.0.028
Proylsional FY 1987 EP A Indirect Cost Rates I
Re~ion
Oraanizations to Which the R:1tes Acclv
FY 87 Provisional Rates
I
Air. W3ter. Environmental Services,
and Waste Management Division
S60 per hour
n
Caribbean Field Office; Emergency
and Response, Air and Waste
Management, Water Management, and
Environmental Services Divisions
S68 per hour
III
All Regional Organizations
SS2 per hour
IV
All Regional Organizations
SS4 per hour
y
Directors Office. Waste Managementl
Emergency Response; Hazardous Waste
Enforcement Bra.flctt, Great Lakes
Coordinator; Central Regional Lab;
Eastern and S&A Central Disuict
Offices; and Waste Management, Air,
Water. and.Environmental Services
Divisions ...!;,:..
S61per hour
VI
Houston Lab; and Air, Pesticides and
Toxics, Water Management, Hazardous
Waste Management, and Environmental
Serv ices Divisions
S60 per hour
VII
Water Management, Air and Toxics,
Environmental Services, and
Waste Management Divisions
S6S per hour
VIII
Air and Hazardous Material Branch; ;
Montana Office; and Water, Air.
and Hazardous Material, and
Environmental Services Divisions
~
S62 per hour
IX
Toxics and Waste Management, Water
Management,and Air Management
Divisions
S63 per hour
x
Alaska, Oregon, Idaho, and Washington
Operations Offices; and Air and
Toxics, Water. kizardous Waste, and
Environmental Services Divisions
S61 per hour
-----------------------------
IFrom Comptroller Policy Announcement No. 87 - 15: New Method for Determination of
Indirect CostS in Superfund Removal Project Ceilings; 'July 15. 1987.
H-3
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APPENDIX I
COST PROJECTION EXAMPLE
April 1988
OSWER DIRECTIVE 9360.0-028
-------
April 1988
OSWER DIRECTIVE 9360.0-028
REMOVAL PROJECT CEILING ESTIMATE
Extramural Costs
Extramural Cleanup Contractor
(includes ERCS. letter cOfltracts. lAGs.
CAs. Regional ERCS. and a contingency
contingency can be /0 - 20%)
TAT Costs
NCLP Analytical Costs
ERT Contract (REAC)
Subtotal -- Extramural Costs
. .
. 15% C.Ontingency of A bove COStS
(round to nearest thousand)
TOTAL -- EXTRAMURAL COSTS
Intramural Costs
Direct Costs
[530 x 500 labor hours (400 Regional/40 HQ/60 ERT)]
Indirect Costs
Other Direct Costs
TOTAL -- INTRAMURAL COSTS
+
$750,000
$112.500 (15% contingency)
$862,500
$50,000
+
$100,000
5 I 00.000
$1,112,500
+
$ I 67.000 .
$l,279.S00
$15,000
.'
~
+
:: $24,000
$1.000
'S.JO.OOO
TOTAL REMOVAL PROJECT CEILING ESTIMATE:
Indirect Cost Formul~
Region-Specific
Indirect Cost Rate
Estimated Regional
Direct Labor Hours
)(
=
$60
400 hours
I-l
$1.JI9.S00
Indirect Costs
$24,000
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April 1988
OSWER Dnu:cnVE 936O.0-02B
APPENDIX J
MEMORANDUM OF UNDERSTANDING BETWEEN EPA AND AGENCY FOR
TOXIC SUBSTANCES AND DISEASE REGISTRY
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April 1988
OSWER DIRECTIVE 9360.0-028
MEMORANDUM OF UNDERSTANDING
BETWEEN
THE AGENCY FOR TOXIC SUBSTANCES AND DISEASE REGISTRY
AND
THE UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
April 2, 1985
1.
PURPOSE
The Agency for Toxic Substances and Disease Registry (ATSDR)
and the Environmental Protection Agency (EPA) agree that guidance
is required to define and coordinate joint and respective
responsibilities under the Comprehensive Environmental Response,
Compensation, and Liability Act (Public Law 96-510, 94 Stat.
2796, 42 USC 9601 et seq; CERCLA), Executive Order 12316
(Responses to Environmental Damage), and the National Oil and.
Hazardous Substances Contingency Plan (NCP; 40 CFR Part 300).
This Memorandum of Under~tanding (MOU) establishes policies and
procedures for conductin~~~esponse and non-response health
activities related to releases of hazardous substances.
2.
AUTHORITY
.,'.
CERCLA Section 104 authorizes the President to respond to
releases or substantial threats of releases into the environment
of hazardous substances and certain releases of pollutants or
contaminants. CERCLA also establishes the Hazardous Substance
Response Trust Fund. CERCLA section 104(i) authorizes ATSDR
(part of the Department of Health and Human Services (HHS)) to
effectuate and implement specific health-relat~d activities with
the cooperation of EPA and other agencies.'.. Ex~cutive Order 12316
further delegates to the Secretary of HHS certain investigatory
authorities vested in the President under CERCLA section 104 for
conducting activities with the cooperation of other agencies,
relating to illness, disease or complaints thereof. Executive
Order 12316 delegates to EPA the primary response authority under
CERCLA section 104 relating to release or extent of release of
hazardous substances, pollutants, or contaminants, and
determinatf6n of the presence of an imminent and substantial
danger to the public health or welfare or the environment.
Exceptions to this authority include responses to releases from
Department of Defense (000) facilities or vessels (delegated to
000) and releases involving the coastal zone, Great Lakes waters,
ports, and harbors (delegated to the U.S. Coast Guard).
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April 1988
OSWER DIRECTIVE 9360.0-02B
3 .
SCOPE OF RESPONSIBILITIES
This MOU covers the coordination of health-related
activities by ATSDR and EPA as authorized by CERCLA and delegated
by Executive Order 12316. ATSDR has statutory responsibilities
under CERCLA and Executive Order 12316 for activities related to
illness, disease, or complaints thereof, for disease registries
and other responsibilities related to response actions. EPA has
statutory authority under CERCLA and Executive Order 12316 for
activities related to release or threat of release of hazardous
substances, pollutants, or contaminants, and for determination of
the extent of danger to public health, welfare, or the
environment, as well as other responsibilities related to
response actions.
ATSDR and EPA will carry out their responsibilities
according to CERCLA, Executive Order 12316, the NCP, and this
MOU. ATSDR's major responsibility will be the evaluation of
populations with current or potential exposure to waste sites,
development of health advisories, and the follow up on
populations for the eval~~tion of future health effects. EPA's
major responsibility in 'the health area will be risk assessment
and risk management as defined herein. Health advisories will
be based on ATSDR's evaluations of current health effects. and
will adapt EPA's risk assessments at a site or sites. ATSDR will
not perform risk assessments as defined herein, using the funds
made available from the Hazardous Substances Response. Trust Fund.
If risk assessments are not available, ATSDR will consult EPA on
a case-by-case basis. ATSDR will conduct some of its activities
through interagency agreements with other participating agencies
of the Public Health service through cooperative agreements with
state health departments, and through contractual arrangements
whenever appropriate. Such interagency agreements include those
with the Centers for Disease Control to conduct health studies
and conduct research and provide assistance o~ worker health and
safety issues; with the Library of Medicine to establish and
maintain the needed data bases on health effects of toxic
substances; and with the National Toxicology Program to conduct
standard toxicological assays.
Defin~ions fo~ the key terms used in this section follow:
o
Health Consultation:
consultation by ATSDR
and/or health effects
specific site.
Immediate or short-term
to provide health advice
information regarding a
o
Health Assessment: Initial mUlti-disciplinary reviews
by ATSDR of all readily available data to evaluate
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April 1988
OSWER DIRECTIVE 9360.0-028
the nature and magnitude of any threat to human
health at a site. These evaluations will adapt
EPA's risk assessment for the characterization of
potential health threats at a site or sites, and
may include literature searches, information
summarization and evaluation of existing
,environmental data, pilot samples, testing for
food chain contamination, and similar activities.
o
Public Health Advisory: An advisory issued by
ATSDR based on the results of its health
assessment.
o
Epidemioloqic Studies: Long-term epidemiologic
study by ATSDR involving a comprehensive protocol
designed to add knowledge of the health effects of
a specific substance or substances at a site or
sites.
o
Health Reqistry: A site-specific or adverse
health effect~~specific registry established and
maintained to:track specific diseases and.
illnesses and long-term health effects to persons
exposed to toxic substances. .
o
Pilot study: A preliminary or short term medical,
laboratory, or epidemiologic study on a limited.
human population to decide if additional, large
scale studies are war+anted. The study
populations can include those living at, or near,
a site and those not residing at, or near, a site
(control or reference population). .
Risk Assessment: A qualitativejquaj'ltitative
process conducted by EPA to charact~rize the
nature and magnitude of potential risks to public
health from exposure to hazardous substances,
pollutants or contaminants released from specific
sites. This process consists of hazard
identification, dose-response assessment, exposure
assessment, and risk characterization and supports
EPA's risk management process.
o
o
Risk Manaqement: The process conducted by EPA to
determine the nature and extent of remedy for a site,
including alternative selection.
A.
Removal Actions
Removal actions are Superfund response activities involving
the short-term cleanup or removal of released hazardous
substances that pose an immediate hazard. These actions
generally are limited by CERCLA to $1 million in cost and six
months in duration.
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April 1988
OSWER DIRECTIVE 9360.0-028
ATSDR activities in support of specific removal actions
involve health consultations and health advisories. In addition,
ATSDR may monitor the health of residents who have been exposed
to the hazardous substances or who live near the release site.
ATSDR may also provide technical assistance to EPA on matters of
worker health and safety during the removal, and may provide
community relations assistance to EPA. ATSDR may become involved
in removal "actions through a variety of mechanisms and at various
stages of a removal action. The On-Scene Coordinator (OSC) shall
recommend that ATSDR be called in at any time during the removal
action, at the time that the criteria under section B.3 are met,
unless in theOSC's opinion there is no need for further public
health input into the removal action. Alternatively, the
recommendation for ATSDR involvement may be initiated by ATSDR
itself, the State, or the- EPA Regional Administrator.
B.
Remedial Response
Remedial actions are those response actions consistent with
a permanent remedy at a site. Remedial action is preceded by
detailed planning. This.. $ection discusses coordination of ATSDR
and EPA efforts durin.g the-- remedial response process, which
involves the five major stages:
o
Site discovery, preliminary assessment, and:
site inspections;
site ranking and NPL listing;
Remedial investigation (RI);
Feasibility study (FS); and
Remedial design and construction.
o
o
o
o
The roles of ATSDR and EPA during these stages are discussed
in the subsections below.
B.1
site Discovery, Preliminary Asses$ment, and Site
Inspection
There are different methods for identifying sites for
potential remedial response under the Superfund program. CERCLA
section 103 requires certain parties to notify the National
Response Center when they have knowledge of a release of a
hazardous substance equal to or in excess of the reportable
quantity for that substance. Notification is forwarded to EPA
and the affected State. In addition to this formal notification
process, EPA may receive notification of a potential or actual
release from a local, State, or Federal agency that discovers the
release in the performance of its responsibilities. Following
notification of a potential or actual release, EPA conducts a
preliminary assessment of the site to determine whether further
investigation and Hazard Ranking System (HRS) scoring is
warranted.
J-4
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April 1988
OSWER DIRECTIVE 9360.0-028
site discovery, preliminary assessment, and site inspection
are primarily the responsibility of EPA. If ATSDR discovers a
potential or actual release during the performance of its
responsibilities, ATSDR will notify EPA of this release. EPA may
perform preliminary assessments and site inspections of such
releases, as warranted, and will determine whether further
investigation is necessary.
B.2
Site Ranking and NPL Listing
CERCLA section 105(8) requires the President to develop
criteria for determining priorities among releases or threatened
releases of hazardous substances and, based upon those criteria,
publish and amend the NPL. Executive Order 12316, section l(c)
delegates to EPA "[t]he responsibility for...all of
the...functions vested in section 105" of CERCLA.
