SUPERFUND REMEDIAL DESIGN AND
REMEDIAL ACTION GUIDANCE
SUPERSEDED BY OSWER 9355.0-4A
February 1985
Hazardous Site Control Division
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, DC 20460
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TABLE OF. CONTENTS
Page
Number
1. INTRODUCTION
1.1 Purpose of the Guidance Document 1-1
1.2 Overview of the Guidance Document 1-1
2. REMEDIAL DESIGN 2-1
2.1 Architect/Engineer Selection Activities 2-1
2.1.1 Federal Lead Remedial Design ' 2-1
2.1.2 State Lead Remedial Design 2-4
2.2 Design Initiation 2-5
2.2.1 Remedial Planning Information 2-5
Provided to Lead Design Party
2.2.1.1 Record of Decision/Enforcement . 2-5
Decision Document and Final Remedial
Investigation/Feasibility Study Report
2.2.1.2 Pre-Design Report 2-6
2.2.1.3 Technical Transfer Briefing 2-6
-------
2.3
2.4
2.~.2 Type of Agreement
t~.2.2.1
Federal Lead Remedial Design
State lead Remedial Design
Responsible Party Remedial Design
2.2.2.2
t~.2.2.3
2.2.3 Architect/Engineer Conflict of Interest
Elements To Be included in Statement of Work (SOW)
2.3.1 Plans and Specifications
2.3.2 Additional Studies
2.3.3 Operations and Maintenance Plan
2.3.4 Quality Assurance Project Plan
2.3.5 Site Safety Plan
2.3.6 Architect/Engineer Services During Construction
Design Reviews and Approvals
2.4.1 Preliminary Design
2.4.1.1
Environmental Review
Technical Review
2.4.1.2
2.4.2 Intermediate Design
2.4.3 Prefinal Design
2.4.3.1 Environmental Review
2.4.3.2 Technical Review
2.4.4 Final Design
2.4.4.1 Extent of Review
2.4.4.2 Final Approval
2.4.4.3 Plan-In Hand Review
ii
2-6
2-6
2-9
2-9
2-12
2-12
2-12
2-14
2-15
2-15
2-15
2-16
2-16
2-17
2-;7
2-18
2-18
2-18
2-18
2-19
2-19
2-19
2-20
2-20
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2.5
2.6
2.7
2.4.5 Major Design Changes
2.4.6 Value Engineering
Permits, Approvals and Site Access
2.5.1 Permits and Approvals
2.5.1.1 Requirements
2.5.1.2 Responsibilities
2.5.2 Site Access
2.5.2.1 Requirements
2.5.2.2 Responsibilities
Community Relations Activities
2.6.1 Objectives
2.6.2 Implementation Activities
2.6.3 Responsibilities
and Techniques
Cost Estimates for Construction
2.7.1 Estimated Cost of Project
2.7.2 Supervision and Administration (S&A) and
Engineering and Design (E&D) During Construction
2.7.3 Contingency limits
2.7.3.1 Bid Contingency
2.7.3.2 Changes Orders and Claims
2.7.4 Total Cost Estimate for Remedial Action
Agreements
i i i
2-20
2-21
2-21
:2-22
2-22
'2-22
2-23
2-23
2-24
2-24
2-25
2-25
2-26
2-26
2-27
2-27
2-27
2-28
2-28
2-28
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3.
REMEDIAL ACnCN
3.1
3.2
3.3
Remedial Action Initiation
3.1.1 Federal Lead Remedial Action
3.1.2 State Lead Remedial Action
3.1.3 Responsible Party Remedial Action
3.1.4 Conflict of Interest
PrOcuT'er!Ient Act i v i ties
3.2.1 Advertise for Bids
3.2.2 Site Inspection
3.2.3 Review of Bid Documents
3.2.4 Bid Protests
Monitoring and Oversight
3.3.1
)[nspections
:~.3.1.1
Full Time Inspector
3.3.1.2 Compliance with Environmental
Requirements
3.3.1.3 Compliance with Other Contract
Requirements
3.3.1.4 Review of Contractor Reports
303.2 Progress Reports to EPA
3.3.3 Contingency Fund for Change Orders and Claims
3.3.3.1 Federal Lead Remedial Action
3.3.3.2 State Lead Remedial Action
iv
3-1
3-1
3-1
3-1
3-4
3-4
3-4
3-4
3-6
3-6
3-7 .
3-7
3-7
3-7
3-8
3-8
3-8
3-9
3-10
3-10
3-10
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. 3.4
Final Inspection and Closeout
3.4.1 Prefina1 Construction Conference
3.4.1.1 Participating Parties
3.4.1.2 Suggested Agenda Items
3.4.2 Prefina1 Inspection
3.4.2.1
3.4.2.2
3.4.2.3
Inspecting Parties
Extent of Inspection
Prefina1 Inspection Report
3.4.3 Final Inspection ~nd Certification
3.4.3.1
3.4.3.2
3.4.3.3
Inspecting Parties
Extent .of Inspection
Final ~nspection/Certification Repo~t
3.4.4 Acceptance of Completed Project and Beneficial
Occupancy
3.4.5 Operation and Maintenance Assumption
3.4.6 Site Closeout and Post Mortems
3.4.6.1 Final Technical Report
3.4.6.2 Deletion of Site from NPL
v
3-11
3-11
3-11
3-12
3-12
3-12
3-12
3-13
3-13
3-13
3-13
3-14
3-14
3-14
3-15
3-15
3-16
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Appendix A - Sample USACE Work Assignments and Interagency
Agreements
A-l
Appendix 8 - Elements to be Included in the Remedial Design
Statement of Work
8-1
Appe~ndix C - List of Acronyms
C-l
Appendix D - Glossary of Terms
D-l
REFERENCES
vi
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EXHIBIT
NUMBER
1-1
2-1
2-2
2-3
2-4
2-5
3-1
3-2
3-3
B-1
B-2
I N D E X
o F
E X H I BIT S
Page
,Number
TITLE
Remedial Process
1-2
Federal Lead Remedial Design Process
2-2
USACE Regional. Assignments for Superfund Projects
2-3
Suggested Outline for Pre-Design Report
2-7
State Lead Remedial Design Process
2-10
Responsible Party Lead Remedial Design Process
2-11
Federal Lead Remedial Action Process
3-2
State Lead Remedial Action Process
3-3
Responsible Party Lead Remedial Action Process
3-5
Basic Elements of Operation and Maintenance Plan
B-6
Suggested Outline for Site Safety Plan
B-11
vii
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1. INTRODUCTION
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1. . INTRODUCTION
1.1
Purpose of the Guidance Document
This guidance document has been developed to assist agencies and
parties who plan; administer, and manage remedial design (RD) and remedial
action (RA) at Superfund sites. The guidance document pertains to
Fund-financed RD/RA (i.e., Federal lead and State lead) and responsible
party RD/RA, and provides procedural guidance to be followed in order to
ensure that RD/RA is p~rformed properly, consistently, and expeditiously.
The guidance document has been developed primarily for use by:
Environmental Protection Agency Remedial Project Managers (EPA
RPM)
State Project Officers
U.s. Army Corps of Engineers (USACE) personnel
Responsible parties.
Exhibit 1-1 highlights the focus of the document within the context and
sequence of activities required to complete an entire remedial response.
1.2 Overview of the Guidance Document
This guidance document has been organized to reflect the general
sequence of events that occurs prior to, during, and after remedial design
and remedial action at a Superfund site. Remedial design activities are
presented in Chapter 2, and remedial action activities are presented in
1-1
-------
. UIIIOACTlYln
. PfT1IOLEUMI
..ruw GAS
. leU
DISCDVEIIV
AND
IIVESTIGATIDII
IIEMEDIAL
PLANNING
EXHIBIT ,-,
. REMEDIAL PROCESS
SlTllIISCOVtllT
011
10TIf1CATlO1
,-_... .----------------- ----~----.
, SUBJECT OF I
I RD/RA GUIDANCE I
I :
I 1- _DIAL :
I 1CnOI,
I IIEMEDIAL I
! 'MP"M',,,mO. .=~ I'
ACTIO.
, I
! i =~ !
I _l CUI":.I I
I I11III1'01111'
I I
L_~-.-------------------------~----_I
1-2
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Chapter 3. The majority 'of both chapters pertains 'to Fund-financed and
responsible party projects, however, some sections apply only to
Fund-financed projects and are noted accordingly. Common information is
consolidated for discussion, and where necessary separate subsections are
provided for Federal lead, State lead, and responsible party RD/RA.
Additional guidance on oversight of responsible party RD/RA activities will
be provided by EPA in the future.
The discussion on responsible party RD/RA pertains only to those
Superfund sites where EPA has entered into a settlement agreement with the
responsible party(ies), and no trust fund monies are involved in the RD/RA.
If trust fund monies are involved, different procedures to be followed will
be provided in the future by EPA.
RD/RA conducted by other Federal agencies is,not addressed directly in
this document. The forthcoming Federal Facilities Program Manual will
tailor the information in this document to address Federal Agency RD/RA
activities.
,1-3
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. .
2. 'REMEDIAL'DESIGN
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2. REMEDIAL DESIGN
2.1. Architect/Engineer Selection Activities
Activities involved in selecting an architect/engineer (A/E) firm for
,~remedial design will be dependent on the lead party. A/E selection
activities pertaining to Fund-financed remedial design are discussed below.
2.1.1
Federal Lead Remedial Design
Exhibit 2-1 diagrams the Federal lead remedial design process. In
order to expedite the design phase. A/E selection activities may be
initiated prior to Record-of-Decision (ROD) approval if deemed appropriate
by the EPA RPM and EPA headquarte~s (HQ). The EPA Regional office will
issue a work assignment consistent with the standing Interagency Agreement
(lAG) to USACE Missouri River Division (MRD) to initiate Phase I design
activities based on the draft feasibility study (FS). The EPA RPM will
forward copies of the executed work assignment to EPA HQ and USACE HQ.
The map in Exhibit 2-2 shows the USACE Regional assignments for
Superfund Projects. Under MRD supervision. the appropriate USACE Design
District (i.e. Kansas City or Omaha) will perform the following Phase I
design activities to retain an A/E firm for the engineering design:
Synopsize requirements in Commerce Business Daily (CBD)
Develop A/E pre-selection list
Contact A/E firms on the pre-selection list to ascertain
interest in project
2-1
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EXHIBIT 2-1
FEDERAL LEAD REMEDIAL DESIGN PROCESS
COPIES TO
EPA HO
USACE HO
EPA REGION ISSUES
WA FOR INITIATING
PHASE I DESIGN
ACTIVITIES TO
USACE.MRD
I
EPA RPM & STATE
PROCESS STATE LETTER
OF REOUEST DR
AMEND EXISTING MOU
I USACE.MRD I
1 DESIGN DISTRICT
~SYNOPSIZE REOMTS.IN CBD
~DEVElOP AlE PRESELECTION LIST
~CONTACT AlE FIRMS TO ASCERTAIN 'NTEREST
~DEVElOP AlE SElECTION LIST (MIN. 3 FIRMS I
"'SElECT AlE FIRM {TENTATIVElY I
I
1 ACTIVITIES PRIOR TO
ROO APPROVAL
ARE OPTIONAL IN
ORDER TO EXPEDITE
. DESIGN INITIATION
EPA REGION PREPARES
DRAFT SITE.SPECIFIC
. DESIGN lAG CONCURRENT
WITH EPA REGION
SUBMITTING FINAL ROD
PACKAGE FOR APPROVAL
-.- ...- -- -- --.---
I
SElECTION OF REMEDY BY EPA
ROD APPROVAL
.
.----
------
I
COPIES TO
EPA HO
USACE HO
-
EPA REGION &
USACE.MRD FINALIZE
DESIGN lAG
I
USACE.MRO
IIIITIATES DESIGN
ACTIVITIES THRU
DESIGN DISTRICT
REMEDIAL PLANNING
INFORMATION
PROVIDED TO
USACE.MRO BY
EPA RPM
I
RPM
USAtE.fII
.MEDIAl P'IIO.IECT MAItAGER
110 u.s. AIIMY COII~ OF EIIIGI.fERS .-
MISSOUIII RIVER OIVI$IOIII
tlTWGE.CY AGR££ME lilT
RECORD OF DECISION
STATEMEIT OF WORK
WOIIK ASSIG.MEIIIT
COMMEIIC£ 8USIIIIESS DAILY
IATiOlAll'IIlOlllTlES LIST
MEMORA.OUM OF AGREEMUn
I
DESIGN DISTRICT
ISSUES SOW FOR
DESIGN TO AlE FIRM
I
AlE FIRM DEVElOPS
DESIGN PACKAGE
BASED ON SOW
I
DESIGN REVIEWS SCHEDULED
AT PRE.DETERMINED
INTERVALS (I.E.. PRELIMINARY,
NTERMEDIATE. PREFINAL. FlNALI
OVERSIGHT BY EPA RPM
ACROI/YMS t:EY
lAG
liDO
SOW
'"
CBO
IIPl
IIIOU
I
USACE.MRD APPROVES AND
ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
REGION AND STATE
2-2
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N
,
<..oJ
r~~~~:~.{~ Omaha District
I Kansas City
District
EXHIBIT 2.2
USACE REGIONAL ASSIGNMENTS FOR SUPERFUND PROJECTS
-------
Develop AlE selection list (at least 3 firms) .
Select AlE firm (internal tentative selection only).
These activities w~l1 take approximately 10 weeks to complete. Results and
~;rogress will he coordinated by the USACE-MRD Design District with the EPA
EPM.
The tentative AlE selection will not be finalized by EPA, and no
further act i on w': n be taken by USACE, unt i1 the ROD is approved and USACE
t;as determined that the AlE is qualified to design the approved remedy. A
~)amp1e standing :;AG and Phase I design work assignment ar~ included in
Appendix A (S&np~e No.1). .
The EPA Rr.g'ion, with concurrence from EPA HQ, may reque~t the USACE
to use one of the EPA remedial p1ahning contractors as the AlE firm for RD
~n limited sit~a~iDns. These situations could include:
Projects with a low RD cost ($50,000 - $100,000)
Projects where it is necessary to expedite the design phase and
RA initiation.
2.1.2 State Lead Remedial Design
In order to expedite the design phase, EPA encourages States to
:eta,in the same A/t firm for RD and subsequent RA support activities that
,)rovided services for the RI/FS. To accomp1 ish this, EPA reconvnends that
the subagreement with the AlE firm contain an option for RD and RA support
activities. A class deviation from limited requirements of 40 CFR 33 has
:Jeen approved by EPA Grants Administration Division to allow States to
retclin the s~e AlE firm for subsequent activities if the option approach
~as not used. In most cases the State will have an AlE firm available for
design activities, and no special AlE selection activities will be
required. The State officials and the RPM should refer to Chapter 3 and
2-4
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Appendix P of the manual for State Participation in the Superfund Remedial
Program (State Manual) for specific information and procedures
(Reference 1). To be consistent with EPA policy, attention should be given
to the utilization of minority business enterprises and women's business
enterprises.
2.2 Design Initiation
Following selection ofa remedy and Record of Decision
(ROD)/Enforcement Decision Document (EDD) approval by the designated EPA
official, action must be taken to initiate design activities. The lead
design party shall ensure the design package is developed consistent with
the approved ROD/EDD and applicable CERCLA policy and procedures. Remedial
planning information to be provided to the lead design party and the type of
agreement used to initiate design are discussed below.
2.2.1 Remedial Planning Information Provided to Lead
Design Party
When the lead design party is different than the lead RI/FS party,
the EPA RPM must provide remedial planning information to the appropriate
design party (i.e. USACE, State, responsible party) in order to initiate
design. If the lead party does not change from RI/FS to RD, this is not
required since the lead party should already have the information.
2.2.1.1
Recore of Decision/Enforcement Decision Document
and Final Remedial Investigation/Feasibility Study
JRI/FS) Report
Mandatory information to be provided to the lead design party
includes a copy of the approved ROD/EDD and the final RI/FS report(s). This
information should be forwarded as soon as possible after ROD/EDD approval
in order to facilitate initial design activities.
2-5
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?2.1.2 f!'.~Des ~1 Report
A Pre-Design Report shall be prepared by the lead RIfFS party and
l)rovided to the lead design party. The objective of the Pre-Design Report
is t.o describe t~e engineering parameters and institutional concerns of the
5elE!cted remedy, and package all pertinent project information for
!ffectively transferring the project to the lead design party. The
Pre-Design Re~ort replaces the conceptual design task of the FS. The
?re-Design Report should be completed within 2 weeks following remedy
se1E~ction, anC the cost should be limited to approximately 5 percent of the
cost of the feasibilty study. A suggested outline for the Pre-Design Report
is presented in Exhibit 2-3.
