oEPA
environment*! *M«cnon
DIRECTIVE NUMBER:
9360.0-16A
TITLE: Guidance for conducting Federal-Lead
Underground Storage Tank Sorrective Action
APPROVAL DATE:
EFFECTIVE DATE:
ORIGINATING OFFICE:
7/88
7/88
ERD & OUST
B FINAL
D DRAFT
STATUS
Signed by AA/OSWF?
[ 1
A- Pending OMB approval
B- Pending AA-OSWZR approval
For review &/or comment
D- In development or circulating
REFERENCE (Oth«r dOCUm«nU): headquarters
[ 1
[ I
DIRECTIVE DIRECTIVE D
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Uniteo Slates environmental
wasnmgton DC 20460
OSWER Directive initiation Request
Jame of Contact Person
BEtty Zeller
2. Originator Information
1 Directive Numo«r
'9360.0-16A
OS-210
Office
ERD
Teiepnore Coat
Guidance for Conducting Federal-Lead Underground Storage Tank Corrective
Action
Summary of Directive uneuee onet suiemeni of purposti
Guidance for removal program personnel conducting corrective action for
petroleum leaks from underground storage tank.
•yworos Superfund.CEHCLA.SARA
Joes rnis Oirecuve Superseae Previous Oireetn
6. Does It Supplement Previous Oireaiye(s)'
[ _ | N« • | x I Vt» Wh« dnan* (number, rat)
9360.0-16
I _ ] N« I I Ytt What dreetfce (number.
— ^ •
Me)
8 - Siyied by Office Oiraoor
| | C-
| |0-m
8. Document to b« distributed to States by Headquarters? I IY« fx1N°
Betti C. VanEpps
J. Winston Porter
Date
7/17/88
Date
7/25/88
OSWER OSWER OSWER O
VE DIRECTIVE DIRECTIVE DIRECTIVE
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* UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
r WASHINGTON, D.C. 20460
JUL 25 ::::
OFFICE OF
SOLID WASTE AND EMERGENCY RESPON
OSWER DIRECTIVE 9360.0-16A
MEMORANDUM
SUBJECT: Transmission of Guidance for Conducting Federal-Lead
Underground Storage Tank^orrective Actions
FROM: / J. Winston Porter..
Wl-Assistant Administ
l)
TO: v Regional Administrators
Regions I-X
ATTNI: Regional Waste Management Division Directors
Regions I-X
Attached is the final guidance for removal program personnel conducting
Federal-lead corrective actions for petroleum leaks from underground storage
tanks (USTs). This guidance supersedes the interim guidance of June 4, 1987
(OSWER directive » 9360.0-16). Based on comments offered by reviewers,
changes have been made to clarify definitions and procedures throughout the
guidance. A separate guidance is under development regarding corrective
actions on Indian lands.
In response to comments, further emphasis has been placed on the
responsibility of State governments to conduct responses in non-emergency
situations and enforcement activities. In several places, the guidance now
stresses EPA policy requiring the State to perform any remedial action after
the Federal response stabilizes a situation. The role of the Regional UST
Coordinator in the process of implementing and overseeing Federal-lead UST
corrective actions has been greatly increased. Finally, specific emphasis
has been placed on the necessity for contacting owners or operators before
initiating corrective action.
If there are any questions regarding this guidance, please contact
Elizabeth Zeller at FTS 382-7735.
Attachment
cc: Superfund Branch Chiefs, Regions I-X
Henry Longest
Ron Brand
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OSWER DIRECTIVE 9360.0-16A
GUIDANCE FOR CONDUCTING FEDERAL-LEAD
UNDERGROUND STORAGE TANK CORRECTIVE ACTIONS
June, 1988
^Vhe Emer9ency Response Division
of Emergency and Remedial Response
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DISCLAIMER
The policies and procedures established in this
document are intended solely for the guidance of
2rJS??StMPer8Jnne1' «-ThSy are n0t intended, and cannot
be relied upon to create any rights, substantive or
theCUn?Sd'^n5°rCeaSie *y any Party in "tigation with
the United States. The Agency reserves the right to act
at variance with these policies and procedural and to
change them at any time without public notice.
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_ . . TABLE OP CONTENTS
Section
l . 0 Introduction ....................
1 . 1 Purpose ........... .'.'.'.*!.'.'.'.'! ....................... 1
1 . 2 Background ........ ............................... -1
1.3 Policy ............... .'*' ........................... 1
1 . 4 Definitions ......... ............................... 1
................................ 2
2.0 Criteria for Corrective Action ____
2.1 Legislative Standards and Criteria ................. ?
2.2 EPA Criteria ................... ....'.'. ..............
3.0 Fund Utilization .....................
3.1 Eligible Activities ...... ........................ 6
3 . 2 State Cost Share ........... .... . ................... 6
••••..«««««•••.. .......^^g
4.0 Approval Process .....................
4.1 Delegation of Authorities...... .................... l
4 . 2 Oral Request from State ...... ................... I
4 . 3 Written Request from State. . . ..................... ,' J
4 . 4 Regional UST Coordinator/Enforcement .' .' ! .' .' .' .' .' .' .' .' .' .' .' 1°
5 . 0 Accounting Information ....................
6.0 Initiation of On-Site Actions ____
6 . 1 Procuring Cleanup Services ...*.'.' ................... rl
6 . 2 Procuring Technical Assistance . .' .................. t ?
6 . 3 Assistance from Other Agencies . ................ i 2
6.4 Stabilization Standards ........ ................ "
"""** ............... . 16
7.0 Managing Federal-Lead UST Corrective Actions.. 17
7.1 Oversiht ...........
Oversight of Contractors ____ ,
7 . 2 Allowable Costs .......... ..................... 17
7 . 3 Non-Allowable Costs ...... ......................... 18
7 . 4 Cost Management ....... .'.'.'.'.' ...................... ? J
7.5 Ceiling Increases/Scope Modification^ '.'.'. ......... \$
7 . 6 Access Agreements ........ ........ "
7.7 Worker and Visitor Health and "site 'safety .'.'.' ...... 25
7.8 Community Relations and Public Information. ...'." '"
7 . 9 Record-Keeping Requirements ...... ........ „
7.10 Reporting Requirements .......... ............... '
7.11 Post-Corrective Action Control ...'..'.'.'. '. '. '. '. '. .' .' .* .' | 'm ] 39
Appendices
A. Delegations
B. oral Request Information Outline
C. State Request Letter Format
D. Action Memorandum Format
E. Ceiling Increase Request Format
F. Federal-Lead UST Corrective Action Accident Report Format
G. Delivery Order Preparation and Processing format
Technical Direction Document Preparation and Processing
Procedures Governing Use of the LUST Trust Fund
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1.0 INTRODUCTION
1.1 Purpose
o direction
and Regional Underground sorage Tank ms? SooXf Personnel'
°
reses
in^^^^
for undertaking a Federal-lead S!T cor-^o ^°CUmen^ation
1•2 Background
UTin £ in a rtr^Tn *•**%+' *» __^ v* _ . .
Of 1986
ts
to provide the authority for Federal reSSn Dlfposal Act
releases from leaking USTS The 2in5I P? SV° Petrole
million Leaking Underground Storage T^r^ifV8^11811 a $50°
finance both Federal Ind state SI? JoSrJ ^ ^St Fund to
1
ae or
lead UST corrective actions will be vlrfo™**?1^*' Federal-
Solid Waste
1.3 Policy
at
---
0
and the state is unaWeto respond ?n SdSonenth1 *™r*"™y-
demonstrate that it has contacted or atfo^i J J' State must
or operators, and the statS is oonSlnSS ?H J contact owners
are unable or unwillina to Drov?S2 i2 ! owners or operators
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1.4 Definitions
apply?* *"• PUrp°SeS °f this «""««». the following definitions
*
corrective action
more strict than that for current SzardA,,« .«i «. l
actions and is intended to signif ican?lv T»i? bf£ance
:;"""""
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"™ S*oraqe T*nk - As defined in Section 9001(1) of SWDA
A) Farm or residential tank of 1,100 gallons or less
' m°t0r fU^ *~ noncommercial
B)
I)
C) Septic tank,
D) under1-6 facility (including gathering lines) regulated
i} 2?f Natural Gas Pipeline Safety Act of 1968
(49 U.S.C. App. 1671, et seq. ) ,
™ Hazardous Liquid Pipeline Safety Act of
1979 (49 U.S.C. App. 2001, et Beg.)? or
iii) which is an intrastate pipeline facility
regulated under State laws comparable to the
provisions of law referred to in clause (i)
or (11) of this subparagraph,
E) Surface impoundment, pit, pond, or lagoon,
F) Storm water or waste water collection system,
G) Flow-through process tank,
rlatdttaPn??: associated gathering lines directly
operat?ons,°or " ^ pr°duction and gathering
Storage tank situated in an underground area fsuch as
basement cellar, mineworking, drift, shaf^ o! SnSJl
fSrae S ^^ »*°" °* *»™ the
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2.0 CRITERIA FOR CORRECTIVE ACTION
2.1 Legislative Standards and Criteria
This guidance is designed to provide direction for
undertaking Federal-lead corrective action at petroleum leaks
from underground storage tanks. The basic criteria for a Federal
response are found in Section 9003 of the amended SWDA? Federal
Subsection (c) specifies the release detection, prevention and
correction requirements for USTs to be promulgated by EPA and
(h) Pr°vides two sets <* criteria lor FederaT-ieaS UST
Before the effective date of the regulations promulgated
under section 9003 (c) of SWDA, a corrective action may be
undertaken if the Administrator (or State under cooperative
agreement) deems it necessary to protect human health and the
environment, as authorized in Section 9003 (h) (1) of SWDA The
EPA (or the responding State) must give priority to site^ where
no owner or operator is able to undertake proper corrective
health and the environment and one or more of the followina
criteria, presented in Section 9003 (h) (2) of SWDA, are met:
o No financially solvent tank owner or operator, capable
of carrying out proper corrective action, is found;
Jhe,fituaSion ref^ires Prompt action to protect human
health and the environment;
Corrective action costs exceed the financial
responsibility requirements established for the tank
and expenditures from the LUST Trust Fund are necessary
to ensure effective action; or ***>*ry
The tank owner or operator has failed, or refused, to
comply with an administrative order to perform
corrective action.
human^L^hVH ?iV6n fc° releases P°sin9 tne greatest threat to
human health and the environment.
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2.2 EPA Criteria
SectioS "
eion i
W11^ undertake corrective action only if a major
environmental emergency exists, as defined ?n°
EPA will take only those corrective actions that stabilis
the emergency situation, allowing State or othe? responders to
implement permanent cleanup remedies. If EPA-Imitiaative
measures require continuing post-corrective actiSn control
(operations and maintenance) , the affected State w"iU be
responsible for these measures as soon as possible
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3.0 FUND UTILIZATION
^
3.1 Eligible Activities
eJinn"?"9;*1;"! or.exP°su" assessments (see
Section 1.4) to determine potential health effects of
leak, and to establish corrective action prioritiZs?
Corrective actions such as stabilization of the site
temporary relocation of affected residents or '
provision of alternate household water supples.
Enforcement activities (see Section 4.4) includina
development, implementation, and oversiht of
3.2 State Cost Share
pay a 10 stnd cor
and
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4.0 APPROVAL PROCESS
ssrsrs ; ,n- - - — or
In
^
4.1 Delegation of Authorities
b. redel.gLed'lr^rolf ce(W?ec?nOD,A)6ffI"Sonh°rity My
and Remedial Response (OERm T^ ^ i 'I Office of Emergency
obtain the concurrenc ( ga'the °D' OERR' ro"st
ceecOD,ffo
and Remedial Response (OERm T^ ^ i 'I Office of Emergency
obtain the concurrence ( 0^4 OD o???ifga^n',the °D' OERR' ro"
Tanks (OUST) . ' Offlce of Underground Storage
4.1.1 in accordance with Delegation 8-33 Ro«ior,ai
„
Fire and/or explosion; or
Substantial or irreversible damage to a
sensitive ecosystem or significant natural resource,
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4.2 Oral Request from state
«ST
If so, the following approva?