Decisions regarding specific site scoring and listing of
sites on the NPL are the responsibility of EPA. If ATSDR
discovers any information about potential candidates for the NPL
during the performanceQ'f its responsibilities, ATSDR will submit
that information toEPA~""- To facilitate this, EPA headquarters
will notify ATSDR prior to each amendment of the NPL to allow
ATSDR to recommend sites to be considered for the NPL, and EPA
will consider such recommendations, based upon the data used by
ATSDR, to make the recommendation, before publishing:the amended
NPL. EPA may decide to rank sites identified by ATS,DR, retain
the site information on EPA files for future reference, or seek
further information about such sites, and will notify ATSDR of
its decision.
B.3
Remedial Investigation
CERCLA section 104 (b) authorizes the', President to undertake
"such investigations, monitoring, surveys, t~sting, and other
information gathering" necessary to "identify" the existence and
extent of the release or threat thereof, the source and nature of
hazardous substances, pollutants or contaminants involved, and
the extent of danger to public health or welfare or the
environment." section 2(a) of Executive Order 12316 delegates to
the Secret~ry of HHS in cooperation with other agencies, those
functions of Section 104(b) "relating to illness, disease, or
complaints thereof." HHS's responsibilities are performed by
ATSDR. Section 2(e) delegates to EPA most of the remaining
authorities under section 104, including those functions under
section 104(b) listed above as they related to the occurrence or
potential occurrence of a release.
"
The EPA Regional Administrator, or his designee, will
determine as early as possible in the RIfFS process for a site
whether concurrent ATSDR involvement in the RIfFS is
J-5
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April 1988
OSWER DIRECTIVE 9360.0-028
necessary. In deciding whether to request concurrent ATSDR
involvement, the Regional Administrator, or his designee, will
consider the following criteria:
o
Whether the presence of toxic substances has been
confirmed at the site;
o
Whether pathways of human exposure to toxic
substances have been demonstrated to exist at the
site, especially if such pathways involve direct
contact with toxic substances; and
o
Whether a human population has been exposed to
toxic substances via the identified pathways, and
whether there exists a threat of current or future
health effects to the population being so exposed,
after considering EPA's risk assessments or health
effects information from other sources.
If these criteria are met,: the EPA Regional Administrator, or his
designee, shall request d6ncurrent ATSDR involvement, .unless in
his opinion there is no need for further public health input into
the RI/FS. Alternatively, the recommendation for ATSDR
involvement may be initiated by ATSDR itself, or the State~
Elements of the remedial investigation in which A~SDR .
participates may include review of site sampling plan~ and'
analysis protocols, site sampling, data analysis and
interpretation, worker health and safety, community relations,
and the remedial investigation report. The division of
responsibilities and coordination between EPA and ATSDR in
conducting these activities is described in th~ following
paragraphs. EPA and ATSDR will agree to st.ric;:t time schedules on
a site-specific basis for all activities to be".performed by
ATSDR, to ensure that the response process is rtot delayed. Any
changes in the time schedule will be mutually agreed upon by EPA
and ATSDR.
site SamDlinq. Where EPA has requested concurrent ATSDR
involvement, ATSDR will advise EPA during the preparation of
sampling and analysis protocols to ensure collection of data
useful to ATSDR for health assessments and epidemiological
studies. EPA will be responsible for the development and conduct
of any environmental and biological (other than human) sampling,
and developing the tests therefor. ATSDR will consult with
appropriate health agencies and will summarize recommendations
regarding the necessity for testing of human sUbjects. If human
subject testing is determined to be necessary, ATSDR will be
responsible for any such testing. EPA shall review the protocols
or sampling plans for such testing to ensure collection of data
useful to EPA in performing subsequent risk assessment and risk
management.
J-6
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April 1988
OSWER DIRECTIVE 9360.0-028
Samplina Protocol. Where EPA has requested concurrent
ATSDR involvement, EPA and ATSDR will submit a draft of all
protocols to each other for review prior to institution of any
site sampling or monitoring. Any changes in the sampling
protocols will also be provided to ATSDR for review. with regard
to the review of non-site specific protocols, (e.g. ,protocols for
standard Contract Laboratory Program analysis) EPA will provide
these to ATSDR for review as early as possible to avoid the
necessity of ATSDR review of these protocols on a site specific
basis.
Data Analysis and Interpretation. At sites where EPA has
requested concurrent ATSDR involvement, EPA will provide its data
from environmental, toxicological and other biological sampling
and testing to ATSDR. ATSDR will review all available data for a
site, including EPA's hazard identification, dose-response
assessment, exposure assessment, and risk characterization
information, drawing conclusions about any threats to public
health associated with the site. Based on its interpretation of
the site data, ATSDR will characterize the health threats based
on its evaluation of cur~ent health effects and in consultation
with EPA concerningthe'.!magni tude and timing of potential future
health effects. .ATSDR will communicate all health concerns to
regional EPA staff and will provide copies of health assessments
and advisories to EPA.
Worker Health and Safety. EPA may request assistance from
ATSDR on worker health and safety issues during a remedial
investigation, including consultation on the design of worker
health and safety plans and monitoring of plan implementation.
ATSDR will make arrangements for laboratory and field testing
related to worker health and safety and worker surveillance.
Community Relations. ATSDR may provide~ at EPA's request,
assistance in conducting community relations'~$lctivities during
the remedial investigation. Such assistance may include:
o
Preparation of technical and non-technical
information material for the public describing
human health threats posed by substances at a
s_ite;
o
Reviewing and commenting on human health-related
documents prepared and submitted by citizens
(e.g., citizen-generated health survey protocols);
Participation in public meetings, small group
meetings, and workshops; and
o
o
Preparing responses to specific public inquiries
regarding human health impacts of site problems.
J-7
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April 1988
OSWER DIRECTIVE 9360.0-028
Remedial Investiqation Report. At the conclusion of the
remedial investigation at sites where ATSDR is involved, EPA will
send a copy of the remedial investigation report to ATSDR. ATSDR
will review health-related data and interpretations of such data
in the report and provide comments to EPA within a mutually
agreed upon time frame.
If EPA and ATSDR agree that ATSDR involvement is not
required at a site, ATSDR will not participate in the remedial
planning process at that site. ATSDR may undertake other
statutory activities, such as epidemiological studies or disease
registries, at a site or sites. ATSDR will coordinate all such
activities with EPA and will advise EPA of imminent threats to
human health at any site and at any time during EPA's remedial
process. In addition, EPA may request ATSDR assistance in
disseminating health information to the public and in responding
to health concerns of local citizens.
5.4 Feasibility study
EPA has the final authority for determining the extent of
remedy at a site and seledting a specific remedy during the'
feasibility study. '. In conducting feasibility studies, EPA will
develop, evaluate, and select remedial options using ,the approach
described in its feasibility study guidance. For those sites
where there has been concurrent ATSDR involvement, EPA staff will
consult ATSDR for its assessment of any human health data (~.g.,
clinical, epidemiologic) and EPA's risk assessment resulting from
the remedial investigation. EPA will be responsible for
performing qualitative/quantitative risk assessments evaluating
lonq-term risks to the public that may result from exposure to
hazardous substances from Superfund sites. .
It is the responsibility of EPA (Offi6~'Qf Solid Waste and
Emergency Response) to incorporate the results~of the risk
assessment process and of health assessments bi ATSDR into risk
management determinations of the extent of remedy for a site.
The goal of this process is to ensure that the remedial action is
adequate with regard to eliminating or mitigating the existing
and future public health threats. EPA may consider and
incorporat~. ~pplicable information provided by ATSDR on the
current status of public health at the site into the selection of
the preferred remedy. At the discretion of the appropriate
Regional Administrator, EPA staff may also consult with ATSDR
staff for any interpretation of human health data at sites where
ATSDR is not concurrently involved. In addition, EPA may request
ATSDR assistance at any site in disseminating health information
to the public and in responding to health concerns of local
citizens. In the course of performing its health activities,
should ATSDR discover any site which, in its opinion, poses
J-8
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April 1988
OSWER O[RECTIVE 9360.0-028
an imminent threat to public health, ATSDR will immediately
notify the relevant EPA Regional Office and EPA Headquarters of
this finding.
For each remedial response site where ATSDR involvement is
requested, EPA will provide ATSDR with a copy of the draft
feasibility study, and where appropriate with rough draft
sections of the feasibility study relating to human health and
interpretation, prior to the public comment period if possible.
ATSDR will review the interpretation of the human health data in
the draft feasibility study and provide comments to EPA during
the public comment period. ATSDR will also provide to EPA any
health information it possesses on the site during the public
comment period.
B.5
Remedial Design and Construction
The design and construction of the selected remedy at
Superfund sites is EPA's responsibility. The Regional
Administrator may, at his discretion, request a health assessment
from ATSDR with regard ti:(certain elements of the remedial
design. At the conciusion of the design stage, EPA should
provide advance copies of the Remedial Design and Construction
Plans to ATSDR whenever possible if they wish review and comment
by ATSDR. ATSDR will notify EPA if the remedial design does not,
in its opinion, eliminate or mitigate the public health threat.
C.
Cost Recovery
Under CERCLA, EPA is authorized to recover from responsible
parties' all government costs incurred during a'response action.
ATSDR agrees to conform with all procedures and requirements for
documenting costs that are to be recovered. . .
"
D.
Funding
All costs incurred by ATSDR in performing its CERCLA
responsibilities are funded by ATSDR through funds provided for
this purpose. Funding for ATSDR activities performed under
CERCLA is from the Hazardous Substances Response Trust Fund and
is provided by EPA through the budget task force required by
section 7 of-Executive Order 12316 or through separate
interagency agreements for specific health studies. ATSDR will
comply with the financial and reporting requirements outlined in
the Interagency Agreements that transfer Fund monies to ATSDR.
4.
PERIOD OF AGREEMENT
This Memorandum of Understanding will continue in effect
until modified or amended by the assent of both parties or
terminated by either party upon a thirty (30) day.
J-9
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April 1988
OSWER DIRECTIVE 9360.0-02B
advance written notice of the other party. Nothing in the
Memorandum is intended to diminish or otherwise alter statutory
authority of the agencies involved.
5.
AMENDMENTS
This Memorandum may be amended at any time by the agreement
of both parties. Each amendment must be in writing and signed by
the appropriate ATSDR and EPA officials.
6.
EFFECTIVE DATE
This Memorandum will become effective at noon on the date of
the last signature below.
;'!;.:..
.
.~
1'-2,>. tL-
IA£d e ~,~~
Oa t e: . MAY?',,-
ror the Agency for .!oxic
Substances and eisease
Registry.
ror th~ United State.
Environmental Protftction
Agency
J-10
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April 1988
OSWER DrRECTIVE 9360.0-028
APPENDIX K
DRAFT MEMORANDUM OF UNDERSTANDrNG BETWEEN EPA AND THE FEDERAL
EMERGENCY MANAGEMENT AGENCY
... DRAFT ...
A FINAL VERSION WILL BE FORWARDED WHEN AVAILABLE
-------
... DRAfT ...
April 1988
OSWER D(RECTIVE 9360.0-028
MEMORANDUM OF UNDERSTANDING
THE FEDERAL EMERGENCY MANAGEMENT AGENCY AND THE
ENVIRONMENTAL PROTECTION AGENCY FOR THE IMPLEMENTATION
OF RELOCATION ACTIVITIES UNDER p.L. 96-510, THE
COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION,
AND LIABILITY ACT OF 1980 (CERCLA), AS AMENDED BY
P.L. 99-499, THE SUPERFUND AMENDMENTS AND REAUTHORIZATION
ACT OF 1986 (SARA)
1.
PURPOSE
ThiS ~emorandun of Understanding (MOU) supersedes the MOU between
the United States Environ~ental Protection Agency (EPA) and the Federal
E:~ergency ManagefT1ent Agency (FEMA ) of May 5. 1985 and any subsequent
al'end~ents. Tn is MOU descri bes r.1aj or res pons i b i 1 it i es and outl i nes areas
of mutual support and cooperati,oh relating to relocation activities
associated with response attion~ pursuant to CERCLA. as amended by SARA,
Executive Order (E.O.) 12580. and the National nil and Hazardous Substance
Pollution Contingency Plan (NC?). 40 CFR Part 300. ' .