2.201.3 Technical Transfer Briefing
The EPA RPM should schedule a technical transfer briefing between
lead design party and the lead RIfFS party. The purpose of this briefing
would be to fac~l~tate project transfer and resolve any outstanding issues
or questions.
2.2.2 ~oU~'eement
The type of agreement used to initiate design is dependent on the
party that is responsible for design.. For Federal lead remedial design,
action is initiatGd through an Interagency Agreement (lAG) with the USACE.
For State lead ~emedial design, action is initiated through a cooperative
agreement (CA) ~ith the State. For responsible party remedial design,
action is initiat2d through a document of settlement with the responsible
party(ies) (i.e. judicial consent decree or administrative order on consent).
2.2.2.1
Federal lead Remedial Design
To initiate design at a Federal lead site, the EPA RPM works with the
Stclte to process a new State Letter of Request or amends the existing MOU to
inc:1ude the rew,edial design if remedial design was not covered in the
2-6
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EXHIBIT 2.3
SUGGESTED OUTLINE FOR PRE.DESIGN REPORT
1.
Site Description
2. Summary of Selected Remedy
Description of remedy & rationale for selection
Performance Expectations
Site topographic map & preliminary layouts
Preliminary design criteria & rationale
Preliminary process diagrams
General operation and maintenance requirements
Long-term monitoring requirements
3. Summary of Remedial Investigation and Impact on Selected Remedy
Field studies
(Air, surface water, ground water, geology)
Laboratory studies
(Bench scale, Pilot scale)
4.
Design/Implementation P~ecautions
Special technical problems
Additional engineering data required
Permits & regulatory requirements
Access, easements, rights-of-way
Health & safety requirements
Community relations activities
2-7
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EXHIBIT 2.3 (CONTINUED)
SUGGESTED OUTLINE FOR PRE.DESIGN REPORT
5. Cost Estimates & Schedules
Implementation cost estimate (Order of Magnitude, + 50%/- 30%)
Preliminary annual O&M cost estimate and duration
Project schedule (design, construction, permits & access)
6. Appendices
Reports, data summ~ries, etc.
2-8
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original MOU. The RPM and the State officials should refer to Chapter VIII
of the State Manual for specific information.
Once the State Letter or MOU is processed, the RPM shall coordinate
with USACE-MRD and establish necessary funding for design. The EPA Region
should prepare a draft site-specific design lAG with USACE-MRD, concurrent
with submitting the final ROD package for approval. After ROD approval, the
EPA Region should finalize the design lAG with USACE-MRD.. The RPM should
forward copies of the executed design lAG to EPA HQ and USACE-HQ (DAEN
ECE-B). USACE-MRD will initiate design activities through the appropriate
Design District. The RPM will monitor all design activities. The design
process is outlined in Exhibit 2-1. ~ sample (sample No.2) site-specific
design lAG is included in Appendix A.
2.2.2.2 State Lead Remedial Design
To initiate design at a State lead site, the RPM works with the State
either to amend the existing CA or to develop a new CA for RD, or for both
RD and RA. The RPM and State should refer to Chapters III amd VIII of the
State Manual for specific information and procedures. Exhibit 2-4
graphically depicts the State lead remedial design process.
2.2.2.3 Responsible Party Remedial Design
To initiate design for a responsible party clean-up, EPA enters into
a se~tlement agreement (consent decree or administrative order on consent)
with the responsible party(ies). The responsible parties will then proceed
ahead with the selection of a support contractor as needed to complete the
design, according to the schedule and conditions set forth in the document
of settlement. The process for responsible party lead is shown in Exhibit
2-5. This discussion pertains only to settlement agreements where no trust
fund monies are involved. EPA will provide additional guidance on
responsible party oversight in the future.
2-9
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EXHIBIT 2.4
STATE LEAD REMEDIAL DESIGN PROCESS
-----.-.-
STATE AID EPA-RPM
PREPARE/AMEND
DRAFT CA CONCURRENT
WITH SUBMlmNG
FllAl ROD PACKAGE
TO EPA HQ
I
- SELECTION OF REMEDY
ROD APPROVAL --
1
STATE AND REMEDIAL PLANNING
.IFORMATION PROVIDED
. EPA RPM TO STATE (ONLY
FIIAUZE CA REQUIRED IF STATE WAS
lOT LEAD RIIFS PARTY)
I
I
STATE ISSUES SOW
FOR DESIGN TO AlE FIRM
I
A/E FIRM DEVELOPS
DESIGN PACKAGE
BASED 01 SOW
I
EIT DESIGN REVIEWS SCHEDULED
AGER
AT INTERVALS {PREUMINARY, OVERSIGHT BY EPA RPM
01/ INTEMEDIATE. PREFINAL,
FIIALI
I
STATE APPROVES
AID ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
---
ACRONYMS KEY
CA
...
IIDD
III/fS
COOPERAnVE AGREEII
IIEIIEDIAL PROJECT IWI
RECORD OF DEClSIOI
IlEllEDIAL IManGAn
FUSIln.m STUDY
ITAMElr OF WORK
WORK WIGIMEI'r
!lOW
WA
2-10
-------
EXHIBIT 2.5
RESPONSIBLE . PARTY LEAD REMEDIAL DESIGN PROCESS
ACRONYMS KEY
SELECTION OF
REMEDY
EDD APPROVAL
I
EPA ENTERS INTO
SETILEMENT AGREEMENT
WITH RESPONSIBLE
PARTY
I
REMEDIAL PLANNING
INFORMA nON PROVIDED
TO RESPONSIBLE
PARTY
I .
RESPONSIBLE PARTY
ISSUES SOW FOR OVERSIGHT BY EPA RPM
DESIGN TO AlE FIRM
I
AlE FIRM DEVELOPS
DESIGN PACKAGE
BASED ON SOW
I
DESIGN REVIEWS SCHEDULED
AT INTERVALS (PRELIMINARY, OVERSIGHT BYEPA RPM
INTERMEDIATE. PREFINAL.
FINAL)
I
RESPONSIBLE PARTY
APPROVES
AND ACCEPTS DESIGN WITH
CONCURRENCE FROM EPA
EOO
SOW
EIFORCEMEIIT OECISIOI DOCUMENT
STATEMENT OF WORK
2-11
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2.2.3 Architect/Engineer Conflict of Interest
In the process of selecting an A/E firm for Fund-financed remedial
design, the State or EPA shall evaluate whether the prospective A/E has a
potential conf~ict of interest based on any potentially responsible party
(PRP) involvement at the site.' This could include the situation where a
c;urrent client may be a PRP at the site. The EPA-Region should include a
provision in all CAs and lAGs regarding contracts with PRPs. Appendix F of
the State Manual suggests specific language to .be included in a CA provision
clOd suggests specific clauses to be included by the State in any contr.act
. for services o~ construction. lAGs should contain a provision consistent
with Appendix F, stating the USACE will require interested contractors to
provide information and EPA will evaluate potential conflicts. The USACE
should include a provision equivalent to Appendix F in the contract for RD.
(~.3 Elements To Be Included In Statement Of Work (Sbwt
It is essential that the A/E firm retained to accomplish the design
.for a specific remedial action have a clear understanding of the project
scope and subsequent required design documents. The following elements of a
statement of work are intended as guidance in preparing site-specific A/E
instructions and apply to Fund-financed and responsible party remedial
design (RD). The design Project Officer (PO) shall ensure that the
appropriate elements are addressed. Further requirements for preparing the
A/E statement of work are presented in Appendix B.
2.3.1
Plans anci Specifications
The SO\I for remedial design should require the A/E to prepare the
final construction plans and specifications to accomplish the remedial
action alternative as defined in the Record of Decision/Enforcement Decisio~
Document (ROD/EDD). The specifications should include quality assurance
provisions in a~l proposed work. It should also state that the A/E shall
conduct the ana':YGis and perform all work as required to prepare the
2-12
-------
document package required for the remedial action. (For further detail see
Appendix B). In general, the plans and specifications portion of the SOW
should include the following phases:
Preliminary Design - The Scope of the preliminary design should
address not less than 30% of the total design and shall be
based on data furnished for the project.
Intermediate Design - Complex project designs may necessitate
review of the design documents between the preliminary and
. prefinal/final design phases. At the discretion of the design
PO a design review may be required at 60% completion of the
design.
Prefinal/Final Design - Prefinal/final design documents shal.l
be submitted in two parts. The first submission shall be at
95% completion of de~ign (i.e., prefinal). After approval of
the prefinal submission, the AlE shall execute the required
revisions and submit the final documents 100% complete with the
reproducible drawings and specifications ready for bid
advertisement. This portion of the document package as
submitted for prefinal/final design shall include, but not be
limited to the design analysis, final construction drawings and
specifications and cost estimate.
. Correlating Plan~ and Specifications - The coordination between
drawings and technical specifications is a principal
requirement of the AlE contract. The coordination shall be
consistent with the submission requirements of the drawings and
specifications through prefinal/final design.
Selection of Offsite Resource Conservation and Recovery Act
(RCRA) Facilities - The AlE shall ensure compliance with CERCLA
procedures for selecting an offsite RCRA facility and the
requirements specified in the ROD/EDD. Refer to refe~ence 3
2-13
-------
fl)r additional information. (Additional requirements are
fl)rthcoming to address RCRA landfills, focusing on the effects
of the RCRA reauthorization.)
CQ!!!i:Jl'iance with the Requirements of other Environmental Laws -
The AlE shall ensure that the design package submitted is in
accordance with CERCLA procedures on compliance with other
environmental laws. R~fer to reference 2 for additional
information. All applicable or relevant standards and criteria
ideltified in the ROD/EDD shall be analyzed and incorporated
into the design by the A/E. The A/E shall identify the
contr~lling parameters as required by such standards.
~~nent startup and Operator Training - The AE shall prepare,
and include in the technical specifications governing treatment
systems, contractor requirements for providing: appropriate
service visits by experienced personnel to supervise the
installation, adjustment, startup and operation of the
treatment systems, and appropriate operational procedures
training once the startup has been successfully accomplished.
2.3.2 Additional Studies
---
Remed;~l actions involving the on-site treatment or disposal of
tontaminated wastes (i.e., groundwater, lagoon wastes, etc.) may require
additional stL,dies to' supplement the technical data available from the RIfFS
act'ivities so that the optimum treatment or disposal methods may be
determined. Additional studies could include field work and/or bench and
pilot scale studies. For futher detail see Appendix B. The quality
assurance project plan and site safety plan from the RI/FS should be
tailored for any studies, as required.
The fact that such studies will be performed should be explicitly
addt"essed in the ROD, and if necessary, the ROD shou'd authorize the Region
to make any necessary choice among treatment or disposal options.
2-14
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2.3.3 Operation and Maintenance Plan
In most instances, remedial activities will result in the requirement
of a varying degree of operational and maintenance (O&M) activity associated
with the completion of a project. The RIIFS and ROD will indicate the types
of O&M activities required and ,provide a cost estimate~ . The RD will provide
more detail on the specifics and degree of O&M activities required, and
provide a more accurate cost estimate. To ensure correlation of the
separate but related phases of design and O&M, the AlE shall submit an
initial draft O&M plan simultaneously with t~e prefinal design document
submission and the final draft O&M plan with the final design documents.
For guidance on developing a comprehensive O&M plan see Appendix B. The O&M
plan will be finalized and submitted by the AlE or construction contractor
. at the prefinal construction conference.
. 2.3.4 guality Assurance P~oject Pl~n
A site-specific Quality Assurance Project Plan (QAPP) shall be
prepared by the AlE, if the project will involve any sampling or monitoring
activities. The plan will provide guidelines for project organization which
shall outline and identify quality-control (QC) and quality assurance (QA)
responsibilities of the construction contractor, lead design party, or other
applicable agencies during constructi.on. The QAPP should be consistent with
EPA QA/QC Procedures. The AlE shall submit a draft QAPP simultaneously with
the prefinal design documents and the final QAPP with the final design
. documents submission. For guidance on the development and applicability of
the QAPP see Appendix B.
2.3.5 Site Safety Plan
An important aspect of a remedial action project, during both design
and construction, is the health and safety of the individuals who will be on
site and that of the surr.ounding communities. The AlE shall develop, in
respunse to site specific data, specifications to be used by the
Construction Contractor in developing a Site Safety Plan (SSP) that is
sufficient to protect on-site personnel and surrounding communities from the
2-15
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physical, chem~c~lt andlor biological hazards of the site. The AlE shall
submit draft specifications with the prefinal design document submission and
the final s~ec~fic~tions with the final design documents. For guidance on
c.evelopment and compliance requirements of the SSP see Appendix B.
L3.15 Architect/Engineer Services During Construction
The par~y rQsponsible for accomplishing a remedial action may deem it
(esirable or mandatory that the AlE preparing the final design package'
i1ssume an active role in the on-sit~ re~edial action (construction) work.
~he use of AlE sf!rvices during construction is encouraged in the following
ilreas:
Revie~ construction cohtractor submittals
Attend conferences and visit project site
Provide field representative.
::or further information and guidance on possible services provided by the
AlE within these areas see Appendix B.
2.4 Design Reviews and Approvals
The concept for a Superfund remedial project is determined when EPA
selects a cle&nup alternative based upon the feasibility study and
supporting documents, and as specified in the ROD or EDD. Once an AlE firm
is contracted to perform the design work necessary to implement the selected
remedy, the Gover~ment reviewing agencies are responsible for the review,
approval and acceptance of the final plans and specifications. Interim
outputs as we11 as the final product of the AlE must be reviewed to ensure
that the design is progressing in a manner consistent with the ROD/EDD and
existing enviro~mental and construction standards. The Government design
review and apprcvDl responsibilities for all reviews are dependent on the
2-16
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lead design party and are listed below. For responsible party RD, the
responsible party has the primary responsibility for design review and for
submitting the design documents to EPA for government review.
RD Lead
Government Review
Responsibility
Environmental
Review
Assistance
Technical
Review
Assistance
Federal
USACE
EPA and State
State
State
EPA
USACE or EPA
Contractors upon
request.
Responsible Party
EPA
State
USACE or EPA
Contractors upon
request
2.4.1
Preliminary Design
The preliminary design shall be submitted by the AlE when the design
effort is approximately 30% complete. The submittal should consist of the
plans and specifications previously described in Section 2.3.1. Ifbench
and pilot studies were required, the interim report should be included with
the submittal. For responsible party RO, the preliminary cost estimate will.
be submitted at the discretion of the responsible party. The preliminary
review is important to correct or modify any problems areas before extensive
design is completed.
2.4.1.1
Environmental Review
The preliminary design submittal shall be reviewed from an
environmental quality standpoint for Fund-financed and responsible party RD,
to ensure that all the necessary elements are included in the specifications
to address full compliance with requirements of the applicable or relevant
environmental and public health standards which are identified in the
RODIEDD (refer to reference 2).
2-17
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2.4.1.2 Technical Review
The pr'e 1 iminary design sha 11 be reviewed from a technical standpoint
for compliance with the SOW (refer to Section 8.1.1), constructabi1ity, and
accuracy of the cost estimate.
2.4.2
Intermediate Design
At the discretion of the design PO, the intermediate design shall be
submitted for review when the design is approximately 60% complete. The
submittal shall consist of the plans and specifications ~escribed in Section
2.3..1.
2.4.3 Prefinal _Design
The prefina1 design submittal shall occur when the design is .
approximately 95% complete and shall consist of the plans and
specifications, O&M plan, QAPP, and specifications for SSP previously
. described in Sections 2.3.1 and, 2.3.3 - 2.3.5. The Government agencies'
major review ~hould occur at this time. For responsible party RD, the cost
estimate w'ill be submitted at the design PO's discretion.
2.4.3.1
Environmental Review
The prefina1 design submittal shall be reviewed for:
Compliance with all applicable or relevant environmental and
public health standards identified in the ROD/EDD
Utilization of currently accepted environmental control
measures and technology
The adequacy of the O&M plan, QAPP, and SSP specifications
Consistency with ROD/EOO, and environmental and public impacts.
2-18
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2.4.3.2 Technical Review
The prefina1 design submittal shall be reviewed to ensure:
The bidabi1ity an~ constructabi1ity of the design
The accuracy of the construction cost estimate
Utilization of currently accepted construction practices and
techniques
The ability of a construction contractor to submit a fair and
reasonable bid based upon the bid schedule included in the
specifications
The accuracy of any estimated quantities of materials specified
in the design
That the responsibilities and liabilities of the construction
contractor and the government are clearly defined and detailed
in the design documents (fund financed only).