4.2.4 Approval process for corrective action
4.2.4.1 During regular working hours:
™n °?J F °th
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e) The ERD Regional Coordinator communicates
the decision and the appropriate accounting
information (see Section 5.0) to the OSC or
other Regional official as quickly as
possible, and confirms the decision in
writing by the end of the next work day. The
OSC must notify the Regional UST Coordinator
of the decision.
f) The RA transmits a formal action memorandum
(see Appendix D), along with a formal State
request letter (see Appendix C) to ERD within
10 days.
4.2.4.2 During non-duty hours (after 5:00 p.m. EST on
weekdays, on Saturday, Sunday, and holidays), or if the
situation precludes contacting Headquarters prior to
initiating necessary response actions:
a) The OSC obtains oral approval from the RA, or
from his/her delegatee (see Section 4.1, or
Appendix A). This authority may only be used
to obligate funds up to $50,000, for
corrective actions which meet the criteria in
section 4.1.1.
b) The OSC notifies the Regional UST Coordinator
(see Section 4.4) and ERD Regional
Coordinator of this action as soon as
possible.
c) The RA transmits a formal action memorandum
(see Appendix D), along with a State request
letter (see Appendix C) to ERD within 10
working days. A ceiling increase request
(see Appendix E) may be incorporated within
this memorandum, if needed.
4.2.4.3 During non-duty hours, if a ceiling greater
than $50K is needed:
a) The OSC telephones the National Response
Center (NRC), 800-424-8802, identifies himself/
herself, and asks to be put in contact with
the ERD Duty Officer.
b) The NRC contacts the ERD Duty Officer.
c) The ERD Duty Officer contacts the OSC and
asks for the information contained in Appendix
E. The ERD Duty Officer notifies the
supervisory duty officer, the OD/OERR, the
OD/OUST, and the AA/OSWER (if appropriate),
who approves or denies the request.
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d) The ERD Duty Officer communicates the
decision to the OSC as quickly as possible,
and confirms the decision in writing by
the end of the next work day.
e) The RA sends a formal action memorandum
(see Appendix D) along with the State request
letter (see Appendix C) to ERD within 10 days.
4.3 Written Request from State
This approval process must be used whenever
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4.3.1 Receive written request from State
The affected State shall perform a thorough site
evaluation to clearly determine the extent of release
source, substance (.) released, and threats posed by ?he
release The State shall also make every reasonable a^temot
to locate owners or operators and compel corrective actionS
FeLral L^Sn,Then prej?re * fOrmal written revest ror
Federal-lead UST corrective action that presents all of%h«
?^1?6"t ?lte i?f °™tion, using the Stf^reguesi letter
format in Appendix C. The request letter should be sent to
the Regional OHM Coordinator, or other designated Reaional
management official, from the Director of the state us?
agency designated by the Governor of the affected State.
4.3.2 Notify Regional UST Coordinator
When a letter requesting UST corrective action is
received from the state, the Regional UST Coordinator must
be consulted and provided a copy of the letter (see Lctl on 4.4).
4.3.3 Evaluate State request
The OSC and Regional UST Coordinator jointly
evaluate the State request to determine whether:
o Additional information is required, if the
request letter (see Appendix C) is deficient, the
Region should contact the State and obtain
additional information, or instruct the state to
resubmit the request letter incorporating the
Region's comments, if necessary, the OSC may
perform a perfunctory site inspection to gather
needed data.
o Federal-lead UST corrective action is not
justified. If the situation does not meet the
criteria discussed in Section 2.0, the OSC and the
Regional UST Coordinator must recommend to the OHM
Coordinator that the request be denied.
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° ?;dS;21;J;!ld,.?ST corrective Action is justified.
If the situation appears to meet the criteria
discussed in Section 2.0, the following approval
procedures should be implemented. aPProvai
4.3.4 Regional role
memorandum to allow the ERD Regional Coordinator to e^edite
the Headquarters approval process. expedite
The OSC should provide the information set forth in *ho
^^
4.3.5 Headquarters role
The ERD Regional Coordinator reviews the action
memorandum, gets concurrences from other off ices as
necessary (e.g., OUST, OGC) , and sends it with a
recommendation for approval/denial to the appropriate
Headquarters official for final determination anS signature,
Se ?R? Re9i°nal Coordinator then communicates the
4.4 Regional UST Coordinator/Enforcement
s^
aaalnst8^1 ^ wei*hf"* .the "^e's response «pabiU ties
against the characteristics and magnitude of an UST emeraencv
The Regional UST Coordinator should be informed as soon IT *'
possible whenever the Region receives a state request for
Federal-lead UST corrective action; whenever p«£ucable the
Regional UST Coordinator, together with the OSC, shoSld evaluate
the appropriateness of Federal-lead corrective action prio? to
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seeking approval. The OSC should keep the
dt'
UST
^f * cooperative agreements, will be expected to
* % and.Pursue enforcement action. The Regional UST
s?atf a^n^- " resP°nsi?le f or coordinating with affected
State agencies, particularly in identifying owners or ooerators
and pursuing enforcement actions. EPA has the author i ?5 £! ?f
several different types of administrative ordSrs^nder SWDA-
SSSLS
=2
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5.0 ACCOUNTING INFORMATION
M»ini«t»tiv. Management Support
SSS1»StSia.to('
n^l iSSS-eS
issued by the Regional Financial Management Office
Detailed information describing Trust Fund appropriation
account number structure, activity codes, and othS? relevant
matters has been issued by the Comptroller General to
all Financial Management Officers in Comptroller Policv
87'13' "Inter^ Financial Pollcie^and
^^
a^-S^JSK
costs for cost management and cost recovery purposes Thlloficv
' 10
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6.0 INITIATION OF ON-SITE ACTIONS
Mechanisms available to the OSC for ini^-4--
response include: initiating an UST
o
o
o
Procurement of cleanup services;
Procurement of technical assistance; and
Assistance through other agencies
6.1 Procuring Cleanup Services
6'1'1
ERCS
cSnSacts Resp°nse clea^P Services
resources. Thse ntrcts prvid
' u
a
6.1.2 Other commercial contracts
6.2 Procuring Technical Assistance
6.2.1
Technical Assistance Team (TAT) contracts
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quality assurance, and related tasks. The two TAT zone
contracts include provisions for UST response. Procedures
for implementing these contracts are similar to current
removal program procedures as outlined by Superfund Removal
Procedures — Revision Number Three and the TAT Contract:
User's Manual, except that the Project Officer must give
approval. The Region's Deputy Project Officer (DPO) should
complete a Technical Direction Document (TDD) form, being
sure to specify that the source of funding is the LUST Trust
Fund (instructions for completing and processing TDDs can be
found in Appendix H). The DPO must obtain the Headquarters
Project Officer's (PO) approval of the TDD; the PO will
contact the contractor Zone Program Manager (ZPM) as soon as
possible to confirm approval. The ZPM will then communicate
the PO's approval to the appropriate TAT Leader, who may
only then implement the task requested by the TDD. Appendix
H provides a detailed description of the process for
activating TAT.
6.2.2 Environmental Response Team (ERT)
The EPA Environmental Response Team (ERT) provides a
wide range of technical, analytical, investigative, and
planning services. To obtain ERT assistance, contact the
ERD Regional Coordinator.
6.3 Assistance from Other Agencies
Other Federal agencies may have personnel with specific
expertise and experience that could be useful to OSCs in
performing Federal-lead UST corrective actions. EPA has a
Memorandum of Understanding (MOU) or site-specific Interagency
Agreements (lAGs) with each of several agencies to facilitate
their direct participation in hazardous substance responses using
CERCLA monies. Although there is no provision for their
participation in Federal-lead UST corrective actions, which are
funded under SWDA, OSCs may contact other agencies to seek
informal advice or assistance as appropriate. The following
agencies may be particularly helpful.
6.3.1 Federal Emergency Management Agency (FEMA)
FEMA is often used to provide assistance with temporary
and permanent relocation of affected residents and
businesses during removal actions.
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6 • 3 • 2
-s: of
~
assistan« « guidance iTJrtoriSf V 8
sectio" ^
6.3.3 United States Coast Guard (USCG)
zones or affecting surface watlrs, and should be notified
whenever Federal-lead UST corrective action is considfrld at
such a release to determine whether response is mo?e
appropriate under the Clean Water Act (§£"
6.4 Stabilization Standards
Federal-lead UST corrective action will aeneraiiv he
limited to stabilization of the emergency condiSES th£?
eEPA y ^ StatS UndSr Sn aPPr°P"ate coopera^ve
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7.0 MANAGING FEDERAL-LEAD UST CORRECTIVE ACTIONS
4
This section provides guidance on the roles and
responsibilities of OSCs when managing UST response projects
A variety of topics is addressed, including oversight of
contractors, allowable costs, cost management, ceiling increases
and scope modifications, access agreements, health and safety,
community relations, reporting requirements, and post-corrective
action site control considerations.
OSCs have complete responsibility for directing response
operations. This means that they must ensure that all on-site
activities are consistent with Subtitle I of SWDA, as amended by
Section 205 of SARA, and program policies and procedures; that
all expenditures of funds are appropriate and reasonable; and
that subsequent cost recovery actions will be supportable.
7.1 Oversight of Contractors
A major OSC role is oversight of the contractors performing
response activities. Examples of oversight activities include:
• Preparation of the work report;
• Review and certification of the Contractor Cost Report
(EPA Form 1900-55), which lists daily contractor
costs;
• Daily monitoring of contractor personnel and equipment
to verify satisfactory completion of the work;
• Determination of the overall project status.
In conducting these oversight activities, OSCs may request
support from the TAT. Examples of such support are maintaining
entry/exit logs of all contractor personnel and equipment,
communicating oral or written messages from the OSC to the
cleanup contractor, and maintaining logs related to project
costs. The TAT staff may not, however, assume the OSC's
responsibilities for directing site activity, verifying
satisfactory completion of work, or approving 1900-55 forms.
Compelling circumstances, such as another response incident
may require the OSC to leave the site for more than 24 hours.
The OSC may designate capable persons from Federal, State, and
local agencies to act as OSC representatives to supervise
response operations. TAT staff, because of their non-
governmental status, may not be designated OSC representatives.
Response program policy dictates the following guidelines
for, and limitations on, the designation and activities of OSC
representatives:
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• Federal employees - The preferred designee would be
another Federal employee because such a designee would
have authority to direct, not merely oversee,
contractors; to initiate activities involving
expenditures of money; and to certify completion of
work and costs.
Examples of appropriate Federal employees are
another OSC, a non-OSC Superfund employee, or a non-
Superfund employee from within the Region; an OSC or
other employee from another Region; or Headquarters
personnel or employees from another Federal agency such
as USCG.
As a practical matter, reassignment of staff from
other duties may be difficult, particularly with
respect to personnel outside the program, Region, or
Agency. Moreover, designation of a Federal employee
who does not have adequate training in program
procedures and response operations could endanger the
response.
• State/local staff - state and local officials are
precluded from taking any actions involving
expenditures of LUST Trust Fund monies, unless an
appropriate cooperative agreement has been executed.
In practice, this means that State and local
representatives may transmit and supervise the
implementation of the OSC's work orders but may not
provide new instructions.