Separate Interagency Agreements (lAGs) between EPA and FEMA'will be
developed to address both general and specific relocation activit,;es. "
Such lAGs will be in confomance with the general policies, roles and
responsibilities of e~ch agency.
2.
AUTHOR I TV
CERCLA. as anended by SARA. provides a comprehe~sii~ fra~ework for
response to the release or potential release of hazardou~ substances.
pollutants. or contaminants which may present an inminent:, and substantial
danger to the pUblic health or welfare and the environ~ent.
Executive Order 12580 delegates to the Director of FEMA the functions
vested in the President by Sections 104(a) and the second sentence of
126(b) of the Act, t.o the extent they require permanent relocation of
residents. businesses, and co~unity facil ities. or temporary evacuation
and housing of threatened individuals not otherwise provided for. Execu-
tiveOrder 12580 also delegates to FEMA the functions vested in the
President by CERCLA Section 101(~4) to the extent SARA requires a
determination by the President that tenporary or pernanent relocation
should be undertaken as part of a rer.1edial action. In addition, E.O.
12580 delegates to FEMA the functions vested in the President by sections
117(a) and (c), ~nd 119 of SARA, to the extent such authority is needed
to carry out the functions delegated to the Administrator by Sections
104(e)(7)(c). 113(k)(2). 119(c)(7), and 121(f)(1) of SARA. By agree-
~ent between E?A and FE~A. dated August 12. 1983. FE~A has redelegated to
EPA this authority to ,'ake d~terminations on temporary or perr.1anent
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April 1988
OSWER DIRECTIVE 9360.0-02B
relocatt-on as part of a r~edial action. Sir.1i1arly, by agreement bet',tteen
EPA and FEMA .dated July 13, 1984, FEMA redelegated to EPA its authority
to determine the need for temporary evacuation or housing as part of any
rem ova 1 act ion.
The NCP, in ~O CFR 300.33(b), provides that the On-Scene-Coordinator
(OSC) /Rer.1ed i a 1 Proj ect Manager (RPM) directs all Federa 1 Fund- fi nanced
response efforts and coordinates all other Federal efforts at the scene
of a discharge or release, subject to E.O. 12580. As stated above, E.O.
12580 delegates to the Oirector of FEMA the ter.1porary and pen1anent
relocation function, thus FEMA directs relocation activities. Section
JOO.JJ(b)(6) of the NC? requires the OSC/RPM to notify FEMA of situations
which r.1ay also evaluate incoming information and immediately advise FEMA
of potential r.1ajor disaster situations under the "Disaster Relief Act of
1 9 74" ( P . L. 93 - 2 88 ) .
;.J' .
ExeclJtive 'Jrder 121.18 dej'e'gates to FE~A the President's authority
to provide assistance under the Oisaster Relief Act. FEMA designates the
Federal Coordi ndt i ng Offi cer to 1:1anage response to a maj or di saster or.
~:1ergency. In suCh an event, the OSC/RPM coordinates response activiiies
with the.Federal Coorjinating Officer. However, the OSC/RPM will stil I
direct all Fund-financed response efforts, subj~ct to E.O. 125aQ~ .
3.
3.1
AGENCY RESPONSIBILITIES
S'A Responsibilities
EPA shall:
..
..
Prepare all necessary environmental c1earance~ including appro-
priate docunentation to comply with the Nation~l Environmental
Policy Act for relocation actions.
Consult and coordinate with FEMA, as soon as possible
(preferably 30 days in advance), when relocation is identified
as an option at a site. See Attachments A and B for a sequence
of events for pe~anent and temporary relocations.
Determine in writing the need for temporary relocation as par~
of a removal, as well as a temporary or permanent relocation as
part of a remedial response. In maldngsuch determinations,
EPA will consult with the Centers for Disease Control (CDC) and
appropriate State agencies regarding potential health riSks
which may affect the need for relocation. EPA will indicate
the relocation boundaries and whether there is a need for FE~A
to provide site security (teMporary relocation only) and/or PdY
for decontanination or acquisition of personal property.
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April 1988
OSWER DIRECTIVE 9360.0-028
Provide for site security for vacant homes at sites where FEMA
has not been requested to provide site security.
Dispose of all contaminated personal property acquired by FEMA.
Consult with F~MA on State COl1lT1itnents. EPA will not sele~t
pennanent relocation as the cost-effective rer.1edy until the
State has provided EPA with written concurrence on the pen1anent
relocation oPtion and an acknowledgement of its responSibilities
and co~~itments. EPA will ~ake no public announcenents concern-
ing pen,anent relocation determinations until FEMA and the
affected State have reached agreenent in writing concerning
respective roles and overall project Management. FEMA will
provide EPA with written concurrence on the pernanent reloca-
tion option or advise EPA of any constraints regarding
imple~entation of the relocation.
"....'
Provide non-site~spe~ific funding to FEMA for tasks applying
generally to CE~CLA relocation activities (See sectio~ 7.1).
...
Provide site-specific funding to FE~A when relocation is
. se I ected J S a re110va 1 or rened i a 1 opt i on and wi 11 become part
or all of a cleanup action. Mechanisms for providing site- .
specific funding are covered in Section 7.2 of this memorandum.
EPA wi II make no publ ic announceMent concerni ng pennanent
relocation dete",inations until the EPA/F~~A site-specific
Interagency Agreenent is signed.
Assure that both EPA Headquarters and Kegi.onaf'Offices fol low
the sequence of events for a E?A/FEMA coordina~ion for botn
tel,'porary and pemanent relocations as provided. in Attach~ents
A and B. .
Take lead responsibil ity for developing and inplementing a
conmunity relations plan for response action, as specified in
the "Superfund COMmunity Relations Policy" and "Community
~elations in Superfund, A Handbook". EPA will consult and
involve FEMA in developing and ctisseMinating information reldte~
to the relocation as part of the community relations plan.
Cooperate and coordinate with FEMA in all efforts relating to
any judicial ac~ion taken against potentially responsible
parties for injunctive relief and cost recovery. including case
initiation and prosecution and negotiation of sett1enents for
any site which has had a te,'porary and/or permanent relocation.
This shall include coorrjination in development and use of
evidence and witnesses relating to property appraisals. title
searches, property purchase negotiations, closing docUMentation,
resident moving procedures and expenses. and resident relocdtion
allowances and proced~res.
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OSWER D[R.EcrIYE 9360.0-02B
. - Provide FEMA with written notice of the verified aMount of
State credit, if FEMA notifies EPA that a State is clai~ing a
credit under CERCLA Section 104(c)(3){c), as al:1ended by SARA
Section 104(f). to be applied toward site-specific relocation
activity. When FEMA notifies EPA in writing of the a~ount of
credit to be applied toward the FEMA/State cost. share agreenent,
EPA will track total State credits appl ied to the site to
ensure application of credits is properly documented. (For an
explanation of clai~ed vs. verified State credits, see State
Participation in the Sucerfund Pro ram under "DocW!1enting State
redits and Advance Match", Appendix C.)
Provide information on st3tutory credits available at sites to
FEMA upon request.
3.2
~EMA Resconsibilities
'.
...
".....
In the course of CERCLA response actions, FE~A is responsible for
the pernanent relocation of residents, businesses, and community facil-
ities and/or teMpordry evacuation and housing of threatened individuals:
FEMA shall:
Provide technical assistance to the OSC/RPM to support t.deter.
mination of need for relocation, e.g., esti~ating the costs for
relocation.
Establish pol icy, plans and other prepare1ness activities
required to support relocation activities. .
~ ~
Implenent te'!1porary relocation, including negotiation of leases
and rent reimOursements and provision of essent~al utility
costs at the original residence and other miscellaneous reloca-
tion expenses.
Imple~ent pe~anent relocation in accordance with P.L. 91-646,
":Jnifom Relocation Assistance and Real Property Acquisition
Policies Act of 1970".
Provide site security at sites involved with tenporary reloca-
tion only, when reques;ed by EPA.
Pay individuals for decontamination of "ousehold iteMs and/or
acquisition of contaninated personal property, when requested
by EPA.
Support EPA in developing and carrying out community relations
with regard to relocation activity.
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OSWER D(RECTIVE 9360.0-028
Coordinate with States to ensure appropriate involv~ent in
~relocatton actions, including negotiation of contracts and
Cooperative Agreements. Critical issues which I11USt be resolved
in' writing prior to EPA's selection of pe~anent relocation dS
the cost-effective remedy include:
(a)
identification of State, and if require~, Federal condemna-
tion authorities for public healt~ reasons. This would
i ncl ude cOH,"i tments to conder.1n property as requi red during
the project;
(b)
identiFication of the State agency which will take title
and written commitMents to take title at the time of
closing, to -!ll real property acquired;
( c)
identification of the lead for acquisition - FEMA or
State; and,
'.
.,.
"',..'
( t1 )
obtai ni ng. cOl1mi tl1ents For the State cost share.
Once agre~ent has been reached on these issues, FEMA will.
provide EPA wit~ written concurrence on the permanent relocation
.option. If a9reenent has not bee" reached on any of these
issues, FE~A will advise EPA of any constraints regarding
implenentation of the relocation. .
Failure to r~ach ~gre~Ment on anyone of these issues may nean
that a reloca:ion cannot be conducted and other alternatives to
penmanent relocation nust be considered.
Cooperate and coordinate with EPA in all effort~ relating to
any judicial action taken against potentially responsible
parties for injunctive relief and cost recovery, including case
initiation and prosecution and negotiation of settler.1ents
relative to any site for which there had been a temporary
and/or permanent relocation. This shall include coordination
in development and use of evidence and witnesses relating to
property appraisals. title searches. property purchase negotia-
tions, closing documentation, resident moving procedures and
expenses, and resident relocation allowances and procedures.
To the fullest extent of its ability, FEMA shall provide advance
notice of property purchase negotiatjons and c10sin9S in its
monthly reports to EPA..
Request ~ritten notification from EPA of t~e aMount of verified
credit, if a State notifies FEMA of its intention to clain a
credit under CE~CLA Section 104(c)(3)(c), as amended by SARA
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OSWER DIRECTIVE 9360.0-028
- Section 104(f), and apply it toward relocation activity. FEMA
will then confi~ to EPA in writing the amount of credit to be
ap~l ied to the FEMA/State agreement in accordance with Section
104(c) of CERCLA, as amended by Section 1U4(h)(S) of SARA.
(For an explanation of clai~ed vs. verified State credits, see
State Participation in the Superfund Program under ~Documenting
State Credits and Advance Match", Appendix C.)
Assure that botn FE~A Headquarters and Regional Offices will
follow the sequence of events of EPA/FEMA coordination for both
tenporary and pernanent relocations as provided in Attachments
A and B.
4.
(OOROrNATrON ON SITE-SPECIFIC rSSUES
4.1
Temcorary Relocation
.j' !;..;~.
Te~porary relocatidn as part of a removal action or remedial action
may be considered by E?A in cases such as the following:
. Due to hea I t~ haza rds i "herent at the site. Such hazards inay
involve an energency such as an imrninent threat of fire or
explosion, or they ~ay involve a threat to public heal~h' resul.t-
ing from exposure to hazardous substances.
~hile specific clean-up actions are under'~ay, to protect the
population a~ or near the site from hazards that may be created
bj the disturbance resulting from such cl~anu~ actions (e.g.,
air-h0l1e contaminants or danger of explos(ons';'or fire).
:.
See Attachment A for a sample sequence of events for. EPA/FEMA
coordination during a temporary relocation.
.1.2
Permanent Relocation
Permanent relocation of residents, businesses, ..~nd comP1unity facil-
ities ~ay be provided where it is deternined that, alone or in combina-
tion with other measures, such relocation is more cost-effective than,
and environmentally preferable to, the transportation, storage, treatnent,
rtestruction, or secure dispositign offsite of hazardous suostances, or
~ay otherwise be necessary to protect the publ ic health or welfare.
See Attachment B for a sample sequence of events for EPA/FEMA
coordination during a pe~anent relocation.
s.