2.4.4 Final Design
The final design submittal shall consist of the final design plans
and specifications (100% complete), the AlE firm's final construction cost
estimate, the final draft O&~ Plan, final QAPP and SSP specifications. The
quality of the design documents should be such that the government or
responsible party is able to include them in a bid package and invite
contractors to submit bids for the construction project.
2.4.4.1
Extent of Review
The appropriate agencies from Secton 2.4 shall review this submittal,
,to ensure that the AlE has adequately addressed all concerns and comments
2-19
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generated during the prefinal design review process. If further revisions
to the design are required, the AlE firm shall be so directed.
2.4.L~.2 Fin.!LApproval
The agency or party to whom the AlE is under contract shall have the
authority to approve and accept the design, with concurrence from the EPA
and the State on Federal-lead and responsible party projects, and from EPA
alone on State-lead projects. .
2.4.4.3
Plan-rn~Hand Review
Plan-In-Hand Review of the final design shall be made by the AlE and
coordinated with the design PO just before the advertisement for
construction of the project. .
2'.4.5
Major Dest~ Changes
It is the EPA RPM's responsibility during design reviews and
cipprovals to ensure that the .design package being developed by the USACE,
State, or responsible party is consistent with the approved ROD/EDO. If it
appears that major design changes are occurring that would significantly
cllter the remedy approved in the ROD/EDD, the RPM should notify the design
PO in writing to temporarily halt design activities and immediately notify
the EPA official dE!legated ROD responsibility of the situation. That EPA
official will deter'mine if the design changes warrant.a ROD/EDD amendment
Cind an additional public comment period. Minor design changes can be
approved by the design PO, with concurrence from the EPA RPM, consistent
with the approved ROD/EDD.
Technical scope changes and lor cost changes in the project could
(:onstitute a major design change. Examples of changes which would
constitute a major change include:
Change from treatment remedy to disposal remedy or vice versa
2-20
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Proposed remedy ~ill not work due to field conditions
Implementation cost increases by more than 50%
Increase in implementation cost results in another alternative
being potentially, less costly.
Examples of changes which would not constitute a major change include:
Change from one treatment process to another with equivalent
performance
Cost savings-achieved through value engineering review.
2.4.6
Value Engineering
For Fund-financed projects, EPA recommends that the USACE and State
include value engineering screening during the design phase for all ~emedial
action projects where a potential for substantial cost savings exists.
Value engineering screening shall be limited to project refinements which
would not significantly change or alter the approved remedy, unless
otherwise approved by EPA. Value engineering screening will consist of
listing high cost items that have a potential for cost savings.
Those RA projects which, as a result of the value engineering
. screening, show a reasonable promise for significant cost savings will be
recommended to EPA for approval of formal value engineering study by the
USACE or State. Potential impacts on the RA project schedule and EPA
funding requirements for a formal value engin~ering study will be identified
by the USACE or State.
2.5.
Permits, Approvals and Site Access
It is important to identify farly in the design process all permits,
approvals and site access agreements, if any, required for the project.
Prompt action should be taken to obtain the required permits, approvals, and
2-21
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site access agreements
action. The following
party remedial design.
in order to avoid delays in implementing the remedial
.
discussion pertains to Fund-financed and responsible
t'.5.l
Permits and Approvals
The permits and approvals which may be required for a project and the
1~esponsibi1ity of obtaining them is dependent on the particular project and
the lead design party. Refer to reference 2 for additional information.
;>'.5.1.1 Requirements.
EPA has proposed a policy (Reference 2) addressing compliance with
other environmental laws. Pending final adoption of that policy, the draft
~)o 1 icy shou 1 d be cons i dered as general gu i dance. On-s i te and off -s ite
remE!dial actions shall. comply with the substantive requirements of
applicable and relevant laws and standards identified in the ROD/EDD. For
on-site remedial actions, environmental permits are not required. However,
if material is to be taken off site, the receiving facility must possess all
appropriate e~vironmental permits identified in the ROD/EDD. In general,
the constructior. contractor shall be responsible for obtaining any necessary
non-environmental construction permits and approvals (i.e., building permit,.
electrical permit. etc.).
2.5.1.2 R~~>ns ibi 1 it ies
The responsibility for obtaining the required permits and approvals
is dependent on the lead design party and is sunmarized below.
RU lead
Environmental Permits
JOff-site RA only)-
State
State
Responsible Party
---
Federal
State
Responsible Party
The design PO can request the AlE to provide assistance in obtaining
necessary permits and approvals.
2-22
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2.5.2 Site Access
At many uncontrolled sites, cleanup actions may have to be taken
which could require short or long term use of adjoining property or property
within the site boundaries owned by parties other than the site owner. In
addition, the recommended remedial alternative at the site could include
actions which might restrict access to or use of both property within the
site boundaries and adjoining property. In these situations, it may be
necessary to obtain access to affected property prior to the initiation of
remedial actions.
2.5.2.1
Requirements
At a site where property access is needed, it is first desirable to
obtain voluntary access agreements or rights-of-way from the involved
"property owners. These access agre~ments should be obtained prior to the
'completion of design of the cleanup alternative. By obtaining these
agreements at this time, there will be assurance that the remedial,
construction will not be delayed due to disputes with property owners.
In some instances, it may be appropriate to acquire easements or
other interests in property. Guidance on aquisition will be forthcoming.
Any purchase of property or easements would be RA activities, requiring
State cost share for Fund-financed projects.
For Fund financed RA, if voluntary access cannot be achieved and
resistance from property owners ~s encountered, the State should make all
efforts to the extent of its .legal authority to secure site access. If
State efforts fail to secure access, the State should notify EPA in writing,
and EPA may have to exercise its statutory authority under Section 104 of
CERCLA and an appropriate access order for entry may have to be secured from
a court having jurisdiction over the matter.
2-23
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For responsible party RA, EPA or the State should assure that
,'esponsible parties take all actions needed to obtain access in a timely
manner, and shou'!d step in and take legal action if necessary to secure
iiccess.
Once again, access agreements, acquisition of i~terest in property,
or court orders for access should occur during the design phase of cleanup,
prior to the initiation of remedial construction, so that possible costly
delays will not be encountered. Property access should extend for the
duration of the cleanup and associated operation and maintenance, as
necessary.
2.5.2.2 Responsibilities
The responsibility for obtaining access to the site and adjacent
properties, as well as for all rights-of-way and easements necessary to
'imp 1 ement the remed i a 1 act i on is dependent on the 1 ead des i gn party and is
sumnlarized below. For Federal lead RD, the state or EPA ~ust assure the
:USACE that site access has been obtained prior to the USACE initiating
procurement activities for RA.
RC Lead
Responsibility
State
State
Responsible Party
--
Federal
State
Responsible Party
2.6
Commun~~elations Activities
A CorMnmity Relations Plan (CRP) should be revised to include any
changes in thp. 1evel of concern or information needs of the community during
design and construction activities. Community relations activities during
design and construction are discussed below, and pertain to Fund-financed
and private party projects.
2-24
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2.6.1
Objectives
The basic objectives of the Superfund community relations program
from remedial investigation through construction are as follows:
To gather information about the community. in which a site or
incident is located;
To inform the public of planned or ongoing actions;
To give the public the opportunity to be involved in .decision
making; and
To focus and resolve controversy.
: 2.6.2
Implementation Activities and Techniques
h
The implementation of an effective community relations program as
outlined in the Superfund Community Relations Handbook (Reference 4)
requires utilization of two-way communication. Community relations
techniques are selected to fit the needs of the site community as determined
by conducting on-site discussions. Small public meetings, fact sheets,
press releases, contact lists, door-to-door visits, local information
repositories and comment periods are some of the most effective techniques,
especially during the design process, to ensure that the public is involved
in the decision-making process.
Specific activities which must be conducted during the design stage
are the fo110wing:
Revise the site community relations plan to reflect knowledge
of citizen concerns and involvement at this stage of the
process; and
Prepare and distribute a public notice and an updated fact
sheet at the completion of engineering design.
2-25
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Specific activities to be conducted during the construction stage
cnuld be the following:
D€penciing on citizen interest at a site at this point in the
T€medial process, community relations activities could range
fron~ £ma 11 group meet i ngs to fact sheets on the techn i ca 1
status.
.
At the end of construction, a final document called a community
rel~t~ons review document is prepared. The purpose of this
rev:e~ is to evaluate the overall effectiveness of the
conlJunity relations program throughout the lifetime of the
pro:;ect. (Guidance on this review will be forthcoming.)
;~ . 6 . 3
Res pon sl b D...i ties
Responsibil'ity for amending the CRP and implementing community
relation activities is de~endent on the lead party for the RD/RA and is
'I)utl ined below.
RD/R~ Lead Amend CRP Implement CRP Provide Assistance
Federal EPA EPA State or USACE
State State State EPA
Respons i b '\ e Responsible Responsible EPA, Responsible Party
Party Party or Party 'or or State
EPA EPA
2.7. Cost Estimates For Construction
The importance of accurately estimating the costs for accomplishing
s'itE~-specific construction (i.e., remedial action) can not be over
emphasized. The eevelopment of an accurate total cost estimate is essential
in order to pr'ovice adequate funding for a remedial action SSCIIAG or CA,
and to determine State cost share. The following section discusses the
elements included in the total cost estimate for a remedial action, and
pertains only tc Fund-financed remedial actions.
2-26
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2.7.1 Estimated Cost of Project
The preparation of a high quality set of plans and specifications is
inadequate unless the project cost estimate is prepared to the same
standards. The process for developing an accurate project cost estimate is
discussed in Appendix B. The project cost estimate becomes more refined as
the design progresses from the ROD to the preliminary design to the
prefinal/final design. For most projectst the final project cost estimate
should be within +15% to -10% of the actual cost. The importance of the
accuracy of the final project cost estimate is magnified since estimates of
additional costs discussed in Sections 2.7.2 and 2.7.3 are based on the
project cost estimate.
2.7.2 Supervision and Administration (S&A) and Engineering
and Design ~ During Construction
Supervision and Administration (S&A) and Engine~ring and Design (E&D)
costs during construction must be 'established for each remedial action.
These costs are best represented as percentages of the project cost. The
following are percentages recommended to be used in e~timating costs.
8% S&A for contracts up to $2 tOOOt"OOO
6% S&A for contracts over $2tOOO~000
1.5% E&D for contracts up to $2tOOOtOOO
1.0% E&D for contracts over $2tOOOtOOO
The percentage used may vary even more for very small or very large projects.
2.7.3 Contingency Limits
A contingency fund should be established for each site-specific
remedial action project to cover unforeseen cost variances which may occur
before construction commences or during construction.
2-27
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;>.7.3.1
!i.'Lfont i ngency
The lowest responsive bid submitted during the procurement process
may exceed the pro~ject cost estimate due to complexity of the project,
changes in the bidding climate, etc. Bid contingencies are best represented
as a percentage of the project. cost. The recommended ~ount for a bid
contingency is 15% of the project cost.
?7.3.2 Change vrders and Claims
During construction, unforeseen site conditions, changes in estimated
quantities, project delays and other problems associated with the project
are likely to develop and lead to change orders and claims. A contingency
for change orders and claims is best expressed as a percentage of the
project cost. TI1e following percentages are recommended.
10% contingencies for contracts up to $2,000,000
8% contingencies for contracts over $2,000,000
1..7.4 Total Cost Estimate for Remedial Action Agreements
The total cost estimate to be used in developing SSCs should include
all costs discussed in Sections 2.7.1 - 2.7.3. The total cost estimate to
be used in obligating funds for CAs and lAGs should be the total cost less
the contingency for change orders and claims.
Any amount of the bid contingency not needed would be applied towards
the contingency for change orders/claims up to the recommended amount in
section 2.7.3.2. Any additional amount left in the contingency would be
deobligated or any amount still needed for change orders/claims will be
available from the Region's SCAP.
Example calculations for estimating the total cost for RA are
presented on the following page.
2-28
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Total Cost Estimate for lAG or CA
Estimated cost of project
S&A during construction (.06 x $3,500,000)
E&D during construction (.01 x $3,500,000)
Bid contingency or contingency for change
orders/claims (.15 x $3~500,OO)
$3,500,000
210,000
35,000
Tota 1
525,000
$4,270,000
Total Cost Estimate for sse
Total cost estimate for lAG
Contingency for change orders/claims
(.08 x $3,500,000)
. $4,270,000
Tota 1
280,000
$4,550,000
2-29
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3. .REMEDIAL ACTION
-------
3. REMEDIAL ACTION
3.1. Remedial Action Initiation
Following completion and approval of the RD package, action must be
taken to initiate remedial action (RA) activities. The type of agreement
used to initiate RA is dependent on the party that will implement the RA and
is discussed below.
3.1.1 Federal Lead Remedial Action
To initiate RA at a Federal lead site, the RPM works with the State
: to prepare and execute a Superfund.State Contract (SSC). The RPM and the
: State should refer to Chapters V ~nd VI of the State Manual for specific
information. Preparation of the SSC should commence during the RD phase of
the project with SSC execution occurring at the completion of RD.
Once the SSC is executed, the EPA Region should prepare and execute
a site-specific RA lAG with USACE-MRD. The RPM should forward copies of the
executed RA lAG to EPA HQ and USACE-HQ. Upon completion of procurement
activities (Section 3.2), USACE-MRD will initiate RA activities through the
appropriate USACE Construction District. The RPM will maintain oversight of
all RA activities. The process is outlined in Exhibit 3-1. A sample
site-specific RA lAG is included in Appendix A (Sample No.3).
3.1.2 State Lead Remedial Action
If the existing CA covers RAt no special action is required. If
this is not the case, the RPM should work with the State to amend the
existing CA for RA in order to initiate RA at a State lead site. The RPM
and State should refer to Chapters III and VII of the State Manual for
specific information and procedures. Exhibit 3-2 graphically depicts the
State lead remedial action process.
3-1
-------
EXHIBIT 3.'
FEDERAL LEAD REMEDIAL ACTION PROCESS
EPA RPM & STATE
PREPARE SSC
I
SSC EXECUTED
AT COMPlETIOI
OF REMEDIAL
DESIGI
I
~---
COPIES TO EPA RPM & USACE.MRD
EPA HO PREPARE & EXECUTE
USACE "0 SITE.SPECIFIC AA lAG
.
USACE DESIGN DISTRICT
CONDUCTS PROCUREMENT
ACTIVITIES (FIRM FIXED
PRICE CDNTRACTI
.
USACE.MRD INITIATES
RA ACTIVITIES OVERSIGHT BV EPA RPM
THRU APPROPRIATE
COISTRUCTION DISTRICT
I
USACE CONSTRUCTION
DISTRICT OVERSIGHT
AID MONITORING ADDITIONAL OVERSIGHT
COISTRUCTIDN TO -
EISURE COMPLIANCE BV EPUPM
WITH ENVIRON. AND
CONTRACTURAl REOMTS.
I
COITWACTOR
COMPLETES
CONSTRUCTION
I
PIIEflUl COMST. USACE CONS
COIFEREICE WITH PARTICIPANTS EPI REGION
CONTWACTOR STATE
I CDITRACTOR
PREFllAl PARTICIPANTS USACE CONS
IISPECTIDI EPA REGION
I STATE
USACE CONSTRUCTION CONTRACTO
DISTRICT PREPARES
PREFINAl IISPECTIDN
REPORT FOR SUBMISSION
TO EPA. REGION AND STATE
I
FIIAL IISPECTIOI USACE COlliS
AID
CERTIFICATION PARTICIP AIITS EPA REGIOI
. STATE
USACE CONSTRUCTION CONmCTOR
DISTRICT PREPARES FINAL
IISPECTION REPORT FOR
SUBMISSION TO EPA
REGION AND STATE
DlAll'tlO.lKr MAlAGEIL .
10 STAn: COIlTUCT EPi REGIOI
11M' CWS OF EKIIEEIIS - ACCEPTANCE OF
IOUIIIIVOI DIVISIIII COMPLETED PROJECT
OUL ACnOI STATE ASSUMES
&E1IC'f AIlllEEMEIT rIJj~~E~\~~D RA;ORT OIM RESPONSIBILITY
L ",",,"IES LIST
TIOI . ...IITEUICE 'unufii~ATE
.
DELETION OF SITE
fROM NPl
"CROIVMS KEY
Ill'll ..
IIC IIIUFV
uSACE80 u.s. A
-
-
IITIU
IATIOU
OPEU
I"
IoU
.1'1.