• TAT - TAT personnel may not serve as OSC designees;
they may, however, continue to provide support services
at the site and monitor cleanup contractor performance
in the absence of the OSC.
Because of the practical difficulties in designating an OSC
representative who can assume full on-site responsibilities, OSCs
are discouraged from leaving the site except in very limited
circumstances. Examples of such circumstances are when EPA has
an agreement with a State or local government to provide water
hookups, or when the site clearly has "insignificant" activity
(e.g., a pump running).
7.2 Allowable Costs
In general, EPA will expend LUST Trust Fund monies at a
Federal-lead UST corrective action only to stabilize the
situation and mitigate those problems that are directly
responsible for creating the major public health or environmental
emergency. Because of limitations on funds, long-term
remediation and post-corrective action site control (operation'
and maintenance) activities must be performed by the State.
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JespoSe" reSP°nSe' "•—•*•. — ~e~Sr ?° acco^UsYthe
"'
7.2.1 Extramural costs
contractor and consul fin^ ™e+g including
nrn • f ?SP°r^ati0n and di*P°sal, now provided
Kin?iP iVnder the ERCS contractor system and
supplemented as needed by non-ERCS commercial
contractors .
Support contra^or costs r including TAT.
Subcontractor
• Other costs, such as EPA leasing or rental of
equipment; incremental costs for EPA-owned
?Si?!!5?tf" fuPPlies' ^terials, and equipment
(including transportation costs) procured for the
SJfif Corrective action and fully expended
during the corrective action; and utilities.
* *5% contingency allowance, for unforeseen
extramural costs.
7.2.2 Intramural costs
• EPA direct costs, including the salaries,
overtime, travel, and per diem of on-site EPA
personnel .
• Direct cngj-c incurred by ERT.
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Direct costs incurred by Headquarters and Regional
technical and legal staff.
EPA Regional laboratory
• Indirect costs, including EPA Regional and
Headquarters management and administrative costs
and fringe benefits.
7.3 Non-Allowable Costs
Corrective action costs not allowed under the LUST Trust
Fund include (but are not limited to) :
• State and local costs for which prior authorization was
not specifically given by the OSC or addressed in a
cooperative agreement (e.g., municipal services such as
use of police or fire departments and State personnel
who are on-scene performing tasks not specifically
requested by the OSC) .
• Costs for the research and development of equipment and
response technologies used in conjunction with an UST
corrective action (e.g., emerging alternative disposal
technologies) . Funding may be available, however,
through other sources; contact the ERD Regional
Coordinator for more information.
• Costs incurred by a contractor to provide response
measures, for which that contractor is later found to
be liable.
7.4 Cost Management
During Federal-lead UST corrective actions, all Regions must
implement an effective system for managing response costs. This
management system must ensure the efficient use of public monies
enable all response costs to be tracked against dollar ceilings '
and provide the necessary information to support cost recovery
actions.
«*.„ ^i1"1*?6 resP°nsibility for cost management rests with the
OSC. Detailed guidelines for the OSC are in the Removal Cost
Management Manual. That manual identifies four components of
cost management (i.e., cost projection, cost control, cost
documentation, and cost recovery) which are applicable to
Federal-lead UST corrective actions, and are summarized briefly
below. J
7.4.1 Cost projection
The key to effective cost management is through cost
projection prior to the start of a response, as well as
during a response. Pre-response estimates of costs form the
basis for establishing a total project ceiling recorded in
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the action memorandum; cost projection during a response
SiE^n^ t0 ?nticiPate the need *>r increases*™ "he
project ceiling. To estimate indirect costs, oscs should
use the provisional rates provided by the Headquarters
7.4.2 Cost control
Cost control consists of cost planning and monitorino
as well as verification of costs. OSCs arl in the most *
advantageous position to control response costs if they stay
ih^ncr.0" Jhe availability of cost-effective resources.
Thus, OSCs should: identify non-commercial support services
and response equipment available to the Region; familiarize
themselves with cost-effective cleanup services in the Ivlnt
SSoSSSS °Utfide tht ERCS netWOrk is "quired; maintain
information on the cost of obtaining, operating, and
maintaining safety equipment; and review final UST response
reports of costs at past responses. response
In addition, OSCs are responsible for monitoring site
work and verifying that the contractor has provided the
personnel, equipment, expendables, and subcontractors for
which it has charged the government. OSCs should note the
strict limitations under the EPA contract management
policies for delegating these responsibilities to non-
Federal personnel such as TAT, or to State officials not
operating under a cooperative agreement (see Section 7.1).
7.4.3 Cost documentation
Cost documentation refers to the specific set of
procedures that OSCs use to maintain a record of all on-site
activities and associated costs. The method of cost
documentation should be consistent from day to day at a
specific response but may vary from site to site and Region
to Region. The method an OSC selects must ensure thorough
record-keeping on the following six information items:
• Chronology of events and decisions;
• Site conditions;
• Movement of personnel and equipment (e.g., site
entry and exit) ;
• Contractor planned and authorized work compared to
actual accomplishments;
• Contractor costs (e.g., commercial cleanup
contracts) ; and
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• Other costs (e.g., TAT, ERT, Regional laboratory
services, direct Headquarters and Regional
intramural obligations, site access/acquisition).
. The Removal Cost Management Manual provides applicable
guidance on methods OSCs can use to determine each category
of direct cost, and includes examples of the various types
of documents OSCs can use to record information (e.g.
POLREPs, entry/exit log, incident obligation log).
7.4.4 Cost recovery
Because of the possibility of a cost recovery action
for any case involving the expenditure of LUST funds, OSCs
have a responsibility to observe, document, and preserve
critical evidence relating to the response and its costs.
The cost documentation efforts described above are designed
to ensure that facts concerning the release and owners or
operators are recorded before response activity or the
passage of time obscures or eliminates the evidence; that
physical evidence essential for a trial is collected and
preserved in a manner that will withstand judicial scrutiny;
and that the government has maintained sufficient evidence
of actual costs and substantiation of the need to incur
those costs.
The essential elements of a cost recovery action are:
• Evidence of a release or threat of release of
petroleum from an UST;
• Evidence that the defendant(s) is owner or
operator of the UST;
• Evidence that the corrective action taken was
necessary to protect human health and the
environment; and
• Proof of incurred costs.
7.5 Ceiling Increases/Scope Modifications
OSCs should anticipate the need for ceiling increases or
scope changes as early in the corrective action as possible so
that the approval process does not interrupt the continuity of a
project. The OSC should notify the appropriate ERD Regional
Coordinator of such changes prior to submitting a formal request
for approval; OSCs are encouraged to send a draft of the
impending formal request to the ERD Regional Coordinator, to
expedite concurrence and approval.
7.5.1 Ceiling increases
The initial action memorandum approving the corrective
action establishes a project ceiling. This ceiling
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represents the total funding approved for the corrective
action. OSCs cannot incur costs in excess of the initial
project ceiling unless a ceiling increase is approved.
The request for a ceiling increase should contain the
information shown in Appendix E. The level of detail
required will vary according to site-specific circumstances.
In general, the request should include information on the
current site conditions, actions taken to date, costs to
date, and the reasons why the ceiling increase is required
(e.g., changed site conditions or increased disposal costs).
It is important to explain whether the increase is 1) to
perform more work to mitigate the threat in the original
scope of work, or 2) to respond to an additional threat to
human health, welfare or the environment, not previously
documented, requiring additional corrective measures. If
the ceiling increase is needed to complete actions
previously approved, the request should detail the reasons
why additional funds are required for those actions. If the
ceiling increase is needed to address additional threats,
the request should contain a new finding that the threats
pose a major public health or environmental emergency.
Ceiling increase requests must be submitted to Headquarters
under the signature of the RA and must include the
information outlined in Appendix E.
The RA should send the request for a ceiling increase
to the the AA, OSWER. in order to ensure an expeditious,
smooth processing of the request, a final copy should also
be sent to the ERD Regional Coordinator who is responsible
for coordinating the Headquarters concurrence process.
7.5.2 Change in scope - no ceiling increase
UST corrective actions are approved by the AA, OSWER
with a complete scope of work. In order to expand this
scope (e.g., to address an additional threat), a formal
change of scope request, specifying the additional
corrective actions to be performed, must be approved by the
official who approved the initial request.
The request should include information on current site
conditions, actions taken to date, costs to date, and the
additional proposed corrective actions as well as the
additional threat.
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7.6 Acpess Agreements
4
Gaining access to sites, where response actions require the
use of adjoining property or property within the site boundaries
owned by parties who are not owners or operators of the UST, may
require obtaining access agreements or negotiating for rights-of-
way with the property owners. Such agreements may be needed in
order to establish a new road, to allow for the use of a private
road, or to establish a command post.
7.6.1 Obtaining access
Primary responsibility for arranging for site access
rests with the State. However, the OSC is ultimately
responsible for obtaining site access agreements. The OSC
may need to work with the State to ensure that arrangements
are executed. Typically, the State will approach the
property owner and the final access agreement will be drawn
up either between the landowner and the State, or directly
between the landowner and the OSC or the response
contractor. Property access agreements must cover the
duration of the response action and any associated post-
corrective action control measures. The OSC is responsible
for overseeing all site access negotiations and agreements,
regardless of whether they are obtained through Federal or
State channels. If gaining access voluntarily is a problem,
the OSC should consult the Office of Regional Counsel. The
OSC should also consult the Regional Counsel to obtain legal
advice on gaining access to property for which the State has
no authority, such as rights-of-way for public utilities
railroads, and Federal lands.
7.6.2 Payments for property
The Agency will not, as a rule, pay property owners for
rights-of-way or easements for property adjacent to the site
or within the site boundaries. Cases where payment becomes
an issue in arranging for site access should be referred to
the Regional Counsel or the ERD Regional Coordinator for
assistance.
A written agreement signed by the OSC or EPA contractor
with an owner/operator of an UST or a property owner who is
not an owner/operator but whose property is contaminated or
threatened cannot promise to compensate the owner for use of
the property, to indemnify the owner for potential third
party liability, or to pay for damages. Any written
agreements offered by any property owner must be reviewed bv
Regional Counsel. J
Generally, the OSC should attempt to restore the
property, to the extent practicable, to its pre-response
condition (e.g., regrading and reseeding a temporary site
access road). The OSC may recommend fair payment to the
owner as compensation, or assess the extent of any
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contamination and arrange for disposal, if necessary In
Wree ° °r type °f
bcomes an
7.7 worker and Visitor Health and Site Safety
a
225 S K2
workers involved in Federal UST corrective actions Shere ftate
^fetvXand'hla^h lm .*" alS° *Pply to response actions *
apply . h re{Julrements of other Federal agencies may
Federlir StfL^^ Fund-financed corrective actions, all
federal, state, and contractor personnel involved are reo
5S?iS n1? ^6 ^f a9ency's overall occupational Ufe
health policies and with a site-specific safety plan All
re=P°nse activities associated with each specific
V sta^ard procedures will often have to be
as
response operations begin on the site or
P°sslbJe thereafter. The plan must cover all phases
oded or ,2?5?t;°n8 and/de"tify key personnel and must be
updated or modified as needed or as conditions change. As a
minimum requirement, the safety plan should address ?he
renewing:
• Establishment of the number of personnel permitted to
enter the contamination zones.
• Establishment of entry and escape routes.
• Establishment of procedures to identify, locate,
and alert off-site medical personnel.
• Determination of physical, chemical, and biological
properties of known contaminants.
• Establishment of decontamination protocol.
• Establishment of levels of protection.
• Establishment of air-monitoring protocol.
• Establishment of general safety rules and
equipment.