STATE IMPLEMENTATrON OF RELOCATION ACTIVITIES
FEMA will consult with the State concerning its willingness and
capability to administer temporary and pernanent relocation activities.
When FEMA and the Sta:e agree that tne State will administer all or pdr~
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April 198"8
OSWER D(RECT1VE 9360.0-028
of the relocation activity at a site. FE~A wil 1 provide funding to the
State for allowable costs and obtain cost-share co~itnents. as appro-
priate. The.OSC/RPM will continue. to consult with the FE~A Project
Officer on all relocjtion ~atters unless tne FEMA Project Officer iden-
tifies a State contact for certain issues.
6.
INFORMATION DISSEMINATION
Depending on the type of response action, all public information
activities will be coordinated with the appropriate lead agency official
and the EPA Regional P'Jol ic AHai rs Officer or State Official (when
specified in a State Cooperative Agreement). E?A and FEMA agree to ~ake
a joint public announcement when relocation activity is determined to be
necessary.F;MA agrees to consult in advance with the appropriate pUblic
info~ation officer on ~ny ~lanned public statements to provide informa-
tion about relocation. EPA will make any state~ents on relocation in
consultation with FE~A. The ~nly exception to this provision is in the
event of a national cjisaster",!o:r emergency under the "Disaster Relief Act
of 1974," when the F~jeral Coordinating Officer coordinates public infor-
~ation activities.
EPA and FE~A also recognize the need for coordination in ~ll
Congre~sional activities. This includes notifying and coordinating wit~
each other's Office of Congressional Liaison prior to Congressf6nal '.
contacts concerning sites where relocation activity is involved and
concerning legislative issues of mutual interest.
F:~D!NG MECHAN!SMS. REPORT!NG AND DOCUMENTAT!O~
7.
7. 1
Non-Site-Specific Interagency Agreements
~
EPA and FE~~ Headquarters Offices will develop an~Interagency Agree-
ment (IAG) to provide funding to FEMA for tasks applying generally to
CERCLA relocation activities. such as training of FEMA personnel involved
in relocations and develo~nent of guidance on relocation activities. [~
1 imited circumstances. this type of rAG may also be used to fund site-
specific activities occurring before a remedy or removal is selected.
such as assistance in planning for a relocation or ~reparing a relocation
option. Such expend;t~res shall be tracked on a sit~-specific basis.
7.2
Site-Specific Interagency Agreements
Temporary and pernanent relocation actions will be funded through
separate site-specific rAGs between EPA and FEMA. These !AGs shall
reflect FEMA's esti~at:d amount of expenditures for relocation activities.
These site-specifi~ IAGs May also include assistance to EPA in planning
for a relocation or preparing a relocation option before a remedy or
removal is selected. For rAGs covering remedial relocation activities.
there shall be separate obligations under each IAG for planning and
implementation tas(s to ciarify state cost-share requirements.
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OSWER DIRECTIVE 9360,0-028
7.3 Financial Management and Reporting Requirements
As ~ana~er of the Hazardous Substances Superfund, E?A is required by
statute or regulation to f~llow certain accounting and reporting proce-
dures. So~e of these procedures are unique to the Trust Fund. FE~A
agrees to assist and c~nply with the fallowing:
FEMA will provide EPA with infonnation, as specified by EPA, to
prepare annual operating plans, including estiMated obl igations
by object class.
EPA will promptly infor~ FEMA of any appl icable ceil ings on
obI i'1ations for administrati'le expenses and/or travel, and FEr~A
w ill C Or.1 ply..., i t h the s e c e i 1 i n g S .
AS the agency receiving the transfer allocations, FEMA will
submit the ~eportonB~~get Execution Standard Form 133 (SF-133)
to EPA '~i ':h in fi fteen 'ca 1 e~dar days a fter the close of each
calendar Mont'. The SF-133 Must reflect total obl igational
authority available. .
.FE~A wi 11 prepare a quarterly Standard Fonn (SF-225), "Report
on Obl igations," which reflects obligations to date, by'.objec(:
class. T~is report, which is required by the Department of the
Treasury Fis~al Requir~ents Manual sub-section 4440.30b,
indicates thar. the transfer allocation recipient is responsible
for its preparation.
FEMA will prepare an annual Treasury FinanOiat~Statement 2108
(TFS-2108) year-end closing stat~ent in a~cordance with Depart-
ment of Treasury regulations. :
OMS - Circular A-87 is applicable to any Cooperative Agreeme~t
issued by FE~A.
T~e SF-133, SF-225, and TFS-210a reports should be sent to:
Financial Reports and Analysis Branch
Financial Man~gement Division
U.S. Environmental Protection Agency
Room 3623M PM-226
401 M Street, S.W.
Washington, D.C. 20460
FE~A will subnit ~onthly reports as specified in this section,
as well as progra~ status reports on relocation actions, on a
site-specific basis, for al I site-specific lAGs and activities.
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OSWER DIRECTIVE 9360.0-028
Because all cash authority available under the Hazardous
Substances Superfund is invested ~y tne Departnent of the
Treasury. EPA will prepare Standard Form 1151 non-expenditure
transf~r authorizations only to the extent needed ~o fund
outlays. EPA will transfer funds quarterly. or more often if
required. via SF-llsl. based on estinated outlay plans prepared
under specific Interagency Agree~ents. This arrangement wil I
enable F.PA to neet the requirenents of the Department of the
Treasury to di'lest only those r.1onies requi red to meet necessary
expenditures.
If actual costs are expected to exceed estimated expenditures.
E?A will transfer additional funds as required. A revised
outlay plan will serve as authority to transfer additional
fundS via SF-l1s1.
If actual 0utlays. dre~~gni ficantly less than estimated in the
outlay plan. ~PA nay postpone or reduce the next scheduled
transfer or request the return of idle cash balances. FEMA
will report closeouts of specific relocation actions and any .-
unexpended balance. Based on these unexpended balances. EPA
~ay postpone or reduce the next scheduled transfer or request
the return of idle cash as appropriate. '.
Contacts withi~ EPA and FEMA to ensure coordination in carrjing
out the "Financial Manager.1ent and Reporting Requirements"
section of t~is Agre~ent are: .
Budget Fornulation and
Control Branch Chief
U.S. Environnenta1
Protection Agency
Room W709B. P~-22s
401 M Street. SW
Washington. D.C. 20460
Deputy Chf~f.;'Accounting
Office of the ~omptro11er
F E M A
500 CSt.. S.W.. Room 719
Washington. D.C 20460
7.4 Documentation and Cost Recovery
FEMA and EPA shal I cooperate and coordinate in all efforts relating
to any judicial action taken aga(nst responsible parties for injunctive
re1 ief and cost recovery. including case prose~utton and negotiation of
settlements relative to any site for which there has been a temporary
and/or pe~anent relocation. This shall include coordination in devel-
opnent and use of evidence and witnesses relating to property appraisals.
title searches. property purchase negotiations. .closing docunentation.
resident moving procedures and expenses. and resident relocation
allowances and procedures. To the full extent of its abil ity under its
Cooperative Agre~~ents ann contracts with States and pol itica1 subdivi-
sions thereof, FEMA s~al I provide advance notice of property purchase
negotiations and clo~ings in its monthly reports to EPA.
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April 1983
OSWER D[RECTIVE 9360.0-028
EPA~ acting as ~anager of The Hazardous Substances Superfund, requires
current infonnation on CERCLA response actions and related obl igations of
CERCLA funds for these actions. In addition, CERCLA authorizes EPA to
recover from responsible parties all governMent costs incurred during a
response action. To ensure successful recovery of CERCLA funds, FEMA
sha1 I Maintain site-sl)ecific accounts and documentation. FEMA will
organize and retain si~e-specific files for 10 years after the completion
of the project or until transferred to EPA for pemanent retention.
These site-specific files will include docUl~entation (e.g., vouchers. '
oi 11ing statements, evidence of pay~ent, audit reports) of direct costs
as fo1 lows:
FEMA eMp1aye~ hours and signed salary cost records (timesheets)
FEMA emplaye~ travel and per diem expenses (travel authoriza-
tions. reirlburselnent vouchers, and all appropriate hotel, car
rental. etc.. receipts)
!'.~ ;-l:..
Receipts far r1at~rials. equipment, and suppl ies
Cantr~ct COS~3 (paid vouchers, treasury schedules and a copy:of
contract)' ,
State Cooperative Agreer.1ent and contract costs (invoices',
letters of credit, drawdown records, etc.)
Any other di.r~ct costs associated with relocation not included
in the abov~ cJtegories.
The Cooperative Agreer.1ent entered into by FEMA~nd~he State shall
requi re the State t.o 'al so Maintain the above accounts and documentation.
For cost recovery actions, within three weeks from the date of a
request frOr.1 EPA or the Departnent of Justice (DOJ), FEMA will provide tJ
SPA or DOJ site-specific costs and copies of the back-up docunentation
which support those costs. FEMA will provide EPA with a contact for
obtaining such site-specific accounting infomation dnd docur.lentation.
This cost infornation, and documentation must also be available for audit
or verification upon request of the EPA Inspector General.
As original doc~ents nay be requested for cost recovery actions,
FEMA will provide access to the original documentation when requested.
FEMA will notify EPA in advance of placing any project files in storage
or archi ves.
8.
AMENDMENTS
This agreement ;1ay be al1ended at any time by ioIutual agreement of EPA
and FEMA. Anendr.1ents ;'ust be in writing and must be signed by appropriate
FEMA and EPA officials.
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OSWER D(RECTIVE 9360.0-028
9.
PERIOD OF AGREEMENT
This agre~ment will continue for a period of 4 years, subject to
applicable law. This agreement may be terminated upon notification by
either EPA or FEMA to the other party. A minimum of ninety days advance
written notice of termination is required.
10.
EFFECTIVE DATE
This agreement will become effective upon signature of both parties.
ASSOCldte Dlrector
State and Local Programs
and Support
FEMA
Asslstant Admln1strator
Office of Solid Waste and
Emergency Response
EPA
"
.',..'
Date:
Date:
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April 1988
OSWER DIRECTIVE 9360.0-028
APPENDIX L
DRAFT MEMORANDUM OF UNDERSTANDING BETWEEN EPA AND THE U.S. COAST GUARD
... DRAFT ...
A FINAL VERSION WILL BE FORWARDED WHEN AVAILABLE
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April 1988
OSWER DIRECTIVE 9360.0-02B
PURPOSE
I.
This Memorandum of Understanding (MOU) supersedes the ~OU
bet~een the United States Coast Guard (USCG) and the Environ-
mental Protection AgencY (EPA) of January 4, 1982 and any sub-
sequent amendments. The MOU establishes accounting, contract-
ing. and fund management control procedures for USCG response
actions under the Comprehensive Environmental Response. Compen-
sation and Liability Act of 1980 (CERCLA) and EPA response
under Section 311 of the Federal Water Pollution Control Act of
1972 (FWPCA), as amended.
II.
AUTHORITY
Section 104 of CERCLA (42 use 9604) authorizes the
President to respond to releases or threats of releases into
the environment of hazardous substances or pollutants or
contaminants which may present an imminent and substantial
danger to the public health or welfare and the environment.,
Executive Order 12316~~legates certain authori:y and respon-
sibility for response .to the Administrator of the EPA and the
secretary of Transportation. Similarly, Executive Order 11735
delegates to EPA certain authority and responsibilities under
FWPCA to respond. to oil spills. The USCG and the EPA are
entering into this agreement to carry out their joint responsi-
bilities under CERCLA. the Executive Orders and FWPCA. '.
III.
SCOPE:
A.
CERCLA COSTS
Costs incurred by the USCG in.the. "course of carrying
out its responsibilities pursuant toC~CLA, Executive
Order 12316 and the National Contingency Plan (NCP) are
funded by the Hazardous Substance Response Trust Fund ad-
ministered by EPA. Two major categories of costs may be
incurred under the Trust Fund: vendor costs and non-vendor
costs.
Vendor Costs
1.