MIl
TRUCTION DISTRICT
TRUCTIDN DISTRICT
R
TRUCTION DISTRICT
-------
EXHIBIT 3.2
STATE L-EAD REMEDIAL AcnON PROCESS
CA COOPERATIVE AGREEMENT
RPM REMEDIAL PROJECT MANAGER
IPL IATIONAL PRIORITIES LIST
OIM OPERATIDII & MAIIlTENANCE
EPA RPM AND STATE
AMEND CA
IF NECESSARY
I
STATE CONDUCTS
PROCUREMENT ACTIVITIES
(FIRM FIXED PRICE
CONTRACT)
I
STATE OVERSIGHT
AND MONITORING OF
CONSTRUCTION TO ADDITIONAL OVERSIGHT
ENSURE COMPLIANCE - BY EPA.RPM
WITH ENVIRON. AND AND/OR DESIGNEE
CONTRACTURAl REOMTS.
I
CONTRACTOR
COMPLETES
CONSTRUCTION
I
PREFINAl CONST.
CONFERENCE WITH PARTICIPANTS EPA REGION
CONTRACTOR STATE
I CONTRACTOR
PRE FIlIAL PARTICIPANTS EPA REGION
INSPECTION STATE
I CONTRACTOR
STATE PREPARES
PRE FIlIAL INSPECTION
REPORT FOR
SUBMISSION TO
EPA
I
FINAL INSPECTION EPA REGION
AND PARTICIPANTS
CERTIFICA TIDN STATE
CONTRACTOR
I
STATE PREPARES FINAL
INSPECTION REPORT
FOR SUBMISSION
TO EPA
I
EPA ACCEPTANCE
OF COMPLETED
PROJECT
STATE ASSUMES O&M
RESPONSIBILITY
FIlIAL TECH. REPORT
PREPARED BY
STATE
I
DELETION OF SITE
FROM NPl
ACRONYMS KEY
3-3
-------
~.1.3 Responsible Party Remedial Action
Tne docu:l1ent of settlement issued by EPA where no trust fund monies
are involved will have covered RD and RA, and no special action is required
to initiate RA at a responsible party site. The process for responsible
party lead remedial action is shown in Exhibit 3-3.
3.1.4 Conflict of Interest
-,-'-
In thp. ~rccess of selecting a contractor for Fund-financed RA, the
Staie or EPA sh~11 evaluate whether there is a potential conflict of
interest based en any PRP involvement at the site. The EPA Region should
include a provision in all CAs and lAGs regarding contracts with PRPs.
Appendix F of the State Manual suggests specific language to be included in
a CA provfsion nnd suggests specific clauses to be included by the State in
any contract for services or construction. lAGs should contain a provision
consistent with Appendix F, stati~g the USACE will require interested
contractors t~ prDvide information and EPA will evaluate potential
conflicts. The USACE .should include a provision equivalent to Appendix F in
the contract for tonstruction.
3.2
Procurement Activities
The responsibility for procurement activities for Fund-financed
remedial action is dependent on the lead party for the remedial action
(RJ~). For Federal lead RA, the USACE will conduct procurement activities in
accordance with USACE procurement procedures. For State lead RA, the State
wi"!' conduct procurement activities in accordance with 40 CFR Part 339
Subpart E.
3.2.1 Advertise for Bids
~_:-
Procurumcnt for remedial action should be through a firm-fixed-price
contract, and should be by formal advertising to assure full and free
competition. Procurement by any means other than formal advertising must be
approved by thp. award official. The specifications are rigid and require
3-4
-------
. EXHIBIT 3.3
RESPONSIBLE PARTY LEAD REMEDIAL ACTION PROCESS
ACRONYMS KEY
RESPONSIBLE PARTY
OVERSIGHT AND
MONITORING OF ADDITIONAL OVERSIGHT BY
CONSTRUCTION TO -
ENSURE COMPLIANCE EPA.RPM OR DESIGNEE
WITH ENVIRON. AND
CONTRACTURAl REOMTS.
I
CONTRACTOR
COMPLETES
CONSTRUCTION
I
PREFINAl CONST.
CONFERENCE WITH PARTICIPANTS EPA REGION
CONTRACTOR STATE
I CONTRACTOR
RESPONSIBLE PA
PREFINAl PARTICIPANTS EPA REGION
INSPECTION STATE
I CONTRACTOR
RESPONSIBLE PAR
RESPONSIBLE PARTY
PREPARES PREFINAL
INSPECTION REPORT
FOR SUBMISSION TO
EPA
I
FINAL INSPECTION
AND PARTICIPANTS EPA REGION
CERTIFICATION STATE
I CONTRACTOR
RESPONSIBLE PAR
RESPONSIBLE PARTY
PREPARES FINAL
INSPECTION REPORT
FOR SUBMISSION TO
EPA
I
EPA ACCEPTANCE
OF COMPLETED
PROJECT
. RESPONSIBLE PARTY
ASSUMES O&M
FINAL TECH. REPORT RESPONSIBILITY
PREPARED BY
RESPONSIBLE PARTY
I
DELETION OF SITE I
FROM NPL
RTY
TV
TV
IPl IATlOIAl PRIORITIES LIST
OIM OPERATION I MAINTENANCE
3-5
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aDso~ute conformance. Sealed bids are required at a certain pl~ce, date,
and time and are publicly opened, read, and recorded. The bidder whose
pricf~ is lOt! and wluo is otherwise responsive and responsible is awarded a
c:ontract. The sGltcitation should require all proposals to explain how the
~rime contractor would utilize minority business enterprises and women's
tusiness enterprises.
~).2.2 Site I n.?j)ec:t '1 on
The USACE or State may deem it desirable, or mandatory in some cases,
f~ conduct a sitQ visit with the bidders in order to answer questions
l~egarding the de~ign or implementation. Copies of the RIfFS and the design
document will be made available for review during the procurement phase,
c!ither in the USACE Design District Office or in a local pUblic library.
3.2.3 Review of Bid Documents
This revie~ shall be limited to determining whether or not the bidders
are both ~s~nsiv~ to the requirements of the bid solicitation, (i.e. are
the bid bonds there in the proper form and amount, is the required insurance
bincJer provided, etc.); and responsible (i.e. does each bidder possess the
capability a~d experience as required in the solicitation to perform the
remf~dial action in a safe and timely manner at the price bid, is there any
potential conflict of interest, if RA involves off-site disposal does the
off~site facUity have RCRA compliance inspection, etc.)
The goverrJment bid review responsibility is dependent on the lead
design party and ~s sunmarized below. . For responsible party RA, the
responsible pi!rty has the primary responsibility for bid review and for
submitting t.hc:! bid documents for government review.
RD Lead
-='-,-
Government Review
Responsibility
Assistance
Feder~l
USACE
EPA alld State
State
State
EPA (USACE or EPA Contractors)
upon request}
Responsible Party
EPA
State (USACE or EPA
Contractors upon request)
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3.2.4 Bid Protests
Bid protests have the potential to significantly delay the RA.
Procedures for avoiding bid protests, and lodging and dealing with protests,
"should be consistent with 40 CFR Part 33 for State lead projects and with
USACE procedures for Federal lead projects. The key is often a complete and
well documented bid specification which clearly describes the work to be
performed and the responsive/responsible requirements.
3.3. Monitoring and Oversight
Records and reports maintained during these activities must be
adequately documented since they will be used in the" final certification of
a remedial action. Monitoring and oversight of construction activities are
discussed below, and pertain to Fund-financed and responsible party RA
except where noted.
3.3.1
Inspections
The responsibility for construction inspection is dependent on the
lead party for the RA and is summarized below.
RA Lead
Inspection
Oversight
State
State
EPA
EPA (USACE or EPA
Contractors upon request)
Federal
USACE
Responsible Party
Responsible Party
EPA (State, USACE, or EPA
Contractors upon request)
3.3.1.1
Full Time Inspector
During all on-site construction activities the party responsible for
inspection will provide a full time on-site inspector with expertise in
federal construction projects and proceedings. The on-site inspector shall
be authorized to stop all activities not in compliance with 3.3.1.2 and
3.3.1.3 below, or which endanger the health and welfare of on-site personnel
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and surrounding residents. For large sites or complex projects, additional
on-site inspector's may be required.
For Fund lead RA, construction oversight will occur at intervals
determined by the complexity of the project, by the EPA RPM on Federal lead
RA and the EPA RPM or USACE on 'State lead RA.
For respc)nsible party RA, construction oversight will be provided by
the EPA RPM or his designee (i.e. State or USACE) on an ongoing basis. The
document of settlement will specify the authority of the oversight personnel
in regards to construction activities.
:L3.1.2
Compliance with Environmental Requirements
Inspections should verify compliance with all environmental
~I'equirements ident'jfied in the contract. These inspections shall include,
but not be limited to air quality and emissions monitoring records, waste
disposal records (e.g., RCRA transportation manifests), etc. The inspector
also should ensure compliance with all health and safety procedures.
303.1.3 Compliance with other Contract Requirements
The inspector shall review all daily reports and construction
acttvities to verify that all work is in compliance with all contract
requirements and shall note and resolve all discrepancies immediately. The
EPA RPM can assist in resolving discrepancies upon request.
3.3.1.4 Revi~w of Contractor Reports
The on-site inspector shall review all
monthly, etc.} ~nd initial each. All comments
noted in the inspector's daily log.
reports (daily, weekly, and
on these reports should be
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3.3.2 Progress Reports to EPA
Detailed progress reports will be required throughout the duration
of the project. The progress reports will be prepared and submitted to EPA
-Regions and HQ in accordance with the following: '
RA Lead
Preparer
Frequency of Report
Federal
State
Responsible
Party
USACE
State
Responsible Party
Monthly
Quarterly
Monthly
The progress reports will be used by EPA to monitor the remedial
construction activities. The content of these reports will be sufficient to
.develop a chronological recora of all site activities and should include the
::following elements:
-------
3.3 .~t Conti~nc,LFund for Change Orders and Cl aims
This fund is available for unforseen site conditions and other
prob'lems with cleanup, containment, need for alternate disposal sites,
a,dditional $ampling or monitoring which develop and lead to change orders,
c,lairns, etco Prcblems which wo'uld alter ROD decisions ,are not subject to
~se of the contir:g€ncy fund and require HQ and/or Region approval. A site-
specific list of items not applicable to contingency fund use may need to be
{eve10ped as the project pr,ogresses. This section pertains only to
Fund-financed RA.
~).3.3.1
Federal Lead Remedial Action
The USAC[~ ~s reponsible for processing change orders and claims in
i;ccordance wi th USAGE procurement procedures.
The USAGE's project manage~ will be delegated authority to approve
imy change ordl~r up to 20% of the project contingency fund. Any change
order exceeding 20% of the contingency fund will require approval of the EPA
RPM. If 75% of thi total contingency is spent, the USAGE's project manager
'1il1 formally ~0~i1y the RPM in writing and state whether additional funding
uay roe necessaryo The USAGE's project manager must receive written approval
from the EPA RPM ii' order to exceed 75% of the project contingency fund. At
110 time will the USAGE exceed 100% of the contingency fund.
1.3.3.2 State L8ad Remedial Action
The stat8 is responsible for processing change orders and claims
~ith assistance and guidance from EPA, and in accordance with 40 GFR 33.
The contingency fund is available for change orders. States must
obtatin the RPM's verbal or written approval to draw down contingency funds.
In ~ddition, the State must conduct an administrative and technical analysis
of ~ll individual change orders exceeding $100,000 or when the aggregate of
change orders exceeds 10% of the contractual funds. The State must receive
::PA's approval of this analysis before the contingency fund can be used.
3-10
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EPA will consider funding claims management costs and claims
allowable to the project via an amendment of the existing CA.
EPA will provide more detailed information on change orders and
claims via an addendum to the State Manual in the near future.
3.4 Final Inspection and Closeout
As the project nears completion, roles and responsibilities of EPA,
the State, and where appropriate the USACE and responsible parties, must be
clearly defined to ensure proper project completion, approval, and
closeout. Final inspection and closeout activities are discussed below.
3.4.1
Prefinal Construction Conference
Upon preliminary project completion, a prefinal construction
~conference with the contractor is required for Federal lead remedial action
(RA) and recommended for State lead and responsible party RA. The objective
of the conference is to discuss procedures and requirements for project
completion and closeout. The conference will be scheduled and chaired by
the agency that has primary responsibility for construction inspection.
3.4.1.1
Participating Parties
The parties that participate in the prefinal construction conference
will vary depending on the lead party for the RA. In general, participants
should include the following:
Party
RA Lead
USACE
all leads
all leads
all leads
Federal lead (State and responsible party when
requested)
Responsible party lead
when requested
EPA-Region
State
Contractor
Responsible Party
Design AlE
3-11
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3.4.1.2 ~~~)~~Agenda Items
A list of suggested items to be covered at the conference includes
~ut is not lim~ted to:
F'inul O&M plan submission
. Clennup responsibilities
Demobilization activities
S(:!clJrity requirements for project transfer
Pre~inal inspection schedule
Facility startup and testing
Ope~ator training
j.4.2 Prefinal Inspection
A prefinal inspection will .be conducted upon preliminary project
completion for Federal lead, State lead, and responsible party RA.
3.4.2.1 Inspecting Parties
The prefinal inspection will be led by the agency that has primary
responsibility for construction inspection. The other parties involved in
the inspection will vary depending upon the lead party for the RA. In
general, participants should include all parties from the prefinal
construction corference.
3.4.2.2 Extent of Inspection
The p~e~iflal inspection will consist of a walk-through inspection of
the entire proj(~c~: site. The RPM and State should inspect the completed
site work to de'~e~mine whether the project is complete and consistent with
,
the contract documents and the EPA approved remedy. Any outstanding
construction items discovered doing the inspection should be identified and
noted by the RPM and State. Additionally, treatment equipment shall have
been operat1onallytested by the Contractor. The Contractor shall have
certified that the equipment has performed to meet the purpose and intent of
3-12
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the specifications. Retesting shall have been successfully compl~ted where
deficiencies were revealed.
3.4.2.3 Prefinal Inspection Report
Upon completion of the 'prefinal inspection, a prefinal inspection
report will be prepared and processed in accordance with the following:
RA Lead
Preparer
Submitted to
Federal
State
Responsible Party
USACE
State
Responsible Party
EPA, State
EPA
EPA, State
The prefinal inspection report should outline the outstanding
construction items, actions required to resolve items, completion date for
these items, and date for final inspection.
\
~~.4.3 Final Inspection and Certification
Upon completion of any outstanding constructio~ items,
inspection will be conducted for Federal Lead, State lead, and
,party RA.
a final
responsible
3.4.3.1
Inspecting Parties
The final inspection will be led by the agency that has primary
responsibility for construction inspection. The other parties will vary
depending on the lead ~arty for the RA. In general, participants should
include all parties form the prefinal inspection.
3.4.3.2 Extent of Inspection
The final inspection will consist of a walk-through inspection of
the project site. The prefinal. inspection report will be used as a
checklist by the RPM and the State, with the inspection focusing on the
outstanding construction items identified in the prefinal inspection. The
contractor1s demobilization activities should be completed, except for
3-13
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equipment and materials required to complete outstanding, construction items,
ct tl1e time of irspection. The RPM and State will confirm that all
cutstanding itf!m~ have been resolved. If any items are still unresolved,
the inspection sha~l be considered a prefina1 inspection requiring another
rrefina1 inspect"orl report.
:;.4.3.3 Fi~alJ!~)ection/Certification Report
Upon satjs~actory completion of the final inspection, a final
'~nspection/certi~ication report will be prepared and processed in accordance
\lith Section 3.4.2.3. The final report will briefly describe the
flutstanding cons~rJction items from the prefina1 inspection, indicate that
'~he items are sa~i~factorily resolved, and certify that the project is .
:omplete and con;istent with the contract documents and the EPA approved RA.
For respJnsibility party RA, the document of settlement may specify
jifferent final inspection/certification conditions.
3.4,,4 Acce.2.tanc~of Completed Project
The final inspection/certification report will be reviewed by the
RPM for state lead RA and by the RPM and State for federa] lead and
responsible party RA. If the RPM or RPM/State are satisfied that the remedy
is c;omplete and pErforming apequately, the Regional Administrator shall
provide wr~tten notice to the appropriate party of EPA's acceptance of the
completed project.
3.4.5 Operatior:--und Maintenance Assumption
The datf~ certified in the final inspection/certification report that
the project is (;oMplete and in accordance with the contract documents, is
the date wnen or~ commences.