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• . Scheduling of daily safety meetings.
• Posting of key agency and emergency contacts.
OSCs are responsible for ensuring that workers and visitors
are informed of on-site hazards and the provisions of the site
health and safety plan. The OSC shall ensure that all
individuals entering the site (e.g., EPA, TAT, contractors
press) have read the plan and understand its contents.
Throughout the response action, the OSC may call upon OSHA
to advise on worker health and safety issues. When needed, the
OSC may request that the National Institute of Occupational
Safety and Health (NIOSH) provide assistance to OSHA in testing
worker protection equipment and gathering information for
guidance on safety issues. The OSC must be cognizant of on-site
health and safety activities and is responsible for monitoring
Federal and contractor compliance with EPA and site safety
requirements and applicable Federal and State laws and
regulations. However, OSCs are directly responsible only for
their own staff; each government agency and private employer is
responsible for the health and safety of its own employees and
for ensuring compliance with OSHA requirements, applicable State
OSH laws, and Agency health and safety programs. The Agency will
not assume responsibility for other government or contractor
personnel.
OSHA has authority for enforcing compliance with Federal OSH
regulations. Response actions are subject to OSHA inspections
Where State OSH laws exist, State inspections may take place. If
the OSC discovers an infraction of safety requirements, the OSC
must remind all site personnel and visitors of the requirements.
Should the infraction continue, the OSC may call in OSHA or State
OSH inspectors to review practices to ensure compliance.
7.8 Community Relations and Public Information
Community relations is a communication network between
response officials and the community. The objectives of
community relations are: to identify community concerns about
the site; to encourage citizens to express concerns and provide
information; to provide information to the community on health
and environmental effects of the release and proposed response
action; and to incorporate citizen comments and concerns
(including those of the owners or operators) into the decision-
making process.
Community relations activities will be important at Federal-
lead UST corrective action sites because a major public health or
environmental emergency exists. However, the time and extent of
Federal involvement may not warrant complex community relations
plans. The EPA's Community Relations Policy (May 1983) and
Community Relations in Superfund; A Handbook (March 1986) can be
used as applicable guidance for developing and implementing
community relations activities. Although no specific activities are
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currently required at Federal-lead UST corrective actions, a
community relations profile should be prepared for any action
that lasts longer than five days. The profile should provide
notice to owners/operators that the record is available for
review. The profile explains how program and community relations
staff intend to plan for and implement community relations
activities at the site. It should contain a brief outline of the
nature of community concerns, the key site issues, the objectives
of community relations activities, and the communications
activities considered for the site.
Some petroleum releases may require short-term corrective
action lasting no longer than a few days. These kinds of actions
may not involve substantial community relations planning because
of the nature of the emergency and the quick response time
required. At these sites, the focus of community relations is to
provide information about the site and its risks to the
community; information can be channelled through the media and
local officials.
7.9 Record-Keeping Requirements
OSCs must ensure that they document and record all decisions
and determinations they make prior to and during responses.
OSCs must also include in the files any significant comments
received from the owners/operators and their response to these
comments. Structured site and Regional files are the sole
repositories for site records. Care must be taken to ensure
their completeness and long-term security. Both site management
and financial management records are critical when cost recovery
is involved. Complete and precise OSC records of oral and
written communication with owners and operators, contractors, and
participating Federal, State, and local agencies must be
maintained should litigation arise at some later time.
7.9.1 Pre-response records
Prior to the initiation of an UST response (when time
allows), the OSC must maintain documentation regarding
decisions and determinations relating to issues such as:
• The appropriateness of a Federal-lead UST
corrective action;
• Contact with, and comments received from, the
owner or operator;
• Contact with, and comments received from, the State;
• Planning response actions;
• Developing contractual arrangements; and
• Complying with relevant environmental statutes.
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7.9.2 UST response records
During the course of a LUST Trust Fund-financed
corrective action, the OSC is responsible for generating and
maintaining site-specific documents such as action memoranda
and daily and periodic cost control reports. It is critical
that the OSC maintain a log of on-site activities and record
all communications with the contractor, the owners or
operators, and participating Federal, State, and local
agencies. The Removal Cost Management Manual outlines the
OSC's cost control record-keeping responsibilities. The
ERGS Contract Users7 Manual and the TAT Contract User's
Manual prescribe guidance for contractor-related record-
keeping. Any cost control record-keeping requirements in
conjunction with Federal, State, and local agencies may be
prescribed as necessary.
7.10 Reporting Requirements
The OSC is responsible for documenting and reporting all
response activities taken at a site. Reporting requirements
include preparing and submitting to ERD a series of POLREPs and a
final UST response report. POLREPs consist of initial, progress,
and final reports. This section provides guidance on when the
various reports should be submitted and the types of information
each report should contain. All site information developed by
the OSC must be made available to the Regional UST Coordinator,
who will coordinate with the State to ensure that an effective,
final resolution to a release will be accomplished by the State.
7.10.1 Pollution reports (POLREPs)
POLREPs provide factual operational data surrounding
the incident and a current accounting of the total funds
allocated in an incident. POLREPs should also detail
measures to ensure that the affected community is properly
and fully informed of all response activities. The Regions
should bear in mind that POLREPs are a method of alerting
Headquarters that critical events may be pending and that
requests/action are about to be initiated. However, all
requests for Headquarters decisions must be formally
submitted in accordance with Section 4.0 of this guidance.
To properly assist Headquarters management, routine POLREPs
are sent to ERD at (202) 755-2155 (Telefax), 710-822-9269
(TWX), or EPA 5511 (E-Mail).
7.10.1.1 Initial POLREP
The OSC should prepare and send to Headquarters
and the Regional UST Coordinator an initial POLREP for
each new Federal-lead UST corrective action. This
report should give the start date, describe the
incident (including the outcome of any site
evaluation), give the status of actions (including
enforcement), and describe future plans.
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7.10.1.2 Progress reports
Routine progress reports should be submitted to
ERD and the Regional UST Coordinator a minimum of once
a week and daily, where practicable, when events are
rapidly occurring. Progress POLREPs should identify
the following:
a) Situation — present status of ongoing
response activities;
b) Actions Taken — activities undertaken since
the last POLREP;
c) Future Plans — planned actions by the OSC;
d) Project Costs — estimated funds obligated
thus far, including a breakdown of the cost
categories as noted in the following example:
Extramural Current Ceiling Obligations To Date
Cleanup contractors $20,000 $10,000
TAT 5,000 2,000
15% Contingency 3,750 N/A
Intramural (both HQ and Region)
Direct 3,000 1,500
Indirect (estimate based on 6,000 3,000
provisional rates)
TOTAL PROJECT CEILING $37,750 $16,500
e) Any other pertinent information such as
status of efforts to obtain cleanup by
responsible parties.
Also, POLREPs should be provided to ERD and the
Regional UST Coordinator on all major unanticipated
developments of interest at approved corrective actions
(e.g., fires, explosions, and all accidents even if no
damage or injury has been caused) not included in other
progress reports. In addition to reporting accidents
to ERD via POLREPs, a corrective action accident report
(see Appendix F) should also be completed and submitted
to ERD. This form was developed to provide more
detailed documentation of circumstances surrounding
accidents during the course of response actions. The
information it contains is vital should litigation occur.
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7.10.1.3 Final POLREP
When a Federal-lead UST corrective action has been
completed, a final POLREP (e.g., POLREP #15 and FINAL)
should be submitted that describes the final actions
taken at the release, results achieved, detailed final
costs and date of completion, the demobilization date,
and future actions planned and who will perform them.
7.10.2 Final UST reports
Within 60 days after the conclusion of a Federal-lead
S™ co«ective action, the OSC should prepare and submit to
5? ? »JJ UST report. It is necessary that ERD have these
final UST reports on hand to respond to inquiries from the
public, Congress, the Office of the Inspector General, and
the General Accounting Office.
The final UST response report is a complete report on
the response operation and the action taken, it should
include a summary of events, an analysis of the
effectiveness of corrective actions, a list of problems
affecting the response, if applicable, and OSC
recommendations. The completion date is the date on which
any wastes are shipped for ultimate disposal or the site is
demobilized, whichever is later. Temporary demobilization
and temporary on-site storage are not considered completions
unless they are the final actions approved (i.e., off-site
disposal is not approved).
7.11 Post-Corrective Action Site Control
The State or local government must assume responsibility for
operations and maintenance performance and costs after the system
is proven to be operational. Examples of operations and
maintenance at a corrective action include running pumps or
operating a ventilation system.
If the State recommends response options involving
operations and maintenance in the oral request (see Appendix B)
or State request letter (see Appendix C), the State must explain
how it intends to assume resource and financial responsibility
for these options. Some States may have cooperative agreements
that provide for operations and maintenance; the Regional UST
Coordinator should be contacted for this information, as detailed
in Section 4.4.
Some situations may require operations and maintenance as
part of all response options. If no owner or operator agrees to
assume responsibility, the state must take over these actions
under an UST cooperative agreement.
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APPENDIX A: Delegations
SOLID WASTE DISPOSAL ACT (SWna)
8~33- Selection and Performance of Federal Corrective
at Leaking Underground Storage
1. AUTHORITY. Pursuant to Subtitle I of the Solid Waste
Disposal Act (SWDA) , to determine the necessity of and to select
Federal corrective actions at leaking underground storage tanks
containing petroleum, to enter property and to perform such
corrective actions.
2. TO WHOM DELEGATED. Assistant Administrator for Solid Waste
and Emergency Response and Regional Administrators.
3. LIMITATIONS .
a. Regional Administrators or their delegatees may exercise
this authority only for requests for obligations not exceeding
550,000, and must comply with Federal-lead UST corrective action
guidance issued by the Assistant Administrator for Solid Waste
and Emergency Response (AA/OSWER) .
b. If this authority is redelegated, the Director, Office of
Emergency and Remedial Response, must obtain the advance
concurrence of the Director, Office of Underground Storage Tanks.
4. REDELEGATION AUTHORITY.
a. This authority may be redelegated by the Assistant
Administrator for Solid Waste and Emergency Response to the
Director, Office of Emergency and Remedial Response.
b. Regional Administrators may redelegate this authority to
Division Directors, who may then redelegate to On-Scene
Coordinators.
5. ADDITIONAL REFERENCES.
a. Superfund Removal directives.
b. Section 9005 (a) of SWDA.
c. Section 9003 (h) of SWDA.
d. UST corrective action procedures.
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APPENDIX B: oral Request Information outline
1. State official requesting assistance (should be authorized
by Director of state UST agency designated by Governor"
2. Is the release from a leaking underground storage tank?
(see Section 1.4 of this guidance for definition)
3. Is the released substance petroleum?
(see Section 1.4 of this guidance for definition)
4. Location of release.
5. Time and date of release.
6. Name, description, and general condition of facility.
7. Is the release a long-term or chronic problem?
8' 2£e?-S"d amounts of Petroleum substances involved, and
quantities released to environment.
9. Major public health or environmental emergency conditions
(see Sections 1.4 and 2.2 of this guidance for detail)
10. Number and proximity of persons potentially affected.
r™n • hUman health or the environment if
response is delayed or denied.
12. Ongoing efforts to respond to release.
13 ' ^ate/local/owner-operator ability and willingness to
5esponsf ' Wlth specific reasons for inability to
14. Specific enforcement actions undertaken by the State.
15 ' t0 mitigate or stabilize emergency
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APPENDIX C: state Request Letter Format
Federal-lead UST corrective action will not be initiated
unless specifically requested by the appropriate State via the
State UST Coordinator. A letter requesting Federal-lead
corrective action should be signed by the Director of the State
UST agency designated by the Governor and addressed to the
Regional OHM Coordinator, or other designated Regional management
official.