The USCG and EPA agree that vendor costs are con-
tractor costs incurred by the USCG in response to a
release or threat of a release of hazardous substances
or pollutants or contaminants which may present an
imminent and substantial danger to the public healt~
or welfare and the environment. Vendor costs quai::y
as allowable uses of the Hazardous Substance Response
Trust Fund when USCG undertakes response activitles
pursuant to CERCLA, Executive Order 12316, and the
National Oil and Hazardous Substances Contingency ?:an
(NCP). Examples of vendor costs include, but are ~o:
limited to the following:
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April 1988
OSWER DIRECTIVE 9360.0-02B
contractor and consulting costs
lease or rental of equipment when supplied by t~e
response contractor
supplies, materials and equipment (includi~g
transportation costs) procured for the specific
response activity by the response contractor.
Contracting and accounting procedures for vendor costs
are discussed under Section IV.
2.
Non-Vendor Costs
Non-vendor costs generally include all other costs
incurred by the USCG directly in support of response
activities pursuant to CERCLA, Executive Order 12316
and the NCP. Such costs are reimbursed by EPA via
interagency agreements (rAGs) between EPA and USCG.
Typically, non-vendor costs fall into two groups:
site-specific, out-of-pocket expenses and the cos~ of
carrying out. em-going program functions. These groups
are discu$se~~below .
2.1
Out-Of-Pocket Expenses
Out-of-pocket expenses incurre~ by USCG in
undertaking a specific response action include
but are not limited to the following items.:
travel and per diem for military and
civilian USCG personnel
salary costs for military and civilian
USCG personnel Jnc~uding civilian
overtime costs ..~..;
fuel for USCG vess9"ls, aircraft or
vehicles used in su~port of a response
activity
replacement or repair cost for equip-
ment owned by the USCG.
Out-of-pocket costs incurred at a CERCLA incident
by the USCG will be reimbursed by EPA through a
site-specific rAG. These rAGs will be prepared
in accordance with the procedures in Appendix A.
2.2
Ongoing Responsibilities Costs
Ongoing responsibilities costs refers to
those costs incurred by the USCG in providing
training and maintaining response capabilities as
described in the U.S. Department of Transporta-
tion (DOT), USCG publication Policy Guidance for
Response to Hazardous Chemical Releases
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April 1988
OSWER DIRECTIVE 9360.0-028
(COMDTINST M16465.30), Chapter 1. These capabil-
ities include performing preliminary assessments
to establish whether an incident meets the cri-
teria of a CERCLA removal, monitorlng non-federal
removal actions, conducting medical monitoring,
and maintaining information systems, the National
Response Center, work force and enforcement ac-
tivities. Funding for these costs is transferred
annually to the USCG in the form of an ongoing
responsibilities IAG. These are discrete IAGs
for each fiscal year's transfer of funds.
B.
FWPCA COSTS
The USCG and EPA agree that EPA can incur contractor
costs in response to oil discharges. These costs qualify
as allowable uses of the FWPCA 311(k) Fund when the EPA un-
dertakes response activities pursuant to FWPCA 311, Execu-
tive Order 11735, and the National Contingency Plan (NCP).
Examples of vendor-' or contractor costs are the same as
those listed in Section A.1 above. Procedures for reim-
bursement ofEPA out-of-pocket expenses and other non-
vendor costs incurred by EPA in the course of resppnse,
wi th the except ion of personnel salar ies, are cove'red in 33
CFR 153, "Control of Pollution By Oil and Hazardous
, Substances, Discharge Removal".
IV.
CONTRACTING AND ACCOUNTING:
A.
CERCLA
The USCG may enter into respo~s~.~ontracts in either
of two situations: ' '
~
When the USCG OSC is acting in, the capacity of the
first responding Federal official, pursuant to the
National Contingency Plan; or
When the USCG is the lead Federal agency pursuant to
the authority deleqated under Executive Order 12316
and retained by the USCG in Section (c) of the Instru-
ment of Redelegation, executed 2 October 1981 by the
Secretary of Transportation and consented to on
9 October 1981 by the Administrator of the Environ-
mental Protection Agency.
In the first case, the contract remains in effect only as
long as the USCG OSC continues to serve in the capacity of
first responding Federal official. The contract thus is
terminated when the EPA OSC assumes responsibility for Fed-
eral response. I-n the second case, the contract is effec-
tive while the USCG serves as lead agency.
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April 1988
OSWER DIRECTIVE 9360.0-028
The USCG shall use one of the t~o follo~ing contracting
systems in responding to CERCLA incidents:
the USCG Contracting System established to respond to
oil and hazardous substances discharges under the
authority of Section 311 of the FWPCA, as amended, or
the E?A Emergency Response Cleanup Services (ERCS)
contract system.
The USCG and the EPA agree to the follo~ing procedures.
1.
USCG Contractinq System
For each incident ~here CERCLA funds are obli-
gated, the USCG OSC must obtain a ten-digit account
number and a six-digit document control number from
the EPA HQ Emergency Response Division (ERD). Tele-
phone numbers ,for business hours (Monday-Friday, 8: 30
AM to 5:00P~
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April 1988
OSWER DIRECTIVE 9360.0-02B
himself/herself and ask to be put in contact with
EPA's on-duty ERCS Contracting Officer.
Once the USCG OSC and the ERCS Contractlng Officer
have established contact, the ERCS Contracting Officer
will consult with the OSC to:
determine the scope and.duration of response
activities (including the response time perform-
ance period)
ascertain the appropriate ERCS Zone Contractor
develop a scope of work
determine the delivery order ceiling
issue a delivery order.
The ERCS Contracting Officer is authorized to approve
ERCS usage up to Sl:.mi 11 ion per ERCS zone per year, for
USCG response ~cti6~~.
During roon-business hours, 'the ERCS Contracting..
Officer may issue a verbal delivery order, which will be
followed up within 48 hours by a writte~ deliv~ry order.
Accounting data will be obtained by the ERCS Contract.ing
Officer. Once the delivery order has been issued, the Con-
tracting Officer shall direct the ERCS contractor to
immediately contact the USCG OSC to make the necessary
arrangements for starting work. The Contracting Officer
shall notify the ERCS project officer who then notifies the
Regional Deputy Project Officer regardirig fund activation.
3.
Accountinq Procedures
:.,
Specific accounting information is required by
the EPA Financial Management Office in order to pro-
cess both USCG contracts and ERCS delivery orders.
The USCG should obtain the information when using
their own SF 347 Purchase Orders and should include
the information on all contract documents. The ERCS
Contracting Officer will enter the information on all
ERCS Delivery Orders. Five accounting codes are re-
quired. They are:
Appropriation Number: This number is per-
manently assigned to the trust fund:
68/20X8145
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April 1988
OSWER DIRECTIVE 9360.0-028
Account Number: A ten-digit number is ob-
tained from EPA HQ ERD at the number listed
in Appendix B. An accounting number :s ccm-
prised in the following way:
YTFA72RESS
- --
Y = Last digit of the fiscal year, e.q.
for FY 85 Y::a5
R = EPA Region where the incident occurs
SS = Site/Spill identification number
for each separate incident
Document Control Number: The six-digit doc-
ument control number (DCN) is obtained f=~m
EPA HQ ERD (See Appendix B for phone number)
for each financial transaction associated
wi~h the incident. Each contract and con-
tract ~odification to increase funding
ceiling must have a unique DCN. Ceilir.gs
correspond to a specific DCN. ,For exampie,
if two clean-up contractors are reqUired,
then two separate DCNs are needed. Simi-
larly, if the dollar amount of , a contract is
increased (modified) then another DCN must
be obtained.
Object Class: This number (2535) is perman-
ently assigned to provide response contract-
ing funds only. ",
Amount of contract or d~livery order in dol-
l ar s : $ . -
Additionally, for USCG contracts, the USCG
District Contracting Officer shall ensure that the
USCG contract number and the EPA accounting codes
(appropriation number, account number, document
control number, object class and dollar amount) are
specified in the contract or other obligating
document. He shall ensure that the EPA accountir.g
codes and USCG contract number are provided to the
contractor and shall retain the original contract or
delivery order.
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April 1988
OSWER DIRECTIVE 9360.0-028
4.
Transmittal of Contract to EPA
A legible, certified true copy of the contract or
delivery order shall be submitted by certified mail
within 72 hours of award to the EPA Financial Manage-
ment Officer at the aqdress provided in Appendix 8.
. The USCG is responsible for forwarding contracts
issued under the USCG Contracting System, and EPA will
forward copies of ERCS delivery orders. Whenever a
Basic Ordering Agreement (BOA) is utilized, a
certified copy of the 80A should be transmitted to the
EPA Financial Management Officer in order to verify
the SF 347 Purchase Orders and invoices.
5.
Processinq of Contractor Invoices
5.1
Contractor Responsibilities:
The contractor shall submit a copy of the
invoic~~o the USCG OSC and send the original
invoice~~o the EPA disbursing office at the
address in Appendix B. The contractor will en-
sure the USCG contract number or delivery order
number and the EPA accounting codes (apptopria-
tion number, account number, docume~t control
number, object class and dollar amount) are in-
cluded on the invoice and its copy. . Contiactors
should number each invoice sequentially beginning
with one (1) and make a notation of "FINAL
INVOICE" on the last invoice under the contract
or delivery order. . .
5.2
USCG OSC Responsibii~t~~s
:.,
The USCG OSC must certify each invoice as
correct and proper. A correct and proper invoice
is one in which the services performed are ac-
ceptable and consistent with the services billed
and the accounting data is properly transcribed.
The OSC should designate an alternate who will be
responsible for voucher certification in his/her
absence and notify the EPA Contracting Officer
accordingly. The following certification state-
ment must accompany each invoice:
"r, (aSC's NAME) , certify to the best of
my knowledge and belief that the services shown
on this invoice have been performed and are
accepted.
(OSC's SIGNATURE
Date:
The USCG asc will forward by certified mail the
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April 1988
OSWER DIRECTIVE 9360.0-028
certified invoice to the EPA disbursing office
(See Appendix B for address) within three (3)
business days of receiving the invoice from the
contractor.
The USCG OSC shall not certify an invoice
which includes any discrepancies between services
performed and services billed. In the event
there is a discrepancy, the USCG OSC shall immed-
iately take appropriate action to notify the con-
tractor and resolve the discrepancy. If the dis-
crepancy cannot be resolved within three (3)
days, the EPA disbursing office must be
notified. . For ERCS contracts, the OSC shall
notify the ERCS Contracting Officer to direct the
disbursing office to withhold payment on the
disputed amount. For USCG contracts, the USCG
OSC may direct withholding of payment for dis-
puted amounts by noting on the invoice the fol-
lowing signed statement: "This invoice con-
tainsunresolved discrepancies. DO NOT PAY THIS
INVOICE UNTIL YOU RECEIVE WRITTEN NOTIFICATION
THAT THE DISCREPANCIES HAVE BEEN RESOLVED AND THE
INVOICE REI SSUED. " . .
(OSC's SIGNATURE
Date:
5.3
EPA Responsibilities
EPA is responsible for processing invoices
and making payments in a timely manner. Payments
are normally made within 30 days after invoice
receipt. Payment is contingent on the EPA
disbursing office's receipt' of':::he original
invoice from the contractor and\USCG OSC's certi-
fied copy of the invoice and receipt of a certi-
fied copy of the contract. In case of discrepan-
cies, payments will be made after such discrepan-
cies are resolved, and the invoice is reissued
and received at the disbursing office. However,
partial payment may be made for any undisputed
amounts.
The disbursing office will not pay any re-
sponse costs in excess of the dollar amount of
the contract or delivery order. In the event a
contractor's invoice exceeds the dollar amount of
the contract or delivery order, the EPA disburs-
ing office will refer the matter to the USCG Dis-
trict Contracting Officer or EPA Contracting
Officer.
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April 1988
OSWER DIRECTIVE 9360.0-02B
6.