F0r fJnli lead projects this is the date the State shall assume the
responsibilit,y '~o'.' O&M. If necessary, the RPM and State must either amend
the existing CA Ot~ develop a new CA covering O&M cost sharing. This CA
3-14
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should be processed as soon as reliable cost estimates for O&M are
available. and need not wait until final project completion. For
:responsible party projects. this .is the date the responsible party assumes
O&M responsibility.
3.4.6 Site Closeout and Post Mortems
EPA has issued interim procedures to be followed for closing out
sites at the completion of remedial actions and deleting or suspending sites
from the NPL. For selected sites. EPA may conduct a "post mortem" on the
remedial process involving the RIfFS contractor. the design contractor.
construction contractor. EPA staff from HQ and multiple Regions. State and
USACE personnel. The purpose of such a post construction briefing would be
to learn from the experience of the construction project so as to improve
: future projects.
3.4.6.1
Final Technical Report
Upon completion of a remedial action. a final technical report is
required to be prepared for state lead RA and recommended for Federal lead
and responsible party RA. This report will be used to judge the
effectiveness of the remedy and to assess whether criteria for deleting a
site from the NPL have been met.
The final technical report shall be prepared and submitted to the
RPM within 60 days after the effectiveness of the completed RA has been
confirmed through monitoring. The responsibility for preparing the final
report is dependent on the lead party for the RA and is summarized below.
RA Lead
Preparer
Copy to
Federal
State
Responsible Party
USACE and State
State
Responsible Party
State
3-15
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The final technical report will document that the project is
cons.istent w~th th~ contract documents, and that the remedy is performing
3de~uate1yo E1e~~nts to. be included in the final technical report are taken
from AppendiK F Jf the State Manual and include, at a minimum, the following:
.
Synnpsis of the wOrk defined in the SOW and a certification
that this work was performed
Explanation of any modifications to work in the SOW a~d why
these were necessary for the project
Listing of the criteria, established before the remedial action
~'as initiated, for judging the functioning of the remedy and
ex~l~nation of any modification to these criteria
Results of site monitoring, indicating that the remedy meets
the pierformance criteria
Exr:1~nation of the operation and maintenance (including
~Dr.itoring) to be undertaken at the site.
For Fedural lead projects, it is recommended that the USACE prepare
the sectio~s of the report concerning the construction project and that the
State prepare the sections of the report concerning performance of the
remedy after O&M has commenced.
3.4.6.2 Deletion of Site from NPL
~_.
The EPA Region can recommend deletion of a site from the NPL after
completion of a RA, if one of the following deletion criteria has been met:
EPi\, in consultation with the State, has determined that
responsible parties have completed all appropriate response
iictions
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EPA, in consultation with the State, has determined that all
appropriate Fund-financed response actions have been completed
and that no further cleanup by responsible parties is
appropriate.
For detailed information on the criteria and mechanism used to
delete sites from the NPL, the RPM should refer to the memorandum entitled
"Interim Ptocedures for Deleting Sites from National Priorities List." This
memorandum has been included in Appendix P of the State Manual.
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.APPENDIX A
SAMPLE tlSACE WORK AsSIGNMENTS
~ND INTERAGENCY AGREEMENTS
-------
SAMPLE NO.1
lAG FOR
FIRST PHASE DESIGN WORK
-------
P/~~se read InsiructJons o,;'j,.qes 4 .nd 5 ..,,--, ~-,' " - .... ". -,' .
us ENVIRONMENTAL PROTECTION AGENCY 1. lAG Identification Number 2. Funding Locallon by Region
WASHINGTON, DC 20460 *
INTERAGENCY AGREEMENT/AMENDMENT 3. Type of ActIon 4. Program Abbreviation
Part 1- GENERAL INFORMATION New Ag reemen t *
5. Name 8nd Address of E~A Or;8nl%.tlon 6. N.me and Address of Other Agency
* Department of Defense
U.S. Army Corps of Engineers (USACE)
Engineering Division, Missouri River
Omaha, Nebraska 68101-0103
7. Project Title
First Phase Design Work - FY 1985
8. EPA Project Officer (Name. Address. Telephone Number) 9. Other Agency Project Officer (Name, Address. Telephone Number)
* William Mulligan FTS/864-7227
USACE, En~ineering Division, Missouri River
P. o. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
10. Project Period 11. Budget Period
10/01/84 - 09/30/85 10/01/84 - 09/30/85
12. Scope of Work (Anach additional sheets, liS needed)
This agreement obligates no more than $ * and ~enera11y no more than $7,000 per
project to the USACE to initiate the selection of Architectura1/En~ineerin~ firms for
the engineering design phase of Federal lead remedial action projects. The USACE will
perform all action necessary to retain an AlE firm for en~ineering desiRn, inc1udin~
the followi~:
Phase 1 -
0 Synopsize requirement in Commerce Business Daily
0 Designate A/E pre-selection and selection boards
0 Develop AlE pre-selection list
0 Contact AlE firms to ascertain interest in project
0 Approve A/E selection list
0 Tentatively select A/E firm
J 13. Statutory Authority for both Transfer nf Funds and Project Activities 14. Other Agency Type
CERCLA. E.O. 12316 & the Economy Act of 1932, as amended (31USCI535) Fe der a1
FUNDS PREVIOUS AMOUNT AMOUNT THIS ACTION AMENDED TOTAL
I 15. EPA Amount *
, 16. EPA In-Kind Amount
17, C.her Agency Amount
~ 18. Other Agency In-Kind Amount
I 19, Total Proiect Cost *
20, Fiscal Information
Program Element FY Appropriation Doc. Control No. Account Number ObJect Class Obllgallon/ Deobllgallon Am!
TFAY9A 85 68/20X8145 * * 25.76 *
-
.
EPA Form 1610.1 (Rev. 8.84) PrevIous editions are obsolete.
Page 1 of 5 ...
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~'---'
lAG IOENTIFICA TION NO.
PAr;t'f I~ -. ~PPROVED BUDGET
---
~~
21. S'
Total hlmilltlon of
Eltlm"" Cost to Olte
I Pltson:'I'
b Frin . '1In.f)tl
C Travel -
d E UI ,,:!!!!...
I Su Iit'L-
f Procur"~ Allistaneo ---
Con.m~
1'1 Otl'ler -
i T01lllOi~'hlrQes
. Indirlct ~\: Aate
(It) Total
(EPA St:lte 100 %1 (Other Ac;encv Share 0 %1
- ._~
22. II 8CjUlprdent I;uthoflzed te<> tte furr:ilhed by EPA or acqUIt" With EPA funds?
(Idtniify ,iJ «1ui~.nt costing $ 1 .ono ('II' mor'l
$
. B!!.o
o
$ Breakdown not available.
Will be rov1ded as part of
request for reimbursement.
.
o Vel
$
~NO
--
-_._-
DYes
No (S.. It.m 21fJ
23 Are Iny nf tl'leae funds 1MJ1t1fj Ulee: or; eXtrlmurl1 loreements?
o Grlnt. [J ~'I~iV() J\orum.nt. or 0 Procurement
ConUiCtor !A8CI~ient Nam() (if leno.,;n)
Total EXtrlmural Al:nount Under Thll ProjeCt
Percent Funded by EPA (If know"J
--
PART 111- PAYMENT METHODS AND BillING INSTRUCTIONS
24.181 Dill!l:J,.."~ent Aor..""e"'1:
~(J Aeir"burMmen~
. C 1 Ad¥:Jnce
C'eqU8l1 for reimbursement of aCtual costs will be itemized on SF 1081 or SF 1080 and
oubmmed to the Financill Minioement Office. Env"onmental Protection Agencv. 26 West SI.
r;:1a". Cincinnltl. OH 45268:
e'MonthlY 0 Quanerly 0 Upon CompletIon of Work'
Only hlilable for UM by Federalagenci.. on wortinO ca~)ltal fund or with apelrOpfllte jUStlfiea.
\1ion of need fo' thil type of payment method. Unexpended funds It completion of woril Will oe
(."turned to EPA. QUlnarly coSt rlpons will be forwlrded to the Finlncial Mlnloement Office.
L:nvironmentll PrOtection Agency. 26 West St. Cia.,. Cineinati. OH 45268.
C] Allc:t:ltion Trlnsfvr
Used to trlnlfer oOIiOltionllauthority or transfer of function betWeen FederllagenCIIS. Must
crecelve prior ~rOVII by the Office of the Comptroller, Budget Oivillon. Budget Formulation and
_Control Brlnen. EPA HeldQuanars.
25. 0 Reirubursoment Agrcan1el,t
Other Agenl:t's ~G ldentificmlon Nu:nb:tr
BiliinO InstrUCtions and Frequency
--
-'-;--.0
Bilh,. Addr:>ss
-- -_..~
EPA Form 1810.1 (Rev, 8-841
PI;e 2 01 5
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-
PART IV - ACCEPTANCE CONDITIONS I lAG IDENTIFICATION NO.
26. Gen",.' Conditions:
The other agency covenants and agrees that it will expeditiously initiate and complete the project work for
which funds have been awarded under this agreement.
27. Speci.' ConcJitionl:
Work assignments for AlE selection will be inittated via a letter signed by the
-. * or his designee. The letter will
identify the particular site, provide the necessary account numbers, and describe any
adjus.tments, including increases in the site dollar ceiling ($7,000) and/~r chan~es
to the scope of work.
The USACE will initiate Phase I actions upon receipt of EPA authorization. Phase II
actions will not begin until EPA has notified the USACE of the .selection and approval
of a remedy and EPA aDproval of an Intera~ency Agreement for Phase II actions.
EPA acting as manager of the Hazardous Substance Response Trust Fund, requires current
informati~n on CERCLA response actions and related obligations of CERCLA funds for
these actions. In addition, CERCLA authorizes EPA to recover from responsible parties
all government costs incurred during a response action.
(See Attachment A)
'ert V - OFFER AND ACCEPTANCE
NOTE: 1) For disbursement actions, the agreement/amendment must be signed in duplicate and one original
returned to the Grants Administration Division for Headquarters agreements and to the appropriate
EPA lAG administration office for Regional agreements within 3 calendar weeks after receipt or within
.- any extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
, the address cited in Item 28 after acceptance signature.
-
Receipt of a wrinen refusal or failure to return the properly executed document within the prescribed
.. time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
agency subsequent to the document being signed by the EPA Action Official which the Action Officia I
determines to materially alter the agreement/amend~ent shall void the agreement/
amendment.
2) For reimbursement actions, the other agency will initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature. Tt'I~ 8greements/
amendments will then be forwarded to the appropriate EPA TAG administration office for acceptance
signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
EPA lAG AdminiStretion OHice (for 8dministrlti".lml~m.nt USIStlncl!) EPA Proorlm Office {ffN tKhnice/lsslstanCt}
28. Orglniutionl Address 29. Orpnizltionl Address
* *
Decision Offici., on aehalf of the Environmental Protection Agency Program Office
30. Signeture Typed Nlme Ind Title Dllt
*
Action Official on Behelf of the Environmental Protection Agency
I 31. Signature Typed N.me Ind Title Date
*
Authorizinc Ottici81 0" Behalf of the Other Agency
32. Sign8ture Typed Name and Title Date
I
EPA Form 1'10-1 (Rev. 8-84)
Page 3 of 5
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ATTACHMENT A
27. SPECIAL PROVISIONS (continued)
In order to help assure successful recovery of CERCLA funds, the USACE
shall maintain site-specific accounts and documentation of the following:
Employee hours and sa~ary (timesheets)
Employee travel and per diem expenses (travel authorizations, paid
vouchers, and treasury schedules)
Receipts for materials, equipment, and supplies
Any other costs not included in the above categories
In order to assist in the development and prosecution of a cost recovery
action, within three weeks from the date of a request from EPA or the
Department of Justice (DOJ), the USACE will provide to EPA or DOJ
site-specific costs and copies of the back-up documentation which supports
those costs. EPA and DOJ may periodically request updates of the costs and
documentation after the initial request. The USACE will provide EPA with. a
contact for obtaining such site-specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
USACE will provide access to its files concerning the project on an
on-going basis for EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USAGE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reimbursement is contingent upon receipt and approval by EPA of monthly
progress and financial reports by site, containing an accounting of funds
and status of activities.
The USACE will provide a letter report summarizing each AlE selection to
the Regional Technical Project Officer.
-------
Mr. William Mulligan
u.s. Army Corps of Engineers
Engineering Division, Missouri River
P. O. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
Dear Mr. Mulligan:
This letter serves to initiate a work assignment for the U. S. Army Corps
of Engineers (USACE) to select an architectural/engineering firm to design the
remedial action at the following superfund site:
The selected activities must be consistent with the Interagency Agreement
No. DW96******-01-0 between the USACE and the Environmental Protection Agency
(EPA). Funding for costs incurred while providing these services to EPA,
authorized under the au~hority of the Comprehensive Environmental Response,
Compensation and Liability Act of 1980 (CERCLA), is not expected to exceed:
$
Enclosed is the Phase I Design Authorization Form. This document contains
the necessary account numbers that apply specifically to this work assignment.
These numbers must be used on all financial and management reports.
Sincerely yours,
(Title)
Enclosure
cc:
Richard Ruhe
Noel Urban
Paul Nadeau
Ivery Jacobs
-------
AUTHORIZATION FORM FOR PHASE I DESIGN
AUTHORIZA~rION IS HEREBY GIVEN TO INITIATE THE FIRST PHASE OF DESIGN
WORK AS DI!:SCR:CBED IN lAG" DW96930***-Ol-O. THE FOLLOWING INFORMATION
IS PRO\1I.DI!:D FOR COST TRACKING PURPOSES:
SITE NAl".E
REGION
EPA SITE I.D. ..
HQ TECHNICAL PROJECT OFFICER
PHONE
REGIONAL SI'.rE MANAGER
PHONE
PERIOD OF PERFORMANCE
FROM
TO
--
ACCOUNTING INFORMATION
1 1 1 I .
1 I' 1 OBJECT I NOT TOI
OOCIDIEli!T 1 I SUPERFUND I CLASS 1 EXCEED~
CONTJlOI, tl;O. I lAG NO. 1 ACCOUNT NO. 1 CODE I AMOUNT
*!*I~I*I~I*IDlwI9161*1*1*1*1*1*loll Ol51TIF AI*I*I*INlo 012151716 1$1*1*1*1*
*1*1~1~1~1*IDlwI9161*1*1*1*1*1*lollloI5ITIFIAI*I*I*INI*\*12\51716 1$\*1*1*1*
I
I
I
1
DEOBLIGA1E FROM: I
OBLIGATE TO: I
(Title)
DATE
---
EPA PROJECT OFFICER
DATE
(individu31 who certifies funds)
DATE
Original tel:
Richard Ruhe, EPA
Cincinnati, OH
cc:
William l(ulligan, USACE
Noel U~b&n, USACE
Paul N~deau, EPA
Ive~y Jacobs, EPA, Room 3623M
Financiaj Reports and Analysis Branch
-------
SAMPLE NO.2
lAG FOR
DESIGN OF REMEDIAL ACTION
-------
. .",...... .~...... ...""................... ......,.,It6"~oI."".'\I"f'\I".....~-_..'- - .-. ~.~_...- ,,-........" ... ,..........
"". ....' .."
.
US ENVIRONMENTAL PROTECTION AGENCY 1. lAG Identification Number 2. Funding L'OCation by Region
WASHINGTON. DC 20460 *
.
INTERAGENCY AGREEMENT/AMENDMENT 3. Type of Action 4. Program Abbreviation
Part 1- GENERAL INFORMATION New Agreement *
S. Nt.me and Address of E~A Organization 6. Name and Address of Other Agency
. Department of Defense
u.s. Army Corps of Engineers (USACE)
I. Engineering Division, Missouri River
~ Omaha, Nebraska 68101-0103
I 7. Project Title
I Design of remedial action at .
8. EPA Project Officer tNeme. Address. Telephone Number). . 9. Other Agency Project Officer (Name. Address. Te/~hone Number,
William Mulligan FTS/8 4-7227
. USACE, Engineering Division, Missouri River
P. O. Box 103, Downtown Station
I Omaha, Nebraska 68101-0103
f 10. Project Period. I 11. Budget Period as project period)
* (same
12. Scope of Work (A ttech additional sheets. es naeded)
This Interagency Agreement obligates a total of $ * to the u.S. Army Corps of
Engineers (USACE) for.the design of remedial action at *
. (ID# * ). These funds are divided as
follows:
1. $ . for a contract to design the remedial action.