Below is a recommended format for the State to follow in
preparing an UST corrective action request letter. While use of
this model format is not mandatory, the letter should address all
of the topics presented in the model in order to demonstrate that
the incident meets the Federal-lead UST response criteria
(particularly that it poses a major public health or
environmental emergency and that neither the State, nor the owner
or operator can provide'adequate response) and that all actions
in the scope of work are consistent with SWDA. Because this
letter will provide much of the source material to be used by the
Region in preparing an action memorandum (see Appendix D),
adherence to this format is strongly encouraged.
I. HEADING
DATE: [Month/Day/Year]
SUBJECT: Request for Federal-lead UST Corrective Action
[Site, City, State]
STATE REQUEST LETTER
FROM: [Director of Designated State UST Agency]
TO: [Regional OHM Coordinator]
II. BACKGROUND
The background section should contain information on the
location of the site, the nature of the incident (including the
history of the site, general character of the site, and issues
relevant to petroleum management), quantity and types of
petroleum substances present, State and local authorities' role,
the cleanup time frame, and actions to date, including previous
and current actions to abate the threat.
A. Location Description
1. Describe the site's physical location.
Give distances from nearest populations and points of
reference, as appropriate. Also state the population size.
For example, "A school is within 1/4 of a mile and there are
1,000 residences within a mile of the site; the area is
mainly suburban residential with some industrial areas."
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Describe the areas adjacent to the incidents or site in
terms of nearby vulnerable or sensitive populations
habitats, and natural resources. For example, "The site is
adjacent to wetlands and a tributary to the river flows
nearby. The area's primary drinking water aquifer underlies
the site."
Describe any areas protected by statute, such as parks,
historic sites, and sensitive ecosystems. This may include
areas such as the New Jersey Pinelands, wetlands areas, or
wild and scenic rivers.
2. Provide supporting documentation.
Providing pictures, diagrams, maps, and/or sketches is
encouraged. They may be included as attachments or
incorporated into the text. This documentation may help to
substantiate the threat at the site.
B- Site and Incident Characteristics
1. Discuss the history of the incident or situation that
poses the major public health or environmental emergency.
Describe the type of incident that has occurred (e.g
a classic release) and why it occurred. For example "A
corroded storage tank failed during refilling." Be sure to
list all of the site's key problem areas (e.g., tanks
associated pipe lines, free product on ground water, or
contaminated soils).
Describe the exact location of the incident at the
site. For example, "The release occurred at a corroded tank
in the south corner of the site." Include the time and date
(if known) of the incident. State whether the release is
new, ]ust recently discovered, or a chronic problem that has
deteriorated. Also describe when and how the incident was
discovered; for example, "The town fire marshal received
complaints from residents of strong gasoline fumes in their
basements."
2. Discuss the general character of the site; show that it
meets the definition of "underground storage tank" (see
Section 1.4 of this guidance).
Describe the current use of the site (e.g., active
facility, vacant lot, recreational area). Describe the
previous nature and type of the facility, as well as the
activities historically undertaken at the site; for example
a tank farm used for storing aviation fuels, or an oil '
refinery with numerous underground tanks and pipelines
State the site characteristics that qualify it as an
"underground storage tank" site.
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Include any pertinent information on the site owners or
operators, past and present. This information should
reflect whether the current or previous owners or operators
contributed to the conditions on the site.
3. Present all findings on the extent of the release to
date.
First, note all pathways of release (e.g., surface
water, ground water, air emissions/vapors, soil). Then
indicate whether the release is confined to the site or has
migrated off the site. Where possible, present the results
of any on-site or off-site monitoring. With respect to
drinking water contamination, note the number of municipal
or private wells contaminated or threatened.
4. Discuss the relevant issues relating to current
petroleum management practices.
Describe any existing structures, measures, or
conditions that would either mitigate or accelerate the
release of any materials on site (e.g., an unstable dike,
a temporary containment system, adverse weather conditions,
site security, fencing, condition of containers and similar
situations). State whether the release is widespread and/or
is migrating rapidly.
Indicate the extent to which the petroleum wastes can
be treated or are amenable to alternatives to land disposal.
State whether the site is to be stabilized or cleaned UD if
known. '
c- Quantity and Types of Petroleum Substances Presgnt
1. List all petroleum substances known to be on site at the
time of the approval request.
Describe briefly the results of the sampling (e.g.,
most affected residences exceed the lower explosive limit
for gasoline vapors in their basements") and give estimates
of quantities of the classes of petroleum substances if they
are available (for example, "four inches of diesel fuel was
found floating on the underlying ground water").
2. Describe the sampling methodology.
Briefly describe the sampling methodology as well as
methods for maintaining consistency, reliability, and
quality control. Mention who performed the data collection
and the lab analysis (e.g., EPA, contractor, local health
authorities).
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D. State Role
Discuss the State request for Federal-lead UST
response.
List and describe the reasons why the State cannot
provide adequate response to mitigate the major public
health or environmental emergency posed by this UST
petroleum release. Be detailed; indicate whether the State
cannot respond due to a lack of authority, expertise, or
resources. Estimate the resources required for response and
specify which resources the State lacks, and why. Discuss
why a site-specific cooperative agreement under the LUST
Trust Fund would be an inappropriate response mechanism for
this site or incident.
E. Actions to Date
1. Discuss any previous actions to abate the threat.
Describe any Federal, State, local, owner or operator,
or privately sponsored activities that have been performed.
Give the dates, costs, and effectiveness of such actions.
Actions to abate the threat may include issuance of an
advisory from the locality advising residents not to drink
their water, or the provision of bottled water.
2. Discuss any current actions to abate the threat.
Any Federal, State, local, owner or operator, or
privately-sponsored activities that are currently being
conducted should be described. This information should
include estimated costs and completion dates of these
activities.
III. MAJOR PUBLIC HEALTH OR ENVIRONMENTAL EMERGENCY
Strict criteria must be met to justify Federal response to a
petroleum release from an underground storage tank. These
criteria require that neither the State nor the owner or operator
be able to provide adequate response. In addition, the release
must pose a major public health or environmental emergency, as
indicated by:
o An immediate and substantial threat of direct human,
animal, or food chain exposure to petroleum; or
o An immediate threat of fire and/or explosion; or
o An immediate and substantial threat to public drinking
water supplies; or
o An immediate threat to human health or substantial
amounts of property, or an immediate and substantial
threat' to natural resources.
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h«« *H 5 should ensure that their request letter discusses
how the release meets these criteria. Sections A and B below
innT,^e' I?"; sPecific examples of the types of material to
emergency demonstrate a ma^or Pu*>lic health or environmental
A- Threats to Public Health and WPI
Describe the threats to public health and welfare.
List all of the threats, starting with the most
serious, that adversely affect human health or welfare
(e.g drinking water contamination, fire/explosion).
Identify any human exposure that already has occurred, the
d °eXSe (e'g" inhalati°n, ingestion, dermal
™« ,u " , , erma
contact) and the exposure pathway (e.g., water supply,
indoor air pollution) . Describe any reports of illness
injury, or death that appear to be linked to the exposure
Be as specific as possible about the number of individuals
exposed, the proximity of sensitive populations (e.g.,
hospitals, schools), the geographic area affected, and
Jfli;?5Gr exgosure was acute or chronic. Also, describe any
anticipated exposure and whether it is imminent, especially
with regard to public drinking water supplies.
Compare the amounts or concentrations of substances
shown to background levels or health standards as
appropriate. If a health advisory is given, or if an
exposure assessment has been performed, include it as an
attachment to the letter, and reference it in the
discussion.
B- Threats to the Environment-
Describe threats to the environment.
4-u ,. L^St a11 the tnreats, starting with the most serious
that adversely affect the environment (e.g., damage to
sensitive ecosystem, animals, ground water). Identify any
natural resource or environmental damage that already has
occurred and the extent of exposure (e.g., acute or
chronic) . Indicate whether there have been reports of
deaths of flora or fauna (e.g., fish kills). If so, state
how much environmental damage has occurred (e.g., 20,000
acres of wetland contaminated, one million fish killed) .
Discuss all actual and potential impacts on the
a5ff?ted.area- Describe any anticipated exposure and
whether it is imminent. Indicate whether the release
threatens endangered species, critical wetlands, or other
resources protected under law.
C-5
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IV. ENFORCEMENT
The purpose of this section is to meet the statutory
requirement that priority be given to cases where the owner or
operator is unable or unwilling to undertake necessary action.
This information should be referenced here as "see attachment"
and placed on a separate page entitled "Enforcement Sensitive "
This section includes information on the enforcement strategy
(summarized), the status of notice letters and/or negotiations,
the available enforcement authority, owners or operators
previous enforcement actions, the probability of recovering
costs, and the recommended enforcement strategy. This section
also should contain information on the potential for a non-
Federal response. This information is required before Federal
corrective action is started, unless the release meets the
conditions in Section 4.1.1.
A. Enforcement Strategy
1. Briefly summarize the enforcement strategy.
Summarize the enforcement strategy for notifying,
negotiating with, and litigating against owners or
operators. Indicate whether the State or Federal
enforcement attorneys are actively pursuing informal
negotiations, are actively pursuing litigation, or have
decided to postpone or not pursue litigation. For example,
"no enforcement actions currently underway," or "the owner
or operator has agreed to conduct a cleanup." Describe what
actions are planned (e.g., negotiations or administrative
orders).
2. Briefly summarize the enforcement actions.
Indicate if litigation is proceeding or is
contemplated. Cite under what statutory authority the
action will be or is being taken (e.g., SWDA Section
9003(h)).
B. Status of Enforcement Actions
1. Owners or operators
Note the names of owners or operators. Indicate
whether the owner or operator has taken action; if so,
describe the action and explain why it was inadequate.
Describe any efforts being undertaken to obtain
additional owner/operator response. Describe the attempts
that have been made to locate owners or operators (e.g.,
oral inquiries both on and off site). Include whether the
owner or operator has been notified (e.g., contacted in
person or by telephone, written follow-up).
C-6
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Give the dates that notice letters were sent and a
summary of the responses of the recipients (e.g., the owner
agreed to clean up the site, or denied involvement at the
site). If negotiations are underway, describe the
activities under discussion.
2. Provide information on the status of notice letters
and/or negotiations.
Describe any previous State or Federal enforcement
actions taken to date. These actions may include notice
letters or demand letters.
3. State the probability of recovering costs.
Estimate the solvency of the owner or operator.
Evaluate the ability to obtain the necessary actions in a
timely fashion through litigation. This should be included
if it explains why actions are being requested of EPA when
owners and operators are financially able to undertake these
actions.
V. EXPECTED CHANGE IN THE SITUATION SHOULD NO ACTION BE TAKEN
OR SHOULD ACTION BE DELAYED
Describe any expected changes in the situation should no
action be taken or should action be delayed. Include a
description of the worst case that could possibly occur should no
action be taken. These changes may include:
o Spread of contamination. For example, the ground water
contaminant plume may spread through a larger area.
o Change in nature of contamination. For example,
gasoline vapors may seep into structures, producing the
added threat of fire/explosion.
o Increased threat to human health and the environment if
action is delayed or denied. For example, the
contaminant plume may soon reach drinking water wells.
o Impact on future response actions if action is delayed
or denied. For example, the tanks will deteriorate
further, leaking additional petroleum into the ground.
VI. IMPORTANT POLICY ISSUES (only as necessary and applicable)
Include a separate section on important policy issues that
are significant to this request. These issues may include:
o Cost sharing (State cost sharing is applicable after
regulations promulgated under SWDA Section 9003(c)
become effective).