Manaqement and Oversiqht of ERCS Contracts
USCG OSCs have the same responsibilities as ~PA
OSCs for managing and overseeing ERCS contractors,
The OSC is responsible for preparing daily work
orders, monitoring contractor progress, and reviewi~g
that progress with the contractor, The OSC shall
adhere to the detailed requirements set forth in ~PA's
Emerqency Resoonse Cleanup Services Contracts (ERCS)
User's Manual (October 1983) and updates. EPA will
provide the USCG with copies of the manual, copies of
any updates and with training, as necessary.
7.
Contract Performance Evaluation:
The USCG OSC shall prepare a Contractor Perform-
ance Summary report upon completion of a CERCLA re-
sponse conducted by an ERCS contractor. The report
shall be forwarded to the ERCS Project Officer (see
Appendix 8 for addresses) who will forward a copy to
the Regional Deputy Project Officer. The ERCS Users'
Manual, Section v, contains the format fo.r this re-
port. All ERCS contractors are eligible for financial
reward from the Performance Incentive Poo-ls fOt:. out-
5tanding performance. Awards are based on a
performance evaluation by USCG OSCs and EPA
Headquarters personnel. USCG OSCs can nominate... an
ERCS contractor for such an award. Consult the ERCS
User's Manual for more information.
8.
FWPCA
When activating the 311(k) Fund,; fo~ oil spill
response, ,the EPA OSC shall contact 'the: ,appropriate USCG
District in accordance with that District's established
procedures. The USCG District is responsible for providing
the Federal Project Number and committing the funds. The
EPA OSC is responsible for management and oversight of t~e
contractor, for requesting necessary ceiling increases, for'
certifying contractor invoices, and for compliance wit~
response pro- cedures contained in 33 CFR 153.
V.
FINANCIAL MANAGEMENT
A.
CERCLA
The USCG and EPA agree that the USCG may obligate up
to $1,000,000 per incident without prior approval from
EPA. Total costs limited by the $1 million restriction are:
Commercial cleanup contracts
Analytical services
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April 1988
OSWER DIRECTIVE 9360.0-02B
Other Federal agency costs (e.g. NIOSH, FEMA)
USCG out-of-pocket expenses
Requests to obligat~ amounts in excess of the $1,000,000
limit must document the criteria of CERCLA 104(c)(1) via
the "Exempti~n :0 $1 Million Limit Sample Action ~emoran-
dum" (See Appendix D). Requests shall be approved by the
Assistant Administrator, Office of Solid ~aste and Emer-
gency Response, who acts as the Manager of the CERCLA Haz-
ardous Substance Response Trust Fund. Requests shall be
submitted to the Response Operation Branch, Emergency
Response Division (ERD) , Office of Emergency and Remedial
Response.
ERD will process the request in accordance with EPA delega-
tions of authority and procedures in effect at the time.
The USCG will modify its existing contracts or request that
the ERCS Contracting Officer modify any existing delivery
orders to reflect each ceiling increase. Certified copies
of the contract or 4elivery order modification must be sub-
mitted to EPA s. diS:aursing office. The USCG is also
authorized to grant six-month exemptions for USCG CERCLA
responses, where the response meets the statutory criteria
of CERCLA 104(c)(1).
B.
FWPCA
EPA OSC's shall follow the specific procedures
established by the appropriate USCG District Office which
serves as the local 311(k) Fund Manager and contracting
office. The initial ceiling request should reflect the
OSC's best estimate of the cost of t~e response. The EPA
OSC can request and receive approvar::of;'a financial cei ling
for the spill of up to $1,000,000. Tot~l cumulative
obligations over the amount require auth~rization by the
Commandant (G-W).
Contract procedures must follow the guidance of the
cognizant USCG District Contracting Office. If the Coast
Guard has BOAs among contractors for the locality in which
the oil spill emergency takes place, the EPA OSC is
authorized to orally place an order or orders for a
cumulative maximum amount not to exceed $50,000 provided
that:
( 1 )
The situation is of such urgency that contacting
the USCG contracting office prior to placement of
an oral order would cause undue delay and result
in further environmental hazard;
( 2)
The BOA provides for the placement of orders by
EPA OSCs; and
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April 1988
OSWER DIRECTIVE 9360.0-02B
( 3 )
The OSC documents his/her efforts to consider all
available SOAs in the initial POLREP or in a
separate document to be submitted to the
contract~ng officer within two working days of
placement of any oral order. This documentation
shall include, as a minimum, the following:
( a)
The names of the contractors contacted and
the contractor's point of contact.
(b)
If the response times and rates quoted by
anyone contractor were different from the
terms of the BOA, and if so, what the
contractors's quoted rates and times were.
The rationale for awarding an order to t~e
successful offeror, i.e. "Justification For
Other Than Full and Open Competition", as
required by Part 6 of the Federal
Ac~~isition Regulation (FAR).
(c)
"
For services not "Tisted on an existing BOA, or in ~he
absence of a BOA. the EPA OSC may request that the USCG
modify the contract or permit supplemental contrac~ing
For questions on financial management matters, contact :he
appropriate USCG District office (see Appendix C for
, address and telephone numbers.
VI.
COST CONTROL AND DOCUMENTATION
A.
CERCLA
EPA, acting as manager of the;H~~ardous Substance
Response Trust Fund, requires current ; "information on CERCLA
response actions and related obligatio~s of CERCLA funds
for these actions. In addition, CERCLA authorizes EPA :0
recover from responsible parties all government costs :~-
curred during a response action. To ensure successful
recovery of CERCLA funds, USCG shall maintain site specl::c
accounts for all response contractor costs and site
specific lAGs, by documenting the following:
USCG personnel hours and salary costs
USCG personnel travel and per diem expenses (travel
authorizations, paid vouchers, and treasury schedules)
Contract costs (paid vouchers, treasury schedules. and
a certified copy of the contract)
Receipts for materials, equipment, and supplies
Sample collection and analysis costs
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April 1988
OSWER DIRECTIVE 9360.0-028
Standard costs for the u.se of USCG equipment, vessels,
aircraft or vehicles used in support of a response
activity
Any other costs associated with the removal action not
included in the above categories.
EPA must also have documentation of the fulfillment of t~e
criteria of CERCLA l04(a) and the National Contingency Plan
for undertaking a removal action. For cost recovery ac-
tions, upon request from EPA or the Department of Justice
(DOJ), USCG will provide to EPA or DOJ, site-specific costs
and copies of the back-up documentation which support those
costs. USCG will provide EPA with a contact for obtaining
such site-specific accounting information and documenta-
tion. This cost information and documentation must also be
available for audit or verification on request of the EPA
Inspector General.
8.
mCA
"'.....'
The Coast Guard, acting as manager of the 3il(k)
Pollution Fund, requires current information on, FWPCA
response actions and related obligations of FWPCA fupds for
these actions. In addition, FWPCA authorizes the USCG to
recover from responsible parties all government' costs
incurred during a response action. . ..
In order to ensure successful recovery of FWPCA funds, EPA
shall maintain site specific records for all response con-
tractor costs and document the following:.
Employee hours and salary costs<~T~tnesheets)
"
Employee travel and per diem expenses (travel author-
izations, paid vouchers, and treasury schedules)
Contract costs (paid vouchers, treasury schedules, and
a certified copy of the contract)
Receipts for materials, equipment and supplies
Sample collection and analysis costs
Any other costs associated with the removal action root
included in the above categories. .
The USCG must also document fulfillment of the criteria :he
National Contingency Plan requires for undertaking a
removal action. This includes documentation that proper
notice was made to the responsible party before commenc:nq
the removal action.
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April 1988
OSWER DIRECTIVE 9360.0-028
For cost recovery actions, upon request from USCG or the
Department of Justice (DOJ), EPA shall provide to USCG 0:
DOJ, site-specific costs and copies of the back-up documen-
tation which suppo~t those costs. EPA shall provide USCG
with a contact for obtaining such site-specific accounting
information and documentation. This cost information and
documentation must also be available for audit or verifica-
tion on request of the DOT Inspector General.
VII.
REPORTING REQUIREMENTS
A.
CERCLA
The USCG shall submit pollution reports (POLREPS) to
the Director, Emergency Response Division, EPA (see Appen-
dix B) to relate CERCLA response and fund obligation data.
The initial POLREP shall be submitted within 72 hours of
initiating a CERCLA response. Progress POLREPS should be
submitted on a routine basis. Special POLREPS shall be
submitted to report any major unanticipated event at ap-
proved responseictions (e.g. fires, explosions and all
accidents). Finally, for all CERCLA-financed USCG re-
movals, the USCG OSC shall submit to EPA HQ 'ERD (v..ia USCG
HQ) within 60 days of the conclusion of the response a
final OSC report that meets the requirements:of the
. pollution report section of the NCP. . .
B.
FWPCA
The EPA OSC shall routinely report progress to the
appropriate USCG District Office through POLREPS or any
other means specified by the Dist~i~t~Office. In addition,
the EPA OSC shall notify the USCG Dis~rict Office as soon
as possible to report any major unantfcipated events at
active response sites. Finally, the EPA OSC shall complete
and submit to the USCG District Office within 60 days of
the conclusion of the response a final OSC report that
meets the requirements of the pollution report section of
the NCP.
VIII.
PERIOD OF AGREEMENT
This MOU shall continue in effect until modified or amended
by the assent of both parties. Either party can terminate the
MOU by giving a thirty (30) day written notice. Nothing in
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April 1988
OSWER DIRECTIVE 9360.0-02B
this MOU is intended to diminish or other~ise affect the statu-
tory authority of the USCG or the EPA. This MOU shall become
effective on the date of the last signature below.
Assistant Administrator.
Office of Solid Waste and
Emergency Response
Commodore, U.S. Coast Guard
Chief, Office of Marine
Environment and Systems
DATE:
DATE:
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April 1988
OSWER, DIRECTIVE 9360.0-028
PROCEDURES FOR USCG SITE-SPECIFIC
INTERAGENCY AGREEMENTS (IAGs)
When the Coast Guard wishes to submit an IAG for reimbursement
of out-of-pocket non-vendor costs incurred at Coast Guard-lead
CERCLA incidents, the following procedures shall be followed:
3.
5.
6.
1.
The Coast Guard OSC shall contact the EPA HQ Superfund
Funds Control Center (FCC) (475-8102) to request prep-
aration of IAG documentation and to provide a cost
breakdown and other site specific information. To
ensure reimbursement of expenditures, the request,
including a completed "Certification for Emergency
Response Activities" form (sample attached), must be
submitted no later than t~o weeks after completion of
the response.
The Superfund~~ds Control Center shall prepare the
IAG package an4~.~oute four (4) original rAG copies and
a commitmerit notice through the EPA HQ Response
Operations Branch (ROB). ROB shall prepare a decision
memo, attach it to the rAG package and forward the
package to the Director, Office of Emergency and
Remedial Response (OERR) for review and siqn~off~
2.
4.
The Director, OERR shall sign the four (4) originals
and return them to the Superfund FCC for transmittal
to the EPA Grants Administration Division (GAD)(EPA
Mail Code FM-216) for review and sign-off.
Following GAD sign-off, the IAG'1s transmitted to the
Chief, USCG Environmental Response ~~vision at the
following address: -
Commandant, G-WER
U.S. Coas'l: Guard
2100 Second St., S.W.
Washington, D.C. 20593
ATTN: Chief, Environmental
Response Division
The Coast Guard shall review and sign all four (4)
ori91nals, retain one signed original and return the
other three (3) to EPA GAD.
GAD shall retain one signed original and transmit one
original to the Financial Management Division (FMD),
Cincinnati for obligation and one original to the EPA
HQ FCC who in turn shall forward a copy to the EPA HQ
Response Operations Branch.
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April 1988
OSWER DIRECTIVE 9360.0-02B
7.
Certified Coast Guard vouchers shall be submitted by
USCG for processing and payment to EPA FMD, Cincinnati
at the following address:
EPA Cincinnati Accounting Operations
ATTN: Financial Management Officer
26 West St. Clair Street
Cincinnati, OH 45268
( FTS-684-7831)
Office
8.
Cincinnati forwards a "Contract Status Notification"
form (EPA Form 2550-19) to the EPA Superfund FCC for
approval prior to payment.