2. $ * for supervision and execution of the contract. Specific USACE
responsibilities are detailed in' the appended Scope of Work (Attachment A).
1'3. Statutory Authority for both Transfer of Funds and Project Activities as amended (31USC1535) 14. Other ADeney TYQe
CERCLA, E.O. 12316 & Economy Act of 1932, ederal
FUNDS PREVIOUS AMOUNT AMOUNT THIS ACTION AMENDED TOTAL
15. EPA Amount K
16. EPA In-Kind Amount
17. Cther Agency Amount
. 18. Otner Agency In.Kind Amount
19. Total Proiect Cost K
20. Fiscal Information
Program ~Iement FY Appropriation Doc. Control No. Account Number ObJect Class Obligatlon/Deobhgatlon Ami
TFAY9A 85 68/20X8145 * * 25.76 *
.
.
EPA Form 1610.' (Rev. 8.841 PrevIous editions are obso'ete.
Page' of 5
-------
PART H - APPROVED BUDGET
lAG 10ENTlFlCATION 1110
--
~
21.8:.1
Totall18ml18t.O" of
EStimated Cos, to Ol,e
-.-.--
$
II Person',el
b Ffln . :ienef Its
C Trlvel -
d E ui "~
e Su lir~,
f Procur..rnentI Assistanc.
ConStqei2!:1
h Other -
i TOtII D:!!£1j:hlrl1eS
. Indir8C~S' RI,e -_.!1JIs:e
, (It) Tota!
(EPA 5"I,e100 "I (O~1 A. ency Shire 0 %1
22. Is equcp:nen, authoflzed ~o [)e fur:'lis~ed by EPA or acqu"ed with EPA funds?
(I.ntify ,JI eqlJg"",enr COS8ina :J 1,COO Of ffKNe)
-._~
----
-,--
$
-,-,-
DYes
$
r8NO
23. Arfl Iny of thue fundS ~Jr.g ~Q 0" extrlmurll agre.men,s?
o Gran]. 0 C~rative AvrtOtnent. Of' £I Pfocurement
3ytS
o No (SH Item 211)
Contaetu/R":Ipient Nlm. (if feno:.!n)
UnknoU\
Totll Extramurll Amount Under This Pfoject
* (Estimate)
Percent Funded by EPA tif known}
100
.
PART 1/1 - PAYMENT METHODS ANO BILUNG INSTRUCTIONS
2. 8J Dil~u,..ment Agreement:
r~ RlimburHm.,nt
Request for reimbursement of aetual coSts will be itemized on SF 1081 Of' SF 1080 and
lubmlfted,o the Finlncla' Management Office. Env"onmental PrOtection Agency. 26 West St,
Cia", Cincinnati, OH 45268:
'g Monthly 0 Ouanerty
o Upon Completion of Work
I:J Ac~lnce
Only lveilablt for u.. by Federal agencies on working capital fund or with aPCJropfiate justifica.
tion ofne8CI for thiS type of plyment method. Un.aoenu"d fUnW_.1 \;Of.,,,:tuor. ~f ....~::': ~...;:::::
returned to EPA. OUlnerty coSt rapons will be forwar4ed to the FinanC'I! Mlnlgement Office.
Environmentll Protection Agency. 26 WeSt St, CII", ClnClnau. OH 45268.
UHd to ttlnsf., oDligltlonalluthority or t,.nsf., of function between FeelerllagtncllI, Mus!
t8C8ive prior Ipproval by the Offic. of the Comptroller. Budget OiY\llon. Budget Formulltlon Ind
Control Branch. EPA Heldquarters,
:J Allocation Tmnnier
25. 0 Anmbu7..m.nt AfjrNm.nn
Ot".r A;f:ncy'sIAG lc:lenu1lC1Jtion NUMber
Billing Instructions and Frequency
8illing Ad~rns
---- _..-:
EPA FOIIft 1.10.1 (Rev. 1.1£'1
Page 2 of S
-------
.
'ART IV - ACCEPT~NCE CONDITIONS I lAG IDENTIFICATION NO.
28. General Condition.:
The other agency covenants and agree. that it will expeditiously initiate and complete the project work lor
which funds have been awarded under this aareement.
27. Special Conditions:
Reimbursement is contingent upon receipt and approval by EPA of the monthly proRress
, and financial reports from the USACE described below and any other reports described
in the appended scope of work. The monthly pro~ress reports will be submitted to
(Re~ional P.O.) in EPA Re~ion ,(city) , (state) , and (Hq P.O.) in
EPA, Washington, D.C.
EPA acting as manaRer of the Hazardous Substance ~esponse Trust Fund, requires current
information on CERCLA response actions and related obligations of CERCLA funds for
these actions. 1n addition, CERCLA authorizes EPA to recover from responsible parties
all government costs incurred during a response action.
I
(See Attachment B)
'an V - OFFER AND ACCEPTANCE
NOTE: 1) For disbursement actions. the agreement/amendment must be signed in duplicate and one oriiinal
." returned to the Grants Administration Division for Headquarters agreements and to the appropriate
EPA lAG administration office for Regional agreements within 3 calendar weeks after receipt or within
'. any extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
~ the address cited in Item 28 after acceptance signature.
Receipt of a wrinen refusal or failure to return the properly executed document within the prescribed
time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
. agency subsequent to the document being signed by the EPA Action Official which the Action Official
determines to materially alter the agreement/amendm.ent shall void the agreement/
amendment.
2) For reimbursement actions. the other agency will initiate the action and forward two original
agreements/amendments to the appropriate EPA program office for signature. T~fI agreements/
amendments will then be forwarded to the appropriate EPA ~G administration office for acceptance
signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
EPA lAG AdmInIStratIOn Office (fM .mn,fI'Sf"riQlm ulist.nceJ EPA Program Office (for fKhflic"'SS'Sf'flCI!
28. Orpni<JOnl AddrKl 29. OrganIZ8tionI Address
* *
Deciaioft Offic;.t Oft 8eha" of the Environment" Protection Agency Proaram Office
30. Sigl\ltUre Typed Name Iftd Title Dat.
*
Action Official on Ie half of the Env1ronmentaf Protection Agency
31 . SieNture Typed Name and Title Date
*
Authorizinc Otfici8J on Ieha" of the 0th8f Agency
32. Signature Typed Na",. and Title Date
I~ '111
-------
REMEDIAL DESIGN
Scope of Work
SITE
[Name, City, State)
-
PURPOSE
The purpose of this assignment is to obtain assistance from
the U.S. Army Corps of Engineers (USACE) for the design of a
remedial action at the [site name).
BACKGROUND
[Briefly summarize the site in I or 2 paragraphs to include)
o [Location of site)
o [Brief history of operations, releases, response actions,
etc. ]
o [Quantity, types, and concentrations of hazardous substances]
o [Extent of contamination)
A Record of Decision (ROD) was signed by the [AA-OSWER or
RA] on [date] selecting [description of remedy] "as the cost
effective remedy for the [site name].
REMEDY
The remedy selected by EPA and the State of [state name]
includes the following components:
[List major components in bullet form]
WORK STATEMENT
The USACE will be responsible for:
1.
Developing the technical statement of work and awarding
and managing a contract to a private firm for the
design of [description of remedy]. The design package
will consist of the plans and specifications along with
[include as necessary -O&M Plan, QAPP, Site Safety
Plan, etc.).
2.
H~view of the design package in coordination with the
EPA-RPM at approximately 30%, 60% (if necessary),
95%, and 100% completion. Approval and acceptance of
final design, with concurrence from EPA.
3.
Providing other support to include [permit assistance,
community relations assistance, etc.].
4.
Reproducing design documents.
Specific USACE responsibilities are detailed in the
Superfund ~edial Design and Remedial Action Guidance.
-------
27. SPECIAL PROVISIONS (continued)
In order to help assure successful recovery of CERCLA funds, the USACE
shall maintain site-specific accounts and documentation of the following:
Employee hours and salary (timesheets)
.
Employee travel and per diem expenses (travel authorizations, paid
vouchers, and treasury schedules)
Receipts for materials, equipment, and supplies
.
Contr'act costs (paid invoices, treasury schedul~s and copy of the
contract)
Any other costs not included in the above categories
.
In order to assist 1n the development and prosecution of a cost recovery
action, within three weeks from the date of a request from EPA or the
Department of Justice (DOJ), the USACE will provide to EPA or DOJ
site-specific costs and copies of the back-up documentation which supports
thQse costs. EPA and DOJ may periodically request updates of the costs and
documentation after the initial request. The USACE will provide EPA with a
contact for obtaining such site specific accounting information and
documentation. This cost information and documentation must also be
available for audit or verification on request of the Inspector General.
USACE will provide access to its files concerning the project on an
on-going basis for" EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USACE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reporting requirments are as follows:
The USACE will provide the EPA with a completed signed SF 1080 and
monthly reports containing:
a.
USACE estimate of the percentage of project completed.
USACE estimate of dollars expended on the project to date.
b.
c.
Summaries of all change orders and claims made on the contract
during the reporting period. Attach copies of all change
orders as appendix.
Summaries of all contracts with representatives of the local
community, pubTic interest groups or State government during
the reporting period.
d.
e.
Summaries of all problems or potential problems encountered
during the reporting period.
f.
Projected work for the next reporting period.
-------
SAMPLE NO.3
lAG FOR
IMPLEMENTATION OF REMEDIAL ACTION
-------
P/~fS~ r.ad ,nsr~uc;,ons'o;';;~q"S 4-i;'i5-'-"'-~--" -~.....:...... -.....
. ~. ~ -'. - -.. . "4"'''''-' ... '" . .. --.. .
us ENVIRONMENTAL PROTECTION AGENCY 1. lAG IdentificatIon Number 2. Funding Locltlon by Regior
WASHINGTON. DC 20460
INTERAGENCY AGREEMENT I AMENDMENT 3. Type of Action 4. Program Abbreviation
Part I - GENERAL INFORMATION New Ap;reement *
5. Name and Address of E~A OrganizatIon 6. Name and Address of Other Agency
Department of Defense
* u. S. Army Corps of Engineers (USACE)
Engineering Division, Missouri River
Omaha, Nebraska 68101-0103
7. Project Title
Remedial action at *
8. EPA Project Officer (Name. Address. Telephone Number) 9. Other Aten~ pro~ ~fficer (Name. AddressslggP.ho9~ N~mberJ
Wi 1iam 1 igan FT 4- 2
* USACE, E~ineering Division, Missouri River
P. o. Box 103, Downtown Station
Omaha, Nebraska 68101-0103
10. Project Period 11. Budget Period proj ect period)
* * (same as
12. Scope of Work (Anach additional she"ts. as neededJ
This agreement obligates a total of $ * to the U.S. Army Corps of Engineers
(USACE) for implementation of the remedial action at *
* (EPA IDO * ).
I di vi ded as follows:
I
1. $ for implementation of the remedial action.
2. $ for supervision and execution of the contract awarded based on
I the Invitation for Bid (IFB). Specific USACE responsibilities are detailed
in the appended Scope of Work '(Attachment A).
,
13. Statutory Authority for both Transfer nf Funds and Project Activities as amended (31USC1535) 14. Other Agency Type
CERCLA, E.O. 12316 & Economv Act of 1932, Federal
FUNDS PREVIOUS AMOUNT AMOUNT THIS ACTION AMENDED TOTAL
1 S. EPA Amount K
16. EPA In-Kind Amount
17. C'her Agency Amount
18. Other Agency In-Kind Amount
19 Total Proiect COSt *
20. Fiscal Information
Program Elt!menl FY Appropriation Doc. Control No. Account Number Object Class ObllgatloniDeoblogatlon AmI
TFAY9A 85 68/20X8145 * * 25.76 *
-
.
EPA Form 1610- 1 (Rev. 8-84) PrevIous editions are obsolete.
Page' of 5
-------
_._-
pt\Rr II - APPROVED BUDGET
-_.
$
I p.,s1!!!!!!.
b Frin '. B."elitl
c TrllV\!!..-
d E ui')lnen'i ---~
e Su )Iie. --~
I'rClCI1refMnti A..istl ~o
Conr!D!S,!Dn
h Othl!..--
i TOtII Direc1 Chlraes
. !ndir(~~s: R.te __fLt'JIe
(ltl Tota]
IEPA Shl.o. 100 %) 10tl1er ency Shire 0 ,)
22, I. equ:pmem luthorlz()d to he furnished by EPA or Icquired with EPA funds1
(Identify .11 «juipmflnt c@sting , f.OOO or '".O'e)
$
-------
DVe,
$
ZlNo
lAG IDENTIFICATION NO,
ToWlltemization of
Estlmlted Cost to Dlte
D No(S.. hem 2")
gJ Ves
23, Are IllY of I.~'" funds b()ln; uned on extrimurillgrHments1
o Gn:nt. 0 COOCKJrltlve AJreement. or g Procurement
TOtI' Extrlmurll Amount Under Thi, Project
Percent Funded by EPA ftf known)
ContItC.tor/R~ipient NlJmo (If kr:own)
Unknown
(estimate)
PART 111- PAVMENT METHODS AND BILLING INSTRUCTIONS
*
----
100%
---
24 ~ CisounJ8lnent Agr
-------
PART IV - ACCEPTANCE CONDITIONS I lAG IDENTIFICATION NO.
26. General ConditIons:
The other Igency covenlnts Ind Igrees thlt it will expeditiously initilte Ind complete the projeCt work for
which funds hive been IWlrded under this lareement.
27. Special Conditions:
Reimbursement is contingent upon receipt and approval by EPA of the monthly pro~ress
reports from USACE described below and any other reports described in the appended scope
of work. The monthly progress reports will be submitted to (Re~iona1 P.O.) in EPA
IRegion . . . and (Hq P.O.) in EPA. Washington, D.C.
EPA acting as manager of the Hazardous Substance Response Trust Fund, requires current
linformation on CERCLA response actions and related obligations of CERCLA funds for
these actions. In addition, CERCLA authorizes EPA to recover from responsible parties
a11 government costs incurred during a response action.
~ (See Attachment A)
l
I Part V - OFFER AND ACCEPTANCE
~ NOTE: 1) For disbursement actions, the agreement/amendment must be signed in duplicate and one original
returned to the Grants Administration Division for Headquarters agreements and to the approporiate
.,.. EPA lAG administration office for Regional agreements within 3 calendar weeks after receipt or within
~ .- Iny extension of time as may be granted by EPA. The agreement/amendment must be forwarded to
the address cited in Item 28 after acceptance signature.
t ~ Receipt of a written refusal or failure to return the properly executed document within the prescribed
.. time may result in the withdrawal of the offer by the Agency. Any change to the agreement by the other
agency subsequent to the document being signed by the EPA Action Official which the Action Official
determines to materially alter the agreement/amendment shall void the agreement/
! amendment.
2) For reimbursement actions, the other agency will initiate the aCtion and forward two original
agreements/amendments to the appropriate EPA program office for sig~ature Tn@!! 8greements/
~ amendmentS will then be forwarded to the appropriate EPA TAG administration office for acceptance
I signature on behalf of the Environmental Protection Agency. One original copy will be returned to the
other agency after acceptance.
! EPA lAG AdmlnlStfition Office ((01 MJm",isr'ati"l/m~m~nt aSSIstance' EPA Program OHlce ((01 tKltnt(l/lsslstanee/
21. OrplUZltionl AddrISl 29. Orpruuttonl Adr:Iress
* *
I
~ .
, O8cilion Official on lehalf of the Environmental Prot8Ctioft Agency Proaram Office
130. Signature Typed Name.nd Tit" * Date
l Action OffICial on lehalf of tha Environmental Protection AGancy
13' . Signature -
Typed Nama and Titl. * Data
Authorizinc Official on 1ett.1f of the Other AGancy
32. Signature Typed Name and Titl. D.t.
I
EPA Form 1.10.' (Rev. 1.'41
P8;e 3 01 5
-------
REMEDIAL ACTION
Scope of Work
SITE
[Name, City, State]
.............
PURPOSE
The purpose of this ,assignment is to obtain assistance from
the U,S. Army Corps of Engineers (USACE) for ,the implementation
of a remedial action at the [site name].
BACKGROUND
[Briefly summarize the site in 1 or 2 paragraphs to include]
o [Location of site]
o [Brief history of operations, releases, response actions,
etc.]
o [Quantity, types, and concentrations of hazardous substances]
o [Extent of contamination]
A Record of Decision (ROD) was signed by the [AA-OSWER Qr
RA] on [date] selecting [description of remedy] as the cost
effective remedy for the [site name].
The remedial design (RD) for the remedy was performed by the
[USACE or other party].