C-7
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o The division of responsibilities among Federal and/or
State agencies.
t
o Owners and operators.
o Off-site disposal availability.
o Special coordination and similar issues.
o Concurrent CERCLA action or the presence of hazardous
materials on site.
o Contiguous sites (if multiple locations are recommended
for consideration as one site, give justification for
such consideration).
Issues should be fully explained, including a discussion on
the efforts being made to resolve the issue and/or decisions that
must be made before a resolution is reached.
VII. STATE REQUEST FOR EPA ACTION
The State should specify the corrective actions it is
requesting that EPA perform. These might include
o Recovery of free material;
o Temporary water supply; or
o Temporary relocation of residents.
C-8
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APPENDIX D: Action Memorandum Format
t
The Region should prepare an action memorandum based on the
State letter requesting Federal-lead UST corrective action (see
Appendix C). The action memorandum should address all of the
topics outlined in Appendix c. along with the additional items
presented below. If the State request letter adequately follows
the format suggested in Appendix C, then the Region's action
memorandum may simply consist of the following sections with a
copy of the state letter referenced and attached. If the State
letter is deficient, the Region must ensure that the action
memorandum addresses and corrects all of the deficiencies,
including all of the information requested in Appendix C and in
the additional sections described below. In any case, a copy of
the State request letter should always be attached to the action
memorandum for reference.
I. HEADING
DATE: [Month/Day/Year]
SUBJECT: Request for Federal-Lead UST Corrective Action
[Site, City, State]
ACTION MEMORANDUM
FROM: [Regional Administrator]
TO: [see Appendix A]
II. PROPOSED ACTIONS AND COSTS
OSCs should consider cost as one of many factors when
proposing UST corrective actions. However, there are no
statutory or regulatory requirements for cost-effectiveness. The
purpose of this section is to provide guidelines for presenting
information on proposed and alternative actions, estimated costs
and the project schedule.
A. Proposed Actions
1. Describe the proposed actions.
Describe the specific tasks involved and the results
sought by the corrective actions as they pertain to the
threat(s) discussed in Appendix C. For example, "The
primary objective of the proposed action is the mitigation
of the threat to public health by provision of alternate
potable water supplies to the affected homes."
Indicate whether any further information is needed
before all response actions can be identified (e.g.,
D-l
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sampling to address ground water or drinking water
contamination).
State why the proposed actions are appropriate for this
situation and explain the rationale for choosing the
proposed option. Describe the technical feasibility and
probable effectiveness of the proposed action. Address
response time requirements, intermedia relationships,
temporary versus long-term solutions, institutional
considerations, and environmental impacts.
Describe the procedures to be undertaken in the
proposed actions. For example, "Corrective action will
include ventilation of affected structures and provision of
bottled water to impacted residents." Describe any
impediments to the proposed action (e.g., lack of public
acceptance or problems with access).
2. Describe the project schedule.
Give the time frame needed to stabilize or clean up the
site and include how quickly response can begin. Give the
estimated period of performance. Indicate whether post-
corrective action site control (operation and maintenance) will
be required, and how the State intends to perform it.
3. State the estimated costs.
Estimate the total project ceiling with an itemized
breakout of the following cost categories that comprise that
ceiling: extramural costs, which include cleanup contractor
costs, TAT costs, and a 15% contingency allowance; and EPA
intramural costs, both direct and indirect. For example:
Extramural Estimated cost*
Cleanup contractors $20 000
TAT 5,000
15% Contingency 3 750
Intramural (both HQ and Region)
Di5ect 3/000
indirect (estimate based on provisional rates) 6,000
TOTAL PROJECT CEILING $37,750
If LUST Trust Fund monies have been obligated for past
actions, then indicate the obligations (in both Procurement
Requests and Delivery Orders).
D-2
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B- Alternative Action*
th ^f6?1^ describe the alternative actions,
corrective action plan.
Describe^what other actions were considered
'"" ~-— ^ • water
1
long-term solutions, institutional considerations
environmental impacts, and estimated costsol each option
State any impediments to the options (e.g., ptl°n'
III. RECOMMENDATION
The purpose of this section is to briefly oreseni- tho
"
project costs are $37,750 of which $20,060 a"
cleanup contractor costs. This site neets Ihl «itria or a
an no
Approve: _ [Name and Tii-io] __ Date;
Disapprove: -- FName and Ti^0] _ Date,
Concur: . - FName and
Datfi.
Attachment[s]
D-3
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APPENDIX E: Ceiling Increase Request Format
4
The following action memorandum format is recommended for
requesting approval for ceiling increases. The purpose of this
format is to provide the OSC with a blueprint that can be easily
followed when substantiating the need for exceeding the current
ceiling on Federal-lead UST corrective action costs.
I. HEADING
DATE: [Month/Day/Year]
SUBJECT: Request for a Ceiling Increase
[Site, City, State]
ACTION MEMORANDUM
FROM: [Regional Administrator]
TO: [see Appendix A]
II. ISSUE
Briefly explain why the ceiling increase is being requested.
Indicate what the new project ceiling will be if the ceiling
increase is approved. For example, "A ceiling increase of
$16,000 for a new total of $54,550 is being requested to continue
a Federal-lead UST corrective action at this site."
III. BACKGROUND
The primary purpose of this section is to identify the key
characteristics of the release in order to lay the foundation for
demonstrating that a major public health or environmental
emergency exists. These characteristics include site location
and pre-release use, the type of release, and its scope. In
compiling this information, the OSC should consider the
availability of pictures, diagrams, maps, and/or sketches that
may assist in describing the site.
A. Incident/Response History
Discuss the background/history of the site, including the
following: current conditions at the site; who initiated actions
and when; the date Federal-lead UST corrective actions were
approved and by whom; approved actions; and actions taken to date
(e.g., ventilation of structures, provision of bottled water).
B. Site Conditions
Briefly describe the site conditions and the reasons for a
ceiling increase request. State whether the additional funds are
needed due to increased costs for previously approved actions, or
to expand the scope of work beyond that approved in the original
E-l
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action memorandum. If the ceiling increase is needed to complete
previously approved actions, explain the need for additional
funding- (e.g., disposal costs higher than anticipated). If the
ceiling increase is needed to expand the scope of work, discuss
how the site conditions meet the criterion of presenting a major
public health or environmental emergency; also explain why
neither the owner nor operator is able to conduct the corrective
action. Include a description of a worst-case scenario should
the ceiling increase not be granted.
Discuss the present status of the UST corrective action
(e.g., gasoline release contained and soil awaiting excavation).
Include any information that may help substantiate the need
for a ceiling increase. Attach any enforcement status
information, ATSDR health advice memoranda, and other pertinent
information such as pictures, drawings, and other materials to
the back of this action memorandum.
p»
IV. PROPOSED ACTIONS
Describe the proposed actions to be undertaken if a ceiling
increase is approved. Briefly describe the actions that are
required to complete the response; for example, "Bottled water
will be provided until water main hookups are completed."
Indicate the objective of the proposed actions or the threats
these actions are to abate, minimize, or limit.
V. SUMMARY OF COSTS
Provide a summary of costs, including a breakdown of costs
for both the current ceiling and the proposed ceiling. Detail
the estimated total project ceiling with an itemized breakdown of
the following cost categories that comprise the ceiling:
extramural costs, including cleanup contractor costs, TAT costs
and a 15% contingency allowance; and EPA intramural costs, both'
direct and indirect. For example, the total project ceiling
should be broken down as follows:
Extramural Current Ceiling Proposed Ceiling
Cleanup contractors $20,000 $30,000
TAT 5,000 7,000
15% Contingency 3,750 5,550
Intramural (both HQ and Region)
Direct 3,000 4,000
Indirect (estimate based on 6,000 8,000
provisional rates)
TOTAL PROJECT CEILING $37,750 $54,550
E-2
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VI. RECOMMENDATION
The purpose of this section is to briefly present the
Region's recommendations, rationale, and the project costs. For
example, "To eliminate the major health emergency posed to the
nearby public and the environment consistent with the Federal-
lead UST response criteria, I recommend you approve this $16,800
ceiling increase request." Briefly summarize what the additional
funds will be used for. Briefly state how the approval would
increase the current total project ceiling. For example, "Your
approval would raise the extramural cleanup contractor ceiling to
$30,000 and bring the total project ceiling from $37,750 to
$54,550. You may indicate your approval or disapproval by
signing below."
Approve: [Name and Title] Date;
Disapprove: [Name and Title] Date;
Concur: rName and Title] Date;
Attachment[s]
E-3
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APPENDIX F: Federal-Lead UST Corrective Action
Accident Report Format
1. Date and Time of Incident:
2. Site Name and Location:
3. OSC:
4. Description of Incident:
Date of Report:
Prepared By:
Preparer's Phone
5. Factors Leading Up to Incident:
6. Site Work Related to Incident (OSC Orders. TAT Oversight
Foreman's nr•Ho•rc^ • ' '
Foreman's Orders):
7. Weather Conditions During Incident (Temperature, Humidity
Wind Direction and Speed, Precipitation):
8a. Injuries (Person, Role of Person On Site, Description of
Injury):
8b. Exposure (Person Exposed, Substances Involved, Type of
Exposure - Inhalation, Ingestion, Dermal):
8c. Medical Treatment (Paramedic, Physician, Hospital, Length of
Stay, Estimated Cost):
9. Property Damage (Owner, Location, Description of Damages
Estimated Cost):
lOa. other Persons On Site:
lOb. Other Person's Roles/
Activities On Site on
Day of Incident:
F-l
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APPENDIX G: Delivery order Preparation and Processing
* ^ Tf fctivate the ERCS contractor and initiate cleanup at a
Federal-lead UST corrective action, a Delivery Order (SSf mus? be
prepared and issued. All DOs will be issued by Ordering Officer!
(e.g., Regional Deputy Project Officers (DPOs) , Headquarters
Contracting Officers (COs) , or EPA On-Scene Coordinators roses) •
new warrants are being issued enabling OSCs to order services at
UST cleanups) for individual corrective actions. These DOs win
"* Processi^ —crib..
o Oral Delivery Orders;
o Delivery Order completion and processing; and
o Delivery Order modifications.
h ™c defcribed in tnis appendix are applicable to both
the ERCS zone contracts and the separate ERCS Regional contracts.
A. Oral Delivery Ordgys
As indicated, DOs can be issued orally to the ERCS
n™?f*J™' T5iS flexibility is designed to enhance response
capabilities under the ERCS contract network. However, any oral
order must be confirmed by a written DO within 48 hours.
When the ERCS contractor is contacted by telephone for
purposes of orally issuing a DO, the Ordering Officer should
notiJ ^ Y C0mplete a Delive*Y Order form (see Exhibit G-l)
o Date and time of the order (all references to time
specified in the DO should reflect the local time of
the location where services are to be provided) ;
o Contractor representative contacted (should be a person
authorized to commit the contractor) and telephone
number;
o Response location;
o Date and time the contractor is required on site;
o Date and time the contractor agrees to be on site; and
Brief narrative of the services (e.g., personnel
equipment, and materials) and level of protection
(e.g., health and safety) required.
G-l
-------
Some of these items can be completed before the call is made
to the contractor. For example, the response location or the
level of safety protection required may be known ahead of time
and could be completed in advance.
By completing the Delivery Order form during (or for some
items directly before) the discussion with the contractor, the
Ordering Officer will:
o Provide the contractor clear direction on the services
needed ;
o Document personnel, equipment, and materials expected
on site;
o Establish the OSC-Response Manager site management
relationship, and
o Facilitate completion of the written DO issued to the
contractor at the site.
The information recorded during issuance of the oral Delivery
Order will be important should there be any dispute concerning
the contractor's ability to provide the services within the
required response times.