NOTE:
The above procedures apply to USCG lead responses. When
USCG assists at EPA-lead responses, requests for reimburse-
ment of non-vendor out-of-pocket costs should be referred
to the appropriate EP-A Region. In such cases, the EPA ose
will be responsLble~for certifying USCG incurred expenses.
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April 1988
OSWER DIRECTIVE 9360.0-028
CERTIFICATION FOR EMERGENCY RESPONSE ACTIVITIES
at
to
OBLIGATIONS:
Access Control
USCG Equipment
USCG Personnel.
USCG Reserve Personnel
USCG Civilian PersoI1nel
Travel and PerDie~~Expenses
Equipment and Supply Expenditures
State Reimbursable Activities
Removal Activities Damage Claims
Total
OSC CERTIFICATION
! certify to the best of my knowledge an~ b~lief that the
amounts shown above are proper, that the':.se~vices have been
performed and accepted, and such expenditur~ do not exceed
appropriate monetary ceilings. .
USCG On-Scene Coordinator (original signature)
Date
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April 1988
OSWER DIRECTIVE 9360.0-02B
EPA CONTACTS
FUNCTION
ADDRESS/PHONE
Accounting Numbers.
Initial and Progress
POLREPs
Reporting; $1,000.000
Exemption Requests
ERCS Contractor
Evaluation
ERCS Delivery Orders
M-F 8:30 - 5:00 EST
Non-business hours
Director. Emergency Response
Division
Office of Emergency and
Remedial Response
EPA HQ
(202) 382-2188 or
FTS 382-2188
(TWX - 710-8229269)
Telex -892-786-01)
Response Operations Branch
Emergency Response Division
Office of Emergency and
Remedial Response
EPA HQ
(202) 382-2188 or
FTS 382-2188
ERCS Project Offfce~ ,
Response Opetations ,Branch
Emergency Response nivision
Office of Emergency .and
Remedial Response
EPA HQ
(202) 382-2205 or
FTS 382-2205
:.,
Procurement B~anch A
Procurement and Contracts
Management Division
EPA HQ
(202) 382-3210 or
FTS 382-3210
National Response Center
800-424-8802
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FUNC TI ON
Disbursement (invoices, copies
of contracts)
Regional Reporting
Region 1
Region 2
Region 3
Region 4
Region 5
"..'
April 1988
OSWER DIRECTIVE 9360.0-02B
ADDRESS/PHONE
Financial Management Officer
Accounting Operations Office (MD-32)
Environmental Protection Agency
Research Triangle Park, NC 27711
(919) 541-3041
FTS 8-629-3041
Don Berger, OHM Coordinator
Oil and Hazardous Materials
USEPA, Region 1
New England Regional Lab
60 Westview Street
Lexington, MA 02173
FTS 8-860-4368
Section
Bruce Sprague, OHM Coordinator
Response and Prevention Branch.
USEPA, Region 2 .
Woodbridge Avenue, Bldg. 209
Edison, NJ 08827
FTS 8-340-6656
Dennis Carney, OHM Coordinator
Superfund Bra~ch ~
USEPA, Regiori~303-HW-22)
841 Chestnut Stre~t
Philadelphia, PA 1~107
FTS 8-597 -0992
Robert Jourdan, OHM Coordinator
Superfund Branch
USEPA, Reg i on 4
345 Courtland Street, N.E.
Atlanta, GA 30365
FTS 8-257-3931
Bob Bowden, OHM Coordinator
Emergency Response Branch
USEPA, Region 5
230 South Dearborn Street
Chicago, IL 60604
FTS 8-886-6236
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Apri 1 1988
OSWER DIRECTIVE 9360.0-02B
FUNCTION
ADDRESS/PHONE
Regional Reporting - Cont'd
Region 6
Charles Gazda, OHM Coordinator
Emergency Response Branch
USEPA, Region 6 - 6E-E
1445 Ross Avenue
Dallas, TX 75202
FTS 8-255-2270
Region 7
Charles Hensley, OHM Coordinator
Emergency Planning & Response Branch
USEPA, Region 7
.25 Funston Road
Kansas City, KS 66115
FTS 8-757-3888
Region 8
John Giedt, OHM Coordinator
Emergency Response Branch
USEPA, Region 8
One Denver Place
999 18th street (8HWM-ER~
Denver, CO 80202-2413
FTS 8-564-7528
Region 9
Terry Brubaker, OHM
Emergency Besponse Section
USE PA , Reg i'on 9,
215 Fremont Str~et
San Francisco, CA 94105
FTS 8-454-7511
Region 10
Jim Everts, OHM Coordinator
Superfund Branch
USEPA, Region 10
1200 Sixth Avenue
Seattle, WA 98101
FTS 8-399-1263
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April 1988
OSWER DIRECTIVE 9360.0-028
U.S. COAST GUARD CONTACTS
I.
FWPCA Financial Manaqement Matters
Project Numbers, Ceiling Authorization, and Authorization
to Exceed $lM Ceiling should be directed to the following:
Commander (mep)
First Coast Guard District
150 Causeway Steet
Boston, MA 02564
FTS: 223-6915 Commercial:
Nights, Weekends, Holidays:
FTS: 223-3644 Commercial
617-223-6915
617-223-3644
Commander (mep)
Second Coast Guard District
Federal Building
1430 Olive Street
St. Louis, MO 63103
FTS: 2169-4655 Commercial:
Nights, Weekends, Holidays:
FTS: 279-4614 Commercial:
,."
"'....-
314-425-4655
314-425-4614
Comman~er (mep)
Third Coast Guard District
Governors Island
New York, NY 10004
FTS: 664-7154 Commercial:
Nights, Weekends, Holidays:
FTS: 664-6463 Commercial:
212-668-7154
212-668-6463 ,,'
Commander (mep)
Fifth Coast Guard District
Federal Building
431 Crawford Street
Portsmouth, VA 23705
FTS: 827-9383 Commercial:
Nights, Weekends, Holidays:
FTS: 827-6231 Commercial:
804-398-6383
804-398-6231
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Commander (mep)
Seventh Coast Guard
Federal Building
51 S. W. 1st Ave.
Miami, FL 33130
FTS: 350-5276 Commercial:
Nights, Weekends, Holidays:
FTS: 350-5611 Commercial:
District
Commander (mep)
Eighth Coast Guard District
Hale Boggs, Federal Building
500 Camp Street
New Orleans, LA 70130
FTS: 682-6296 Commercial:
Nights, Weekends, Holidays:
FTS: 682-6225 Commercial:
Commander (mep)
Ninth Coast Guard District
1240 East 9th Street.. '
Cleve land, OH " " 199 ,<:.
FTS: 942-3919 Commercial :
Nights, Weekends. Holidays:
FTS: 942-3984 Commercial:
Commander (mep)
Eleventh Coast Guard District
400 Ocean Gate Boulevard
Long Beach, CA 90822
FTS: 984-9301 Commercial:
Nights, Weekends, Holidays:
FTS: 984-9225 Commercial:
Commander (mep)
Twelfth Coast Guard
Bldg. 51
Government Island
Alameda, CA 94501
FTS: 536-3465 Commercial:
Nights, Weekends, Holidays:
FTS: 536-3700 Commercial:
District
305-350-5276
305-350-5611
504-589-6296
504-589-6225
216-522-3919
216-522-3984
213-590-2301
213-590-222'5
415-437-3465
415-437-3700
L-22
April 1988
OSWER DIRECTIVE 9360.0-02B
-------
April 1988
OSWER DIRECTIVE 9360.0-02B
Commander (mep)
Thirteenth Coast Guard District
Federal Building
915 Second Avenue
Seattle, WA 90822
FTS: 399-5850 Commercial:
Nights, Weekends, HOlidays:
FTS: 399-5886 Commercial:
206-442-5850
617-442-5886
Commander (mep)
Fourteenth Coast Guard District
Prince Kalanianaole Fed. Bldg.
Honolulu, HI 96850
FTS: 546-7510 Commercial:
Nights, Weekends, Holidays:
FTS: 546-7109 Commercial:
808-546-7510
808-546-7109
Commander (mep)
Seventeenth Coast
P. O. Box 3-5000
Juneau, AK 90822
Guard District
;'~;~-:.,
FTS : 586 - 7 19 5 Comme r cia 1 :
Nights, Weekends, Holidays:
FTS: 586-7340 Commercial:
907-586-7195
617-586-7340
II. . USCG Contractinq System Matters (For addresses~see :above)
Commander (f), First Coast Guard District
FTS: 223-6900 Commercial: 617-223-6900
Commander (f), Second Coast Guard District
FTS: 279-4640 Commercial: 314-425-46~0.,
Commander (f), Third Coast Guard District
FTS: 664-7128 Commercial: 212-668-7128
Commander (f), Fifth Coast Guard District
FTS: 827-9336 Commercial: 804-398-6332
Commander (f), Seventh Coast Guard District
FTS: 350-568~ Commercial: 305-350-5684
Commander (f), Eighth Coast Guard District
FTS: 682-6239 Commercial: 504-589-6230
Commander (f), Ninth Coast Guard District
FTS: 942-3970 Commercial: 216-522-3970
L-23
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Commander (mep)
Thirteenth Coast Guard District
Federal Buildinq
915 Second Avenue
Seattle, WA 90822
FTS: 399-5850 Commercial:
Nights, Weekends, Holidays:
FTS: 399-5886 Commercial:
206-442-5850
617-442-5886
Commander (mep)
Fourteenth Coast Guard District
Prince Kalanianaole Fed. Bldg.
Honolulu, HI 96850
FTS: 546-7510 Commercial:
Nights, Weekends, Holidays:
FTS: 546-7109 Commercial:
808-546-7510
808-546-7109
Commander (mep)
Seventeenth Coast Guard District
P. Q. Box 3-5000
Juneau. AK 90822
'.
:'!;,..-,
FTS: 586-7195 Commercial:
Nights. Weekends, Holidays:
FTS: 586-7340 Commercial:
907-586-7195
617-586-7340
April 1988
OSWER DIRECTIVE 9360.0-028
II.
USCG Contractinq System Matters (For addresses see above)
Commander (f), First Coast Guard District
FTS: 223-6900 Commercial: 617-223-6900
Commander (f), Second Coast Guard District
FTS: 279-4640 Commercial: 314-425-4640
Commander (f), Third Coast Guard District
FTS: 664-7128 Commercial: 212-668-7128
Commander (f), Fifth Coast Guard District
FTS: 8'27-9336 Commercial: 804-398-6332
Commander (!), Seventh Coast Guard District
FTS: 350-5". Commercial: 305-350-5684
Commander (t), Eiqhth Coast Guard District
FTS: 682-6239 Commercial: 504-589-6230
Commander (f), Ninth Coast Guard District
FTS: 942-3970 Commercial: 216-522-3970
L-24
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April 1988
OSWER DIRECTIVE 9360.0-02B
Commander (f), Eleventh Coast Guard District
FTS: 984-9264 Commercial: 213-590-2264
Commander (f), Twelfth Coast Guard District
FTS: 536-3100 Commercial: 415-536-3011
Commander (f), Thirteenth Coast Guard District
FTS: 399-5608 Commercial: 206-442-5608
Commander (f), Fourteenth Coast Guard District
FTS: 5'6-5515 Commercial: 808-546-551~
Commander (f),
FTS: 586-7374
Seventeenth Coast Guard District
Commercial: 907-586-7724
L-25
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Source:
April 1988
OSWER DIRECTIVE 9360.0-02B
APPENDIX M
ROLES OF OTHER FEDERAL AGENCIES AT NON-FEDERAL FACILITIES
Superfund Removal Procedures, OSWER Directive 9360.0-03B (Revision #3),
U.S. Environmental Protection Agency, Office of Emergency and Remedial
Response, Emergency Response Division, Washington, DC, 1988, Section I-F-8.