REMEDY
The remedy selected by EPA and the State of [state name],
and detailed in the IFB includes the following components:
[List major components in bullet form]
WORK STATEMENT
The USACE will be responsible for:
1.
Conducting procurement activities for remedial action.
2.
Managing the contract for remedial action.
4.
Providing oversight and monitoring of construction in
coordination with the EPA-RPM, to ensure compliance
with all contract requirements.
Conducting final inspection and certification of
completed remedial action in coordination with the
EPA-RPM.
3.
Specific USACE responsibilities are detailed in the
Superfund Remedial Design~~Remedial Action Guidance.
-------
27. SPECIAL PROVISIONS (con~inued)
In order to t~e:p assure successful recovery of CERCLA funds, the USAGE
s,hall maintain s~te-specific accounts and documentation of the following:
o
Em?loyeo hours and salary (timesheets)
Employer. travel and per diem expenses (travel authorizations, paid
vouc.h(~r!;, and treasury schedu 1 es) . .
Receipts for materials, equipment, and supplies
Gontrac~ tosts (paid invoices, treasury schedules and copy of the
contrac~)
Any other costs not included in the above categories
In order to assist in the development and prosecution of a cost. recovery
action, with~n t~ree weeks from the date of a request from EPA or the
[)epa~rtment of Justice (DOJ), the USAGE will provide to EPA or DOJ
sitE!-Specific costs and copies of the back-up documentation which supports
~hoSie costs. EPA and DOJ may periodically request updates of the costs and
jocumentation after the initial request. The USAGE will provide EPA with a
:ontact for obtaining such site specific accounting information and
docllmentation. This cost information and documentation must also be
available for audit or verification on req~est of the Inspector General.
USAGE will ~rcvide access to its files concerning the project on an
on-going basis for EPA and DOJ examination to assist in cost recovery. As
original documents may be requested for cost recovery actions, USAGE will
provide EPA and DOJ access to the original documentation when requested.
USACE will notify EPA in advance of placing any project files in storage or
archives.
Reporting rcquirments are as follows:
The USACE w~l~ provide the EPA with the following reports:
1.
A comp~eted signed SF 1080.
2.
A monthly progress report containing:
a.
USACE estimate of the percentage of project completed.
USACE estimate of dollars expended on the project to date.
b.
c.
S'~Jl11i1Iaries of all change orders and claims made on the contract
d~ring the reporting period. Attach copies of all change
o~ders as appendix.
-------
3.
d.
Summaries of all contacts with representatives of the local
community, pubTTc interest groups of State go~ernment during
the reporting period.
Summaries of all problems or potential problems encountered
during the reporting period.
e.
f.
Projected work for the next reporting period.
Weekly telecon construction status update(s) to *
EPA, Region ~.
,
-------
APPENDIX B
ELEMENTS TO BE INCLUDED
IN THE REMEDIAL DESIGN STATEMENT OF WORK
-------
APPENDIX B
ELEMENTS TO BE INCLUDED
IN THE REMEDIAL DESIGN STATEMENT OF WORK
.
The objective of this Appendix 'is to provide guidance and clarification of
submission requirements for the Architect/Engineer (A/E) retained to provide
the final document package, which shall include all the required plans and
specifications, in response to the statement of work (SOW) issued for a
remedial design project.
B.l Plans and Specifications
The final construction plans and specifications prepared by the A/E to
accomplish the remedial action proposed in the SOW shall be required to
. comply to certain standards and submissions as outlined herein.
e.l.l Preliminary Design
Submission of the preliminary construction plans and specifications
shall reflect the A/E design effort at 30% completion. At this stage the
A/E shall have field verified the existing conditions of the site. The
preliminary design shall reflect a level of effort such that the technical
requirements of the project have been addressed and outlined so that they
may be reviewed to determine if the final design will provide an operable
and usable remedial project. Supporting data and documentation shall be
. provided with the design documents defining the functional aspects of ,the
. project. The initiation of construction drawings by the A/E shall reflect
organization and clarity. The scope of the technical specifications shall
be outlined in a manner reflecting the final specifications. The A/E shall
include with the preliminary submission design calculations reflecting the
same percentage of completion as the designs they support.
B-1
-------
B.1.2: Interm~iite Design.
Complex projett design may necessitate review of the design documents
b~twE~en the preli:ninary and the prefinallfinal design. At the discretion of
the design PO, a design review may be required at 60% completion of the
projf!ct. The intermediate design submittal should include the same elements
as the prefinal ~e5ign.
Ej.l.3 Prefin~/Fil1al Design
'The prefinill/f~nal construction plans and specification submission shall
r~flect 95% and 100% completion as outlined herein.
At 95% compl~t~on of design and after all checking and coordinating have
I:een completed by the AlE, prints shall be furnished to the design PO for
l'eview purposes. Marked prints andlor written comments will be returned to
f:he AlE for correc~ion of tracings. After corrections have been
~ncorporatedtth~ AlE shall furnish new prints of the corrected sheets and
~he original tracings. The AlE shall also return all the marked-up prints
as evidence that t~'1e plans have been completely checked.
Final specifications shall be submitted by the AlE for review when the
()vera" projf~ct is approximately 95% complete. After making any necessary
:orrections, the typed original speciifications shall be sent to the design
?O ~ith the complete design.
The desigr. analysis and design calculations will be furnished for review
nf prefinal desigr.. After making any corrections required, reproducible
sheets shall be submitted.
B.104 Estimated Cost'of Project
An estimate arod estimate summary sheet will be required with prefinal
design submittal (95 percent) and the final bid estimate. Une copy of the
quantity take off sheets, including the appropriate items, i.e., treatment
equipment, linetlr feet of piping, linear feet of wells, quantity of
B-2
-------
hazardous waste to be removed, etc., will be included with each estimate
submitted. All work items (mobilization, excavating, transportation of
hazardous waste, disposal costs, site containment/rehabilitation, etc.) will
be broken down into labor, material and plant. The A/E shall provide basis
for development of all unit prices used in the estimate. Unit prices,
overhead, and profit, and other such categories shall be shown as separate
items. The final (bid) estimate will be based on the advertised plans and
specifications including amendments. It will include any changes made by
the design PO during final design review, and should reflect current prices
for labor, material, and equipment. The final estimate must fit the
specifications bid form.and be submitted to arrive not later than 15 days
prior to the scheduled opening of bids.
B.l.5 Correlating Plans and Specifications
~ General correlation between drawings and technical specifications, is a
;basic requirement of any set of working construction plans and
specifications. Before submitting the project specifications, the A/E
shall: (1) Coordinate and cross-check the bid form, specifications and
drawings; (2) Complete the proofing of the edited specifications and
required cross-checking of all drawings and specifications. These
activities shall be completed prior to the 95% prefinal submittal to the
design PO.
B.l.6 Selection of Resource Conservation and Recovery Act (RCRA) Facilities
The A/E shall write into the remedial action plans and specifications a
requirement that the contractor shall submit certification that all
treatment, storage or disposal facilities proposed to be utilized by the
contractor for acceptance of hazardous substances have an applicable permit
issued by EPA (or an authorized state) or have applicable interim status
under section 3005(e) of RCRA (or the analogous state provision in an
authorized state). Additionally, the contractor shall submit certification
that each treatment, storage or disposal facility has received and passed, a
B-3
-------
~CRA compliance inspection within the past six (6) calendar months. (Addi-
'~iona1 requireme!1ts are forthcoming to address RCRA landfills, focusing on
~he effect of th~ ~CRA reauthorization.)
[1.1. 7 Complh~3 with the Requirements of Other Environmental Laws,
All app11cab'Ie or relevant standards and criteria identified in the
[~OD/EDD shall be analyzed and incorporated into the design by the A/E.
Spec:ific A/E responsibility shall include identifing the following: (1) The
}ermitting authority(ies); (2) Construction/operating permits required; (3)
TimE~ required by the permitting agency(ies) to process the app1ications(s);
(4) Fee scheduie including filing/application fees, emissions fees,
:ert:ification testing, etc; (5) Monitoring and/or compliance testing
~equirements; and (6) Actual agency regulations governing applications,
exemptionsp va.riances, etc.
At the design PO's discretion 'the A/E may obtain all required
app1ications for~s, complete all technical sections, and provide the
- partially completed forms to the design PO. The A/E shall notify the design
~O of any major discrepancies existing between the A/E SOW and the pollution
abatement criteria. Copies of all correspondence from permitting agencies
~hich either details permit requirements or indicates that no permits are
nec(~ssary, shull be furnished to the design PO by the A/E.
8.108 Equipment2tart-up and Operator Training
The A/E shall prepare, and include in the technical specifications
governing treat~ent systems, contractor requirements for providing:
appl~opriate service visits by experienced personnel to supervise the
installation, atjustment, startup and operation of the treatment systems,
and appropriate operational procedures training once the startup has been
successfully ilccomp1ished.
8-4
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B.2 Additional Studies
Remedial actions may require additional studies to supplement the
available technical data. At the direction of the PO for any such studies
required, the AlE shall furnish all services, including field work as
required, materials, supplies, plant, labor, equipment, investigations,
studies and superintendence. Sufficient sampling, testing and analyses
shall be performed to optimize the required treatment and lor disposal
operations and systems. There shall be an initial meeting of all principal
personnel involved in the development of the project. The purpose will be
to discuss objectives, resources, communication channels, role of personnel
involved and orientation of the site, etc. The Contractor shall submit an
. . .
interim report for the purposes of review when he is approximately 90%
.complete with the testing. The interim report shall present the results of
the testing with the recommended treatment or disposal system (including
options). The report shall includ~ economic analyses of the various
:alternatives. A review conference shall be scheduled after the interim
:report has been reviewed by all interested parties. The final report of the
~testing shall include all data taken during the testing, a recommendation
for a facility to most efficiently provide the treatment or disposal system
and a cost estimate of such a facility. .
B.30peration & Maintenance Plan
Remedial actions vary greatly in scope. However, in most instances,
there is a requirement for some degree of regular operation and maintenance
. activity associated with the completed project. An Appendix to the State
Manual will be prepared which discusses the basic elements to be included in
an Operation and Maintenance (O&M) Plan. Appropriate elements are listed in
Exhibit B-1 and should be used by the AlE as a guide in preparing the
site-specific O&M plan. An initial draft O&M Plan shall be submitted by the
AlE to the design PO for review and approval with the prefinal design
documents. After making necessary corrections, the AlE shall submit the
final draft O&M plan with the final design documents. The O&M plan will be
finalized and submitted by the Construction contractor at the prefinal
construction conference.
B-5
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EXHIBIT B-1
Basic Element.s of Operation and Maintenance Plan
A.
B.
c.
Description of Normal Operation and Maintenance
1 .
Description of tasks for operation
2.
Description of tasks for maintenance
3.
Description of prescribed treatment or operating
conditions
40
Schedule showing frequency of each O&M task
Description of Potential Operating Problems
10
Description and analysis of potential operating problems
20
Sources of information regarding problems
3.
COnlnon remedies
D~scription of Routine Monitoring and Laboratory Testing
1.
Description of monitoring tasks
2.
Description of required laboratory tests and their
interpretation
~
"'.
Required QA/QC
4.
Schedule of monitoring frequency and when, if so
provided, to discontinue.
B-6
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EXHIBIT B-1 (Cont'd)
D.
Description of Alternate O&M
1.
Should systems fail. alternate procedures to prevent
undue hazard
2.
Analysis of vulnerability and additional resource
requirements should a failure occur
Eo
Safety Plan
F.
G.
1.
Description of precautions. of necessary equipment. etc..
for site personnel
2.
Safety tasks required in event of systems failure (May be
linked to site safety plan developed during remedial
responses)
Description of Equipment.
1.
Equipment Necessary to plan
2.
Installation of monitoring components
3.
Maintenance of site equipment
4.
Replacement schedule for equipment and installed
components
AlE also shall prepare an O&M annual budget which should
include but not be limited to the following:
1.
Cost of personnel
B-7
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H.
EXHIBIT B-1 (Cont'd)
2.
Costs of preventive and corrective maintenance
3.
Costs of equipment, supplies, etc.
4.
Costs of any contractual obligation (e.g., lab expenses)
5.
Costs of operation (e.g., energy costs, etc.)
Records and Reporting Mechanisms Required
1.
Daily Operating Logs
2.
Laboratory Records
3.
Records for Operating Costs
4.
Mechanism for reporting emergencies
5.
Personnel and maintenance records
6.
Monthly/Annual Reports to State agencies
B-8
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8.4 guality Assurance Project Plan
The AlE shall prepare a site-specif1c Quality Assurance Project Plan
(QAPP). The plan will include a precise description of the project and
. scope of work. The QAPP must ~rovide guidelines for project organization
and responsiblity including identification of quality control and quality
assurance responsibilities for the construction contractor. lead design
party. and other appropriate agencies during remedial construction. In
addition. the QAPP will define quality assurance objectives and other
appropriate elements to be included in the plan based on information
provided by the design PO. The plan shall later be used as a guide by the
contractor to develop a Contractor Quality Control Plan (CQCP) which must be
approved by the design PO before Notice to Proceed is given. More specific
guidance will be given to the AlE if more specific information or detailed
testing procedures are known by the design PO and are considered necessary.
A detailed discussion of elements to be included in a State lead QAPP are
discussed in draft Appendix L of the State Manual. QAPPs for federal lead
and respo~sible party projects should be consistent with the guidelines of
Appendix L. A draft QAPP shall be submitted by the AlE to the design PO
with the prefinal design documents. After making necessary corrections the
AlE shall submit the final QAPP with the final design documents.
8.5 Site Safety Plan
An important aspect of this project. both during design and
construction. is the health and safety of the individuals who will be on
site. The AlE responsible for the design of this project shall review the
project information provided and develop specifications for a Site Safety
Plan (SSP) that are sufficient to protect on-site personnel from the
physical. chemical. andlor biological hazards particular to the site. The
specifications will describe the minimum health. safety and emergency
response requirements for which the construction contractor will be made
responsible. and which must be included in the SSP developed by the
contractor. EPA is developing an outline for a SSP which will be included
in Appendix M of the State Manual. In the interim. the suggested outline
8-9
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presented in Exhibit B-2 should be used as a guide by the AlE in developing
specifications for the SSP. Draft SSP specifications shall be submitted by
the AlE to the design PO with the prefinal design documents. After making
necessary corrections, the AlE shall submit the final SSP specifications
,~ith the final design document.
To ensure consistency with appropriate EPA, OSHA and State health and
safety requir'ements, the following reference list can be used as guidance in
developing the SSP.
CERCLA sections l04(f) and 111{c){6)
EPA Order 1440.2 - Health and Safety Requirements for Employees
~ed in Field Activities
EPA Order 1440.1 - Respiratiory Protection
.
EPA Occupational Health and Safety Manual
EPA_Interim Standard Operating Safety Guide
(September 1982)
Part 1910 of 29 CFR revised 1 July 1982, OSHA Standards for General
In~~stry
NIOS~, (National Institute of Occupational Safety and Health)
Manual of Analytical Methods, Volumes I-VII
Thr'eshold Limit Values (TVL) for Chemical Substances and Physical
. Agents in the Work Environment with Intented Changes Adopted by
ACGIH (American Conference of Governmental Industrial Hygienists),
latest edition
ANSI Z 88.2 - 1980, American National Standard, Practices for
Respiratory Protection
B-10
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EXHIBIT B-2
Suggested Outline for Site Safety Plan
1. The purpose of this section is to describe the information that should
be addressed in each SSP and tailored, to the extent information is
available, to each site.
2. Describe the site and known hazards and risks
[same as existing discussion]
identify general quantities
emphasize the importance of site description
3. Delineate work areas
designate where work functions occur narratively and with site map
define- limitation to work areas
(i.e. tools, equipment that is not approriate for use in IDLH
atmospheres)
4.
Identify site control procedures
identify procedures to control site access for non-work party
members
describe (include map) work zones
5. Describe air surveillance procedures
describe procedures and instrumentation use to monitor for worker
safety
[air surveillance strictly for site characterization should be
described in a site study plan]
6. Designate levels of protection
describe it for each specific work function
explain why level selected
describe any modifications, supplements to selected levels
7.
Describe decontamination procedures
for people, sample bottles, field equipment, cars/drill rigs
describe what will be done with spent decon solutions
B-11
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EXHIBIT B-2 (Cont'd)
8. Discuss proc€d~res, arrangement for weather-related problems
discu~s provisions for dealing with heat, cold, storms etc.
discuss provisions fo~ shelters, rest areas, fluid rejuvenation etc.