B- Delivery Order Completion and Processing Instructions
To formally initiate services performed by the ERCS
contractor to conduct UST corrective actions, Ordering Officers
must prepare written Delivery Orders. The DO specifies the
services to be performed by the ERCS contractor in executing a
specific corrective action. Each DO establishes a ceiling amount
that constitutes the maximum amount for which the government
shall be liable. Instructions for the completion and processinq
of DOs are outlined below.
1. Delivery Order completion.
Delivery Order preparation is the responsibility of the
Federal Ordering Officer. A standard format is used for the DO;
all items in the DO should be completed as explained below and
illustrated by the sample in Exhibit G-l.
0 Date of order (Box n .- Enter the date of issuance of
the DO to the contractor.
Contract Number fBoy ?) .• Enter the contract number
(e.g., 68-01- _ ) of the ERCS contract under which
services are being ordered. The final four digits of
this number vary; call the CO to obtain the current
contract number.
G-2
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EXHIBIT G-l
DELIVERY ORDER POR EMERGENCY RESPONSE CLEANUP SERVICES
0»*v«/v Gram, a iue*ct n til ••**, ,m* eemMmnt at rn» ea*truct
. 21
01/06/87
1 CONTRACT NO.
68-01-
3. ODDER NO.
8 00
EST
G
77/n«
DELIVERY ORDER CEIUNG AMOUNT
03
20.000
8. ACCOUNTING AND APPROPRIATION DATA
__Aoonomti9n * Document Control *
68 -20X8153
Account *
7«. ISSUED TO: CONTRACTOR //V«m«.
(1ST Cleanups, Inc.
2200 Mudcrack Lane
Rochester, NY 14609
J/M ZT0 C«O«/
lANAGcR »V«m« j/itf than* fle.i
Joseph Davidson C716") 482-2811
MANAGER If/fait tna i"ion» ,Vo ,
Fred Davidson (716) 522-3093
25.3
Si. ISSUED BY: ORDERING OFFICER lNtn». AMrttt *M SO Coan
Vincent Bradford
Environmental Protection Agency
841 Chestnut Street
Philadelphia, PA 19107
8H. EPA REGION/USCS DISTRICT
03
Se. 2ONE
1
3 RESPONSE LOCATION iSilt /V«/n« jna/or Aaartsi tna 2,o Caati
ABC Service Station
2927 North 2nd Street
Arlington, VA 22201
3«t ON.SCc.NE COORDINATOR //V«m» »na Pltont fla.l
Janet Smith (215) 597-0807
10. CONTRACTOR RECUIRE3 ON SfTE
-------
OSWER Directive 9360.0-16A
Order Number rsox 31; Enter a nine (9) digit DO number
which sequentially consists of:
Last four digits of the contract number (see Box 2
above);
EPA Region (e.g., 01, 02, . . .10); and
Three digit number representing the sequence of
the DO being issued in the Region or Agency. ~ ~
Time of Initial Order fBox 4l« Enter the time of
issuance of the DO. All references to time on the DO
should reflect the local time at the site where the
services are to be provided.
Delivery Order Ceiling Amount fBov s)? Enter the total
estimated cost of contractor personnel, equipment, and
materials for which the order is being placed. The
ceiling amount represents the amount obligated by the
government for the corrective action. The OSC's/
Ordering Officer's authority to obligate the government
for UST response is limited to $50,000. All initial
DOs or Order modifications for amounts greater than the
initial $50,000 must be obligated by the CO. Under no
circumstances may the ERGS contractor develop the cost
estimate used here. This is the sole responsibility of
the Federal Ordering Officer who may, however, with
Project Officer approval, seek the assistance of the
Technical Assistance Team (TAT) contractor or EPA's
Environmental Response Team (ERT) in developing the
estimate.
Accounting and Appropriation Data fBox 61: Accounting
and appropriation data consist of four numbers, which
should be entered as follows for UST actions:
Appropriation Number: 68-20X8153 (does not
change).
Account Number and Document Control Number fDCNl:
Represented by ten (10) and six (6) character
numbers, respectively. These numbers will be
obtained by the ERD Regional Coordinator from the
Headquarters Financial and Administrative
Management Support Staff (FAMS) for all actions
given prior Headquarters approval. If the
Region's $50,000 allocation is being used (i.e.,
the emergency criteria in section 4.1.1 have been
met), the Region should use its own numbering
system developed by the Regional Financial
Management Officer.
Ob-iect Class Code: 25.35 (for all EPA program
contracts; does not change).
G-4
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OSWER Directive 9360.0-16A
Issued To: Contractor (Box 7A); Self-explanatory.
Program Manager (Box 7B); Enter the name and phone
number of the contractor representative authorized to
receive the DO and commit contractor resources to
provide the services and supplies required to complete
the Statement of Work.
Response Manager (Box 7C); Enter the name and phone
number of the contractor representative designated by
the Program Manager as the single point of contact for
on-scene coordination and responsible for management
and execution of cleanup activities as specified by the
OSC or other designated Federal officials.
Issued Bv; Ordering Officer fBox 8A1; Self-
explanatory.
EPA Reqion/USCG District (Box 8B1 ; Enter the number
for the EPA Region; the USCG District does not apply
for Federal-lead UST corrective action.
Zone (Box 8C); Enter the number of the ERCS zone where
the site is located:
Zone 1 - Regions I-III
Zone 2 - Region IV
Zone 3 - Region V
Zone 4 - Regions VI - X
On-Scene Coordinator fBox 8D1 ; Self-explanatory.
Response Location (Box 9); Enter the location of the
release or site where services are to be performed by
the contractor.
Contractor Required on Site (Box 10); Enter the date
and time contractor personnel, equipment, and materials
are required on site to implement the corrective action.
Required Work Completion Date (Box 11); Enter the .
anticipated date by which contractor services are to be
completed. Estimates are acceptable and dates may be
revised through modifications issued by the CO.
G-5
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OSWER Directive 9360.JD-16A
• Statement of Work fBox 12): This block contains the
description of the services to be performed by the ERGS
contractor. The Statement of Work should not be so
narrow as to restrict the contractor's effort nor so
broad as to permit the contractor to explore areas
having little relationship to the desired work. The
block should either contain, or refer to attachments
that contain:
Statement of Work, including a task breakdown and
schedule;
Site-specific institutional requirements or
clearances that must be obtained by the contractor
(e.g., permits for transportation and disposal of
wastes or right-of-way clearances); and
*
Any plans, including a site operations plan,
health and safety plan, or quality assurance plan
developed for the specific corrective action.
• Ordering Officer fBox 13); Self-explanatory.
2. Delivery Order processing.
The completed DO is signed by the Ordering Officer and
issued to the contractor Program Manager or designee (e.g., on-
site Response Manager). The contractor is required to
acknowledge receipt of the DO in writing within one week or one
half of the time specified for performance of the order,
whichever is less, following receipt. The acknowledgment of
receipt of the DO must be submitted to the Ordering Officer, with
a copy forwarded to the CO.
It is the Ordering Officer's responsibility to make sure
that the contractor submits an acknowledgment of receipt each
time a DO is issued. The acknowledgment of receipt will help
preclude misunderstandings between the Ordering Officer and the
ERCS contractor over the terms and conditions of the DO. It will
also serve as documented evidence when potential contractual
actions are required to enforce the terms of a work order.
C. Delivery Order Modifications
During the course of an UST corrective action, it may become
necessary to modify the statement of Work, completion date, or
ceiling amount specified in the DO. All such changes must be
authorized in a written amendment of the DO using Standard Form
30 (see Exhibit G-2). If increased funding is required for a
project, the existing DO should be amended; a new DO should not
be issued.
G-6
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EXHIBIT G-2
AMENDMENT OF SOUCITATION/MOOIFICATION OF CONTRACT
ADMINISTERED «v liratHtr mm turn fl
..
CODE
CCOE
NAMC ANO AOOMUS Or CONTRACTOR f ArO . «9>Vf. COHftfT. JUtf OM4 ilf
CCCE
IFAOLITVCCOE
(A AM1NQMCMY Of SOLICITATION NO.
IOA. MODIFICATION Of CONTRACT/ORO**
10S. OATIO lUMITMM 111
1 1 THIS IT5M ONLY APPLIES TQ AMENQMENTSQF SOLICITATIONS
I Miiciowon ••
• vi 'arm in i«m 1 4 Th* Hour *na aiu
C**«ri "tun •cinowwooi vaior of t"'i «m»nam«nt orior to in* newr md 1SUCO
TIACT O«O«« NO. IN ITCM IOA
tonnt THC CHANCCS SCT FOBTM IN ITEM 14 ARC MAOC IN T»e com*
• T»C AtOvC NUMCCRCO C3NT«ACT/ORO«« I* WOOI"CO TO RC^LCCT TH( AQMINISTVATIVC CMANOU
wcrawnex «•« «ic I SIT 'QRTM IN ITCM |« VURSUANT TO THC AUTHOBITV Qf PAR 41.10KBI.
. AQACCMCNT iS CNT(A(O INTO »1J*SU*MT TO AufnOMlTV
I3*»*ift rtft 9f m
E. IMPORTANT. Cantracrar LJ u not. LJ n r«auir«d to Sian tnu document and rwturn
, eoQi« to tn« issuing offict.
Of AMCNOMCNT/MOOl'iCATION t
C*c*oi t«ii
1>C OAT« vdNCA
ItA. NAMC ANO TITLI OP CONTRACTING OP'ICCR
• V
ifi«iwrk<« »t Cooi'mttutf Qtnstn
rTynorrniHI
1CC.OATC IICNCO
MSN 7«
-------
Requests for amendments should be prepared by the Ordering
Officer or the OSC and forwarded to the CO for approval. In most
cases-, requests and approvals can be handled over the telephone
The CO will prepare and sign the amendment and issue it to the
contractor. Minor changes, such as adjustments in quantities of
labor and equipment which will not result in an increase to the
DO ceiling, can be provided directly to the contractor by the OSC
Such changes, however, should be noted in the written site
documentation kept by the OSC, and should be forwarded in writing
to the contractor and the CO.
G-8
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APPENDIX H: Technical Direction Document Preparation
and Processing
When the need arises for technical services during a
Federal-lead UST corrective action, a Technical Direction
Document (TDD) should be issued to activate the Technical
Assistance Team (TAT) contractor. This appendix presents a
detailed description of the process, including an explanation of
the TDD form used to document the initiation of services and a
description of EPA and contractor roles and responsibilities in
managing and implementing the process. The following are
addressed:
o TDD completion and processing;
o TDD amendments; and
o Special Project TDDs.
The procedures described in this appendix apply to both TAT
zone contracts; however, the specific instructions on completing
the TDD form directly relate to the sample TDD forms used in TAT
zone 1 (EPA Regions I-V) and in TAT zone 2 (EPA Regions VI-X).
A. TDD Completion and Processing Instructions
When a need for TAT contractor services arises, the
Headquarters Project Officer (PO), or Regional Deputy Project
Officer (DPO) with PO concurrence, prepares and issues a written
TDD, which serves as the principal mechanism for initiating these
services. Where practicable, the DPO should confer with the
Regional UST Coordinator prior to issuance of the TDD. An oral
TDD may be issued, but must always be followed by a written TDD
within five (5) calendar days. The TDD includes background data,
the scope of work to be performed, a schedule of deliverables, an
estimate of time and costs required to perform the work, and
other related information.
Only the DPO or PO is authorized to prepare and issue TDDs
to the contractor TAT Leader. The TAT may not act on an UST
corrective action without the specific concurrence of the PO.