-------
00 CD
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Roles of Olher Federi'l "qencies al Non-Felloral Facililion
- -- ---.- ------
. - - ---
"GENCY
nr.snH PTiON OF 1<0"'::> Nm JU::)I'Ut~:> I III I. IT u::;
.-----
------- _._-- - .. -- .--------- ---
Department of "gricullure
(USO,,)
Provides expertise in managing agricultural. forest. and wi Iliernes8
areas: Soil Cons.erv.ation Service (SCS) of USDA provides lo lho
OSC/RrH pred'ictions of the e(feclB of pollutants on soi I am) lhoi I'
movements over and through soil.
()epadmt'nl of CnQWtlcl"Ce
(I)(X.:) lhro\ltjh lhe National
"lmos,.hct'ic and Occallotjlaphic
",II" in i ~ l I. ,", t. i 011
NOM p,'ovilles scientiric eXitl!,-ps9.on livintj tn.-Hine rcsou..ccs for
which il i!; res(tOIIsi"le ant) Uieir ha"ilals. illchuJilllJ entlalllJc,-c,1
species .11,,1 marille ""''''Mls: CQ~,':(.linatcs scientific 9uppOt't [or ,'c-
sponses an,1 conliluJr.I":Y plannil'(j in coastal and I",",dne area9.
includinq assessments o( lhe hazards that may be involved.
predictions of movement and dispersion of discharged oi I and
released hazardous subs lances lhrough trajectory modeling. and
in[ormalion on the sensitivily of coastal onvirOlunenls lo oil
dischat'ges: p..ovides info..mation on actual and predicted
meteorological. hydrologic. ice. and oceanographic conditions fo..
ma.. ine. coastal. am) inland walerB: furnishes charts and maps.
including tide and circulation information for coa~tal and
lenit.d:rial walero and for the Great Lakes.
~
I
:E:
. -
()el'i'rlment of Defense
(001))
Consislent. wilh its operalional requiremenls. """'Y provide
lo ollw'f F"ller....1 aycllcius un rerJucst.
,",!J~ i ~l."H:e
The ""ile,1 :aales "rmy Co'.ps of Ellgineer9 ha9 specialized ert"il'rnelll
all,1 pel-sunllel [or mainlaining navigation channels. Cor rl!lnovilllJ
nav iqali on 0"9lructiong. for accomplishing struclural repa i HI. and
(or pe.-fonning maintenance lo hydropower eleclric generalinCJ
equipment. The Corps can also p,'ovide design 8er"iceB. per(o..m
conslnlcl ion. and provide conl..act wriling and conlract
adminislration services (or olher Fedoral agencies.
----
-------
0000
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"GENCY
m:snnPTlOu or ~()u:;, "'''' 'H:S''UNSlnll.ITIf:~
.----.
-..-----.-...-----
- ._---- ----. - --_._--~--- - ------------
-------
000 (conlinued)
The tlni ted States Navy (USN). ag a r-esull o[ its minion and "ubl.
L. 80-513 (Sal,,~~e 1\cl). is the Federal agency most knowledgeable
and experienced in ship salvage. shipboard damage control. and
diving. The USN has an exlengive array o( specialized equipment
ami per-sonnel available (or use in these areas as well a8
special izell c()ntalUment.collect~on. and removal e(luilJlftenl
sI'ec i (ica lIy des iqned (or sat'':'3qe-related and open sea pollution
incidents. "Iso. upon re(j"es,~ .o( the OSC. locally deplovod USN oi I
spi II er,uip1nent may be pr-ovich~d. This equipment is available on a
r-eimbua'sable basis to Federal agencies upon request when co"wnercic11
equipment is not available.
OOD oUicials ser-ve as OSCs [or r-emoval actions and as RPHg [or
remedii\1 actions r-esuHing (r-om r-eleases o[ hazardous substances.
pollutants. or conlaminants [rom 000 vessels and facilities.
N
I
X
Depar-lment of Energy
(DOE)
Provides advice
i den"-} r y i ng l he
lhereinova I and
to lhe OSCs/RPHg when assistance fs required in
source anti exlent of radioactive I'eleaoes. anti in
digposal of radioactive contamination.
lJepaa'lmt!IIt of lIt!allh all\l
"um....n Services (IIIIS)
1'loviIIC!1 .1!;!;i!;(,ance on ....11 In.-.llers relatinq
he.,lth h.17..'I"1'5 i\l .... ('f'!;pon!;e and protection
wOlhcls' am' the public's hcallh.
lo a!1!1e!J!;lhcnl of
of hoth re!1pOn!H~
Fede ra I (.:mea'qency "'an"gement
"gency (FDV\)
Will I'n>vide atlvice anti assistance lo the OSC/HI'H on coortlin....liIIlJ
civil cmerljency planning anti mitigation efforls wilh olher
Execulive aqencieg. Slale and local governments. and t.he private
sectoa". In lhe event o[ a major disaster declaration or eme..qency
delenninat ion by the Pre'; itlent at a hazardous IMtedah respoi,se
site. FI-:H1\ wi 11 coordinate all di saster or emergency actions wilh
lhe OSC/RI'H.
--.
-------
GOO)
00 N
a- 0
- I
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a.,....
toepartment
~ (001 )
a
a:
~
~
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.------.----------
- - . - -- ~
"GENCY
nf:;,CR I rnON or nOI.ES NUJ Rr.srONS I n ILl T II:~
--- --.-- -- --
------ ---_._------
--- -.--
of the Intedor
001 should be contacted through Regional Envirorunenlal OUicern
(REO), who are th~- d~gignalod memben of RRT9.
Deparlment land managers have jurisdiction over the Nationa I ra.-lt
Syslem. National Wildl ife ne£u
-------
GO to
GO N
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1\GENCY
. OESCRIPTION or ROLES MU Rr.SrooSI81 LITI ES
001 (conlinued)
projects in the WeRt: engineering and hydrolO
-------
0001
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+--- ----- --- - --- - ._-.
1\GENCY
DESCRI PTION or IWLr.S 1\NU RESroNS I 01 LITH::>
VOL (conlillued)
agency. and wi 11 act if lhe.'e are accidents or employee compla inls
about unsafe or unhealthful work conditions at response activities
under this Pla.i~ .is it. does in other industries. 05111\ reserves the
right lo lake olher acl ions necessary lo assure that employees a('o
prol'edy protecled at. such response aclivilio9. 1\ny queglion!J
about occupational garely and he.,J.lh at refJpollse !Jiles should he
,'e(ened lo lhe OSII1\ Regiona t"O(( ice.
lJerarlmelll of T(-ansl'orlal iOIl
( OOT )
. .- .
I'rovhles expertise on all mothi's of transporl ing oi 1 and haz.anluus
subslances.
USCG offers expertise in domestic/international fields of port
safety and security. maritime law enforcement., ship navigation and
construction. and manning. operation. and safety of vessels ami
marine fad) Hies. The USCG also maintains continuously malUled
facilities that can be tised for cOlIWMnd. control. ~nd surveillance
of oil discharges and hazardous substanc. releases occurring in lhe
coaslc1::J zone. The USCG provides predesignated OSCs for tho coastal
zone..'"
10
I
~
Thl"uuyh the neseiln:h ...ntl Special I'u>grams 1\lbninislralion ("5..1\..
DOT oUe!!; exped.ise ill lhe requirements for packaging. h.llllllilll)
and ll'i1n~pOl'l ;ng re(julaled haz.ardous mater ia Is.
t>epartmellt of Slale
(OOS)
Wi II leacl in the development of joint international conlin(jency
plans. lie I ps to coordinale inlenlational respons.. when discharges
or ('eleases cross international boundaries or invol.e foreign £la(j
vessels. Wi 11 coordinate requests for assistance fro. foreign
govenlmellts and ,U.S. prol'osals (or conducting research at incidents
that occur in waters of other countries,
.---.----"-
--------
-------
April 1988
OSWER D(RECTIVE 9360.0-028
APPENDIX N
REFERENCES
-------
OSWER Directive 9360.0-02B
Date 4/88
REFERENCES
CERCLA - Comprehensive Environmental Response. Compensation. and
Liability Act of 1980, Public Law 96-510, December 11, 1980.
Characterization of Hazardous Waste sites - A Methods Manual:
Volume I - I~teqrated Approach to Hazardous Waste site
Characterization, united states Environmental Protection Agency
(USEPA) Environmental Monitoring Systems Laboratory, Las Vegas,
Nevada (to be released 1985).
Characterization of Hazardous Waste Sites - A Methods Manual:
Volume II - Available Samplinq Methods. USEPA
Environmental Monitoring Systems Laboratory, Las Vegas, Nevada,
November 1984. EPA 600/484076
Cost Recovery Actions Under CERCLA, USEPA, Washington, D.C.,
May 1983.
Emerqency Response Cleanup Services Contracts CERCS) Users'
Manual, q. S. EPA, Office Q,f(Emergency and Remedial Response,
Washington, D.C., October 1987. .
Emerqency Response Division Policy Notebook, U.S. EPA,'Offioe of
Eme~ency and Remedial Response, Washington, D.C., and .EPA .
Regional.O~fices (this notebook is updated periodicall~ as new
guidance becomes available). '.' ;
EPA Superfund Guidance Manual, U.S. EPA, Office of Emergency and
Remedial Response, Washington, D.C., December 1981. (This manual
contains all current Superfund program policy memoranda and
publications, and is updated quarterly to reflect any new
Superfund directives.) .
:.
Superfund Removal Procedures - Revision #3, U.S.~EPA, Office of
Solid Waste and Emergency Response, Washington, D.C., February,
1988.
Financial Management Officers User Manual for the Hazardous
Substance Response Proqram, U.S. EPA, Office of Emergency and
Remedial Response, Washington, D.C., July 1982.
Guidance on pursuinq Cost Recovery Actions Under CERCLA, U.S.
EPA, Office of Enforcement Counsel and the Office of Solid Waste
and Emergency Response, August 1983.
Guide for Control of Government Property by Contractors, U.S.
EPA, Office of Management Information and Support Services,
Washington, D.C., November 1981.
N-1
-------
OSWER Directive 9360.0-02B
Date 4/88
Interim Emerqency Procurement Procedures for the Hazardous
Substance Response Proqram - Revision No.1, U.S. EPA,
Procurement and Contracts Management Division, Washington, D.C.,
January 1982..
Interim Standard Operatinq Procedures, U.S. EPA, Office of
Emergency and Remedial Response, Washington, D.C., May 1, 1981.
(This manual is designed to furnish On-Scene Coordinators with
criteria for selecting appropriate safety protocols on a case-by-
case basis and as a supplement to current Headquarters/Regional
safety manuals.)
National oil and Hazardous Substances Pollution continqency Plan
(NCP) , 40 CFR Part 300.
NEIC policies and Procedures, U.S. EPA, Office of Enforcement,
National Enforcement Investigations Center (NEIC), Denver,
Colorado, May 1978 (Revised December 1981), EPA-330/99-78-001-R.
'.
On-Scene Coordinators (OSC{''t]sers' Guide, U.S. EPA, Office of
Emergency and Remedial Response, Washington, D.C., July 1981,
(Revised February 1982).
Procedures for Identifyinq Responsible Parties: Uncontrolled
Hazardous Waste sites - Superfund, Barrett E. Benson, U~S. EPA,
National Enforcement Investigations Center (NEIC), Denver, .'
Colorado, February 1982.
Safety Manual for Hazardous Waste site Investigations, U.S. EPA,
National Enforcement Investigations Center (NEIC), Denver,
Colorado, september 1979. .
SARA. Superfund Amendments and Reauthorization Abt. Public Law
99-499, October 7, 1986.
Superfund site Paper File Structure, U.S. EPA, Office of
Emergency and Remedial Response, Washington, D.C., January 1983.
Technical Assistance Team (TAT) User's Manual, U.S. EPA, Office
of Emergency and Remedial Response, Washington, D.C., September,
1987.
Traininq Manual for Superfund Administrative Assistants, U.S.
EPA, Office of Emergency and Remedial Response, Washington, D.C.,
September 4, 1981. (This provides detailed instructions to
superfund Administrative Assistants in establishing and
maintaining a document control register, developing account
numbers and tracking Superfund dollars.)
User's Guide to the EPA Contract Laboratory Program,
Sample Management Office, October, 1984.
U.S. EPA,
N-2
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