9. Describe act':on plan for a site emergency
persons to contact
locat'ion and map, if necessary, to nearest phone
locat'ion and map, if necessary, to nearest hospital or doctor
phone numbers of emergency contacts
(r~scue9 Dolice, fire, explosive experts, etc.)
ho~ to ra~)idly evacuate workers,
how to ra~idly evacuate nearby residents.
situation when emergency procedures become applicable [include here
a reference to the example in threshold for response]
iO. Identify res)o~sibilities for implementing SSP
contractor's responsibilities
construction inspector's responsibilities
8-12
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.
Air Sampling Instruments for Evaluation of Atmospheric
Contaminants, 6th edition, 1983, American Conference of
Governmental Industrial Hygienists.
Appropriate State health and safety statutes
8.6 Architect/Engineer Services During Construction
The agency responsible for accomplishing a remedial action may deem it
desirable or perhaps even necessary that the A/E preparing the.plans and
specifications take an active role in the on-site remedial action
(construction) work. Following are guidelines for consideration in
utilizing A/E services during construction.
8.6.1 Review Construction Contractor Submittals
~
The A/E shall check all shop drawings and calculations submitted by the
Construction Contractor. The A/E is responsible for complete review and
check of the construction shop drawings submitted by the Construction
contractor for compliance with the requirements of the contract plans and
specifications. The preparation of all shop drawings is the responsibility
of the Construction Contractor. If submittals are incomplete or are
insufficient to perform review, the construction PO shall be notified
immediately for instructions. If deficiencies or errors in the plans and
specifications become evident in the process of review and checking of the
submittals, the A/E shall notify the construction PO who will determine the
course of action to be taken. .
8.7.2 Attend Conferences and Visit Project Site
The A/E as and when requested in writing by the construction PO, shall
furnish technically qualified Architects and/or Engineers to attend
conferences and/or visit the project site before or during construction.
These services will include writing of reports and/or preparation of
required cost estimates upon return to the A/E office.
8-13
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B~7.3. Provi~e Figld Representative
The A/E sh,\ll provide a Field Representative to perform in general the
fnllowing:
o
Advise the contruction PO on engineering interpretation of the
facil~ty plans and specificiations
Assist thp. construction PO in interpreting impact on the design of
proposea changes and preparing sketches and/or revised drawings in
a tim~l~ manner to aid in the preparation of construction contract
modificat'ions.
Assist ~h~ construction PO and AlE's main office staff in resolving
design ~rDblems associated with interpretation of contract plans
'and spetifications. . .
Document design field chahges tht occur during construction.
.
F~cility start-up testing shake-down
Oper~tcr training
8-14
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APPENDIX C
LIST OF ACRONYMS
-------
LIST OF ACRONYMS
"AA
A/E
CA
CQCP
CRP
E&D
EDD
EPA
EPA..HQ
FS
lAG
MOU
NPL
O&M
OSHA
OSWER
PO
PRP
QAPP
RA
RCRA
RD
RD/RA
RI
RI/FS
RPM
ROD
S&A
SCAP
SSC
SSP
SOW
TLV
TSD
USACE
USACE..MRD
Assistant Administrator
Architect/Engineer
Cooperative Agreement
Contractor Quality Control Plan
Community Relations Plan
Engineering and Design
Enforcement Decision Document
Environmental Protection Agency
EPA Headquarters
Feasibility Study
Interagency Agreement
Memorandum of Understanding
National Priorities List
Operation and Maintenance
Occupational Safety and Health Administration
Office of Solid Waste and Emergency Response
Project Officer
Potentially Responsible Party
Quality Assurance Project Plan
Remedial Action
Resource Conservation and Recovery Act of 1976 (PL..94-580)
Remedial Design
Remedial Design/Remedial Action
Remedial Investigation
Remedial Investigation/Feasibility Study
Regional Project Manager (EPA)
Record of Decision
Supervision and Administration
Superfund Comprehensive Accomplishments Plan
Superfund State Contract
Site Safety Plan
Statement of Work
Threshold Limit Value
Treatment, Storage and Disposal Facility
U.S. Army Corps of Engineers
USACE-Missouri River Division
... ~
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. "'APPENDIX 0
6l0SSARY OF, TERMS
-------
APPENDIX D
GLOSSARY OF TERMS
This appendix provides definitions of selected terms used throughout the
text. It is not intended to be comprehensive in nature; rather, it attempts
to highlight some of the ter~s commonly used in the Superfund remedial
program. Statutory definitions have been quoted for those terms defined in
CERCLA, while other definitions have been taken from appropriate EPA
regulations, guidance, and publications.
~ Bidability: Refers to the inclus~on of all necessary elements and
specifications of a design package to enable solicitation and procurement of
a construction contractor.
Change Orders: A change order is a written order issued by the State or
USACE to its contractor authorizing an addition, deletion, or revision.
Change orders are appropriate when the terms of the contract between the
recipient and one of its contractors must be altered to make a change in the
work within the general scope of the contract as a result of changes in
specifications, time, method or manner of performance of the work, services,
site or recipient-furnished facilities, equipment or materials.
Such changes must be within the general scope of the contract. The goal of
a change order is to leave the contractor in the same relative profit/loss
situation it would have encountered under the original contract award.
Cardinal changes or changes which substantially alter the scope of the work
under the contract may not be appropriate for change order but may require
readvertising for new bids or proposals.
D-1
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~;lai'.!!i: A claim is a request by a contractor for additional time and/or
fees that has been rejected by the State or USACE. Rejection of a change
order may 1ead to a contractor claim in which the contractor asserts that,
by e~ither action or inaction on the part of the recipient, a change was made
in t.he contract requirements which affected the contract time and/or price
and caused the contractor to perform in a manner different form that
required by the existing contract. Significant changes which may alter the.
remedy approved in the ROD require EPA headquarters approval.
Co~nunity Rela~~: A plan for addressing local citizens' and
officials' concerns about a hazardous waste site and for integrating
com~unity relations, activities into the technical response at a site. The
CRP should he'lp prevent disruptions and delays in response actions and
partially fulfill the NEPA requirement for public notification and
participation. Each CRP should include a description of the background and
history of the site and community ~oncerns about the site; objectives of the
sit.e-specific community relations .program; specific techniques to be used to
achieve those objectives; and a work plan, schedule, budget, and designation
.of staff who will be responsible for the program.
Constructabil~: Refers to the technical feasibility of a design from an
engineering perspective.
Cooperative Agreement (C/At: An assistance agreement whereby EPA transfers
money, property, services, or anything of value to a State for the
accomplishment of certain remedial activities, subactivities, or tasks, as
authorized by CERCLA. It assumes a significant Federal involvement in the
State's per'forrnance of these activities. The remedial Cooperative Agreement
pr'ovides general information about the project, such as the approved budget,
and any specific conditions applicable to the project. It also documents
any required CERCLA section 104(c)(3) assurances.
~~viation Re~es!: An official written request to allow a deviation from
EPA's General Regulation for Assistance Programs (40 CFR 30). One example
of a situation requiring a deviation request would be the need to incur
costs at a site prior to the execution of a Cooperative Agreement.
0-2
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Enforcement Decision Document (EDD)~ Refers to the documentation of the
. Agency's decison-making process for approving remedial actions to be
implemented by responsible parties, showing consistency with CERCLA and the
NCP and supplementing the feasibility study if necessary.
Engineering and Design (E&D) after Contract Award: E&Dafter contract award
is engineering and design support during the construction/cleanup phase of
the project. This support is provided by the design Architect-Engineering
or in-house USACE or State personnel and can consist of the following:
Preparation of design modifications due to design deficiencies,
unforeseen site conditions, client request, or changed criteria.
.
Site visits and attendance at meetings or conferences.
~Federal Lead: Means that the EPA has primary responsibility for planning
~ and conducting either part of or an entire removal or remedial action.
Feasibility Study: A study intended to 1) evaluate alternative remedial
actions from a technical, environmental, and cost-effectiveness perspective,
2) recommend the cost-effective remedial action, 3) prepare a cost estimate
for budgetary purposes, and a preliminary construction schedule.
Interagency Agreement (IAGt: A written agreement, enforceable by law,
between EPA and another agency (Federal, State, or local) where goods and/or
services are provided, whether or not in exchange for monetary
reimbursement, or where policy agreements are delineated. lAGs for CERCLA
activities may function both as obligating documents and as reporting
documents necessary for EPA financial and program management.
Memorandum of Understanding ~: An agreement between EPA and another
agency (Federal, State, or local) that sets forth basic policies and
procedures governing their relationship on matters of mutual interest and
responsibility. There is no exchange of funds under this type of
agreement. In the context of this document, an MOU usually refers to one
0-3
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1 ype of agreement Hhich may be negotiated between EPA and a State to
I!ndertake E?A-Ietld remedial planning subactivities.
J~ational Conting'~(:y Plan (NCP).40 CFR Part 300: Officially known as the
~ational 011 and Hazardous Substances Pollution Contingency Plan. outlines
the responsibilities and authorities for responding to releases into the
!nvironment of hazardous substances and other pollutants and contaminants
under the statutory authority of CERCLA and section 311 of the Clean Water
Act (.CWA).
National P~i£~if~ List: A list of the highest priority releases or
potent i a 1 re 1 aaf;e~; of hazardous substances, based upon State and EPA
regional submis;ions of candidate sites and the criteria and methodology
cortained in th3 Hazard Ranking System (HRS), in order to allocate funds for
remedial lAnd planned removal actions.
~~ration ~~(Lfaintenance (O&M): Refers to the requirement for continued
pel~formance of ac.tivities, as necessary, at a site after the completion of
remedial act'jor or construction to ensure the sustained effectiveness of the
.applied r2JT:edy"
Project Cffl~: (PO): The official designated by the lead party for RD or
RA who ccordin~t!s, monitors and manages RD or RA activities for the site.
RE;cord of DEfision (ROD): Refers to the documentation of the Agency.s
decision~making process for approving Fund-financed remedial actionsp
showing consis:tency with CERCLA and the NCP and supplementing the
feasibil'ity stuciy if necessary. The ROD supports future cost recovery
act ions at ~:hf~ ~; i te.
Bemedial Acti(~~: A subactivity in remedial response involving actual
impleme"tatio~, following design, of the selected source control and/or
eff-site remejial measure.
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Remedial Design (RD): A subactivity in remedial response where the selected
remedy is clearly defined and/or specified in accordance with engineering
criteria (i.e., a site action plan, a relocation plan, or engineering
drawings and specifications) in a bid package, enabling immediate
implementation of the remedy.
Remedial Investigation (RI): The portion of a subactivity in remedial
response involving an investigation to gather the data necessary to: (a)
determine the nature and extent of problems at the site; (b) establish
remedial response criteria for the site; (c) identify preliminary
alternative remedial actions; and (d) support the technical and cost
analyses of the alternatives. (The entire subactivity is known as "remedial
investigation/ feasibility study.")
Remedial Project Manager (RPM): The designated EPA Regional official who
coordinates, manages, and monitors site activities covered in both EPA ~nd
~ State~lead remedial response agre~ments.
:' Remedial Response: A series of activities and subactivities intended to
provide permanent resolution of a release or potential release of a
hazardous substance from a site. Remedial response generally includes the
following sequence of subactivities: , remedial investigation/feasibility
study, remedial design, remedial action, and operation and maintenance.
Remedy (statutory definition): [An action] consistent with permanent remedy
taken ... in the event of a release or threatened release of a hazardous
substance into the environment, to prevent or minimize the release of
hazardous substances so that they do not migrate to cause substantial danger
to present or future public health or welfare or the environment. The term
includes, but is not limited to, such actions ... as storage, confinement,
perimeter protection using di'kes, trenches, or ditches, clay cover,
neutralization, cleanup of released hazardous substances or contaminated
materials, recycling or reuse, diversion, destruction, segregation of
reactive wastes, dredging or excavations, repair or replacement of leaking
D-5
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containers, cellection of leachate and runoff, on-site treatment or
inc'ineration, provision of alternative water supplies, and any monitoring
reasonably required to assure that such actions protect the public health
and welfare and the environment.
Responsible P'!!:t.l (statutory d~finition): [Includes] ,(1) the owner 'or
operator of a vessel (otherwise subject to the jurisdiction of the United
States) or a facility, (2) any person who at the time of disposal of any
hazardous substance owned or operated any facility at which.such hazardous
substances were disposed of, (3) any person who by contract, agreement, or
otherwise arranged for disposal or treatment, or arranged with a transporter
fo,' transport for disposal or treatment, of hazardous substances owned or
possessed by such person, by any other party or entity, at any facility
owned or operated by another 'party ,or entity and containing such hazardous
substances, and (4) any person who accepts or accepted any hazardous
substance for transport to disposal or treatment facilities or sites
selected by such person, from which there is a release, or a threatened
.release which causes the incurrence of response costs, of a hazardous
substance, [the responsible party] shall be liable for -- (A) all costs of
removal or remedial action incurred by the United States Government or a
State not inconsistent with the National Contingency Plan; (B) any other
necessary cests of response incurred by any other person consistent with the
National Contingency Plan; and (C) damages for injury to, destruction of, or
loss of natural resources, including the reasonable costs of assessing such
injury, destruction, or loss resulting from such a release.
Responsible Party Lead: Means a private party (owner, operator) has primary
responsibility for planning and conducting a remedial action.
~cope of Wo.rk,:' The element of a Federal lead remedial planning agreement
which generally outlines the subactivities, tasks, and subtasks to be
undertaken at the site. The scope of work also provides general information
on the objectives of the project.
D-6
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Site (also refers to a hazardous substance site or a hazardous waste site):
'An area or a location at which hazardous substances have been stored,
treated, disposed, placed, or otherwise came to be located. This includes
all contiguous land, structures, other appurtenances, and improvements on
the land used for treatment, storage, or disposal of hazardous substances.
A site may consist of several treatment, storage, or disposal facilities
(e.g., impoundments, containers, buildings, or equipment).
'State Lead: Means the State has primary responsibility for planning aD
conducting a remedial action.
State Letter of Request: The letter, sent from the administrator of the
State pollution control agency to an EPA Regional Administrator, requesting
EPA action at a waste site. A letter of request can initiate only EPA lead
remedial planning activities. The letter must refer to and generically
~approve the required remedial subactivities, agree to participate in
rimplementing the Community Relations Plan, designate a State Project Officer
~for the project, and state that State officials will meet with EPA personnel
~to exchange site and project information.
State Project Officer (SPO): The designated State official responsible for
direct management of the activities covered in a Cooperative Agreement or
for ensuring that the State carries out responsibilities defined i~ an EPA
lead remedial response agreement.
Statement of Work (Sowt: The element of a remedial response agreement that
specifies in detail the subactivities, tasks, subtasks, and objectives to be
performed pursuant to that agreement. The SOW should contain salient points
regarding the background of the release or potential release, problem
definition, purpose of the work, and a description of the services to be
performed.
Stop Work Order: A form prepared by an Ordering Officer,
Contracting Officer requiring the contractor to stop all,
the work called for in a Delivery Order.
05C, or
or any part, of
D-7
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~:Jper'fund St!.te C~ntract (Ssct: A bilateral contract between EPA and a
S'LatE! that is legally binding on both parties. The SSC is not a procurement
cnntJ'act, but is used to document EPA and State responsibilities and to
obta"jn any fletE~Ssary State assurances for EPA-managed remedi al responses 0
P,n SSC is aDpropriate for any EPA lead remedial implementation subactivities
~hich require State cost-sharing.
1)upervision and Administration (S&At: S&A consists of supervision and
ddministration 01 the construction/clean up contract. This is primarily
jccomplished by JSACE or State in-house personnel, but assistance from the
design Architect/Engineer may be required. Specifically S&A includes the
folLowing:
Contract Administration
Site inspection and construction management performed by on~site
persl)nne'j
Shop d~awing review
Preparation of as-built drawings reflecting final completed project
cOl1Cjit icns.
D-8
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REFERENCES
-------
REFERENCES
1.
u.S. EPA, "State Participation in Superfund Remedial Program," February
1984.
2.
"Draft Policy on CERCLA Compliance with the Requirements of Other
Environmental Statutes," Appendix to National Oil and Hazardous
Substances Pollution Contingency Plan, Proposed Rule, (50 FR 5928),
February 12, 1985.
3. Hedeman, William N., "Requirements for Selecting An Off-Site Option in a
Superfund Response Action," U.S. EPA Memorandum, January 28, 1983.
4. U.S. EPA, "Superfund C0lTi11unityRe1ations Handbook," September 1983.
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