Each DPO can issue TDDs only to the TAT Leader assigned to that
particular DPO's Region. For example, the Region I DPO can issue
TDDs only to the TAT Leader assigned to Region I. TDDs can also
be issued by the PO to the appropriate TAT contractor Zone
Program Manager (ZPM) for special ZPM efforts within the contract
Statement of Work (SOW).
1. TDD completion.
A sample TDD form that has been used in TAT zone 1 is shown
in Exhibit H-l; Exhibit H-2 shows a TDD form used in TAT zone 2.
Each of the elements on the TDD should be completed by the DPO
as explained below.
H-l
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EXHIBIT H-l
1. COST CENTER:
t *
§MIGH (1)
MEDIUM (2) -
LOW (3)
TAT - CONTRACT 68-01 -7367
TECHNICAL DIRECTION DOCUMENT (TOO)
OHM EMERGENCY RESPONSE ANO
SPILL PREVENTION PROGRAM
ROY F. WESTON INC.
4. SOURCE OP PUN OS.
S. EPA SITE 10:
SA. EPA NAME:
8. COMPLETION DATE:
7. OVERTIME APPROVED:
DYES Q«o
9. GENERAL TASK DESCRIPTION:
2. NO:
2A. TYPE:
8. REFERENCE INPC
-Ef-Yss-n*
LJ ATTACM60
LJ PICK UP
9A. ESTIMATED COST: 9 ' BSTIMATEO HOURS:
10. SPECIFIC ELEMENTS; „ ,NT8B|M 0gAOUN6S:
:2O. OESIREO REPORT FORM:
OTHER {SPECIFY):
FORMAL REPORT
LETTER REPORT
FORMAL BRIEF
3. COMMENTS:
4. AUTHORIZING OPO:
(SICMATUAE)
15. DATE:
3. RECEIVED 8Y:
( | ACCEPTED ( | ACCEPTED WITH EXCEPTIONS " "'
f I REJECTED
17. DATE:
(TAT
i. DESCRIPTOR:
n t
•i i
tl
•* 4
-r*n.
~r*n. *
H-2
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EXHIBIT H-2
1A. Can Center:
4
18. Account No.:
3A. Priority
C High
C Mtdium
G Low
38. Key EPA Contact:
Name:
Phone:
TAT ZONE II CONTRACT
CONTRACT NO. 68-01-7363
TECHNICAL DIRECTION DOCUMENT (TOO)
ECOLOGY AND ENVIRONMENT. INC.
4A. Estimate or
Total Houn:
Total Costs:
48. Overtime Approved:
(j Yes Q No
2. No.
T
Amen
SA. EPA Site Mama:
SB. SS10 No.:
SC. City/County /Sate:
6. Sourca of Funds: f~l Ot*»r
8 CERCLA
311
UST
9. Typ« of Activity:
CWA-311 CERCLA
•
7. Complation Oat
8. Reference Info:
DY« a Ate
a No QPleft
8A. Subask Code:
AS SPECIFIED ABOVE
ISPCC
I On-Scene Monitoring
J Soil! deaivvio Funded
Site Assessment
Removal Funded
Removal PRP (AO/CO)
> On. Site Monitoring
. Soecial Project
.J Analytical Project
J TITLE III
JUST
_>FEMA
Quality Anurance
Training
Program Management
Tecnnical AcsHttnca
Information
10. General Talk Description:
12. Specific Elements:
11. Desired Report
Form:
^ Formal Rtpo
J Letter Report
FomwiBrwf
2 Other I
13. Interim Deadlir
- - - - .. _ _
•'
14. Authorizing DPO:
(Signature)
- .-.--—
15. Date:
16. Received by: Q Accepted
Accepted with Exceptions (Attached)
G Rejected
17. Date:
(TATL Signature)
OuiriOutien:
5»«VT 1 VWHit*
S"»«t 2 Bin*
Sn*«r 3 C'i*n
Snr*t A Cjncrv
Sn**r 5
Coov
TATLCooy
2PM Cooy
>0 Coov
CO Coov
O'O Original IU«ua«M 9v
TOO;
H-3
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Cost Center (Box 1A); Enter the number of the TAT
Region that is being issued the TDD; in the sample, 07
is entered to indicate Region VII.
Account Number (Box IB): Leave blank; to be filled in
by the TAT contractor.
TDD Number (Box 2); Enter this serial number which
identifies the TAT Region in which the TDD is issued,
the calendar year and month, and the sequence number of
the TDD issued that month. For example, the number 07-
8701-03 is interpreted as follows: 07 refers to the TAT
location in Region VII; 87 refers to the calendar year
in which the TDD is issued; 01 is the month the TDD is
issued; and 03 indicates that this is the third TDD
issued in the month of January. If the TDD amends an
earlier TDD, check the "Amendment" blank.
Priority (Box 3A1; Check the box corresponding to the
priority of the request. The priority should reflect
whether an immediate action is required (high
priority), an action is to be taken within a definite
time period (medium priority), or an action is to be
taken within a flexible time period (low priority).
Key EPA Contact (Box 3B); Enter the name and telephone
number of the EPA person directly involved with
overseeing and managing contractor performance of the
task. This will typically be the OSC.
Estimate of Total Hours (Box 4A1; Enter an estimate of
the technical labor hours needed to accomplish the TDD
assignment. The estimate should be based on best
engineering judgment considering knowledge of the
project or task requirements, data needs, and previous
experience on similar projects.
Estimate of Total Costs (Box 4A); Enter an estimate of
the total cost including direct labor, travel,
expenses, and subcontracting.
Overtime Approved (Box 4B): The DPO must specify
whether overtime hours are allowable for the task
outlined in the TDD by checking the appropriate box.
EPA Site Name (Box 5A): Self-explanatory; if not
applicable enter N/A.
SSID No. (Box 5B): UST sites must be numbered to allow
cost recovery; see page 2 of Attachment I to the
Comptroller's Policy Announcement No. 87-13 (Appendix I
of this guidance). Contact the Regional Financial
Management Officer and ERD Regional Coordinator for
more information on assigning a site-specific ID
number.
H-4
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City/Countv/State (Box 5C); Enter the location of the
UST site; if not known, this can be entered by the
contractor. If not applicable enter N/A.
Source of Funds (Box 6); Check the UST box.
Completion Date (Box 7); Enter the date specified by
the DPO for the TAT contractor submittal of the
completed TDD assignment. Completion dates must not be
left open.
Reference Info (Box 8); This item allows the DPO to
provide the TAT contractor with any reference materials
or supplemental information necessary to expedite TDD
completion. At the same time, accountable control of
such information is maintained. Check the most
applicable box.
Type of Activity (Box 9); Check the UST box.
General Task Description (Box 101: In this section,
enter a description of the task requirements that
indicates the following:
The type of support desired;
The level of intensity required (the depth to
which certain issues should be pursued); and
Any other pertinent information.
The task description must clearly delineate the goals
and objectives of the activity and the desired products
and/or deliverables. Ambiguous phrases such as
"assist OSC" are not sufficient. Where no interim task
objectives are present, continuation of the general
task description can be made into Box 12. Where
interim task objectives are present, continuation of
the general task description should be made on a
separate sheet of paper that can be attached to the
TDD.
Desired Report Form (Box 11); The DPO should indicate
the type of end product desired for the TDD assignment.
Additional information can be provided in Box 12 or by
attaching additional sheets to the TDD.
Specific Elements (Box 12): In this section, elaborate
on the general task description and define interim task
objectives. This section should provide the TAT Leader
with a clear understanding of the objectives, expected
results, and required deliverables and/or reports. If
more space is needed, the continuation of the descrip-
tion of specific task elements should be made on a
separate sheet of paper that can be attached to the TDD.
H-5
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0 Interim Deadlines fBox 13li Denote completion dates,
where applicable, for the interim task objectives that
are specified on corresponding lines in Box 12.
o Signatures and Dates (Boxes 14-171: These sections are
self-explanatory. The TDDs are to be issued and signed
by the PO (or DPO with PO concurrence) and received and
signed by the contractor TAT Leader. If the TAT Leader
judges the TDD to be out of scope, or for other reasons
unacceptable, the appropriate box must be checked to
show the action. This is necessary to bring the matter
to the attention of the DPO, PO, Regional UST
Coordinator, and Headquarters Contracting Officer (CO).
An appropriate explanation can be noted on the right-
hand margin of the form.
o Distribution! Copies of the TDD should be distributed
as specified on the bottom of the form, plus an
additional copy to the Regional UST Coordinator.
The DPO should keep in mind three important points while
preparing a TDD. First, the DPO must be as specific as possible
in describing the scope of work to be performed by the TAT.
Second, the DPO must clearly indicate contractor reporting
requirements. And, finally, it is extremely important that the
DPO include in the TDD estimates for technical hours and costs
needed to accomplish the assignment.
Although exact tasks and response activities, particularly
those involving emergency situations, may be somewhat difficult
to define, it is very important to the extent possible to provide
specific guidance to the contractor on the expected work scope
(see Exhibit H-l, Boxes 4A and 10 - 13). The task description
should be as detailed as available information permits so that
there is a clear understanding by the TAT contractor of the
activity objective, yet allow some flexibility for alternative
and innovative actions by the contractor as conditions warrant.
Examples of candidate tasks which could be performed for
different types of response, corrective action, or prevention
work can be extracted directly from the TAT contract Statement of
Work (SOW).
Care must be taken by the DPO and TAT Leader to ensure that
all tasks requested and performed are within the bounds of the
TAT contract SOW. Particular attention must be given to ensure
that TAT TDDs do not involve personal services. For example, the
DPO must not direct the TAT to provide clerical support, travel
arrangements, or other personal services for EPA staff. The DPO
is also forbidden from specifying an individual TAT member to
perform a task. Specific TAT staffing decisions are the
responsibility of the TAT contractor.
The tasks included in any one activity will depend upon the
project-specific conditions. It may prove useful for the Region
to develop standardized work scopes for an activity and to use
H-6
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attlcSt ^0?h"?DD?S "ecessar* for a sP*ci«<= situation, as an
*
»
In addition, the TDD reporting requirements (Box 11) must be
spelled out such that the work product provides the degree of
detail desired by the DPO and therefore facilitates
accomplishment of the activity objectives. The DPO may wish to
develop standard report outlines for various types of activities
(i.e., facility inspection reports) and to attach these to the
TDD as appropriate.
Finally, the DPO is responsible for ensuring that an
estimate of technical hours and costs needed to accomplish the
TDD assignment is included in the TDD. These estimates may be
I* • *n J?ree lmP°rtant ways to ensure that the TAT performs
efficiently. First, these estimates can serve as the basis for
i?fiVi? ?°DS; The actual hours and costs can the" be compared
with the estimates. Any large differences between the figures
may be indicative of problems and should be reviewed by the DPO
Second, the estimated hours, used in combination with the
estimated completion date, can help to identify the need for
overtime to complete the task. Since the contract limits the
overtime which may be charged, overtime must be monitored.
The third use for the estimate of technical hours is to
provide the basis for comparison of total estimated hours for all
active TDDs with the total technical hours available. Total
technical hours available can be computed from the information in
the contract. The difference between the two figures will tell
the DPO to what extent available contractor resources are being
utilized. The TAT contractor can also provide this information
on a regular basis (e.g., biweekly).
2. TDD processing.
™«, the TDD is comPleted, it is signed by the DPO or the
DPO's designee and forwarded to the contractor TAT Leader. (When
the DPO plans to be out of the office and unavailable to perform
contract management functions, the DPO must submit a written
reguest, or telephone the PO and CO, for approval to appoint a
temporary assistant DPO; this reguest must be for a discrete
period of time.) The PO must also be notified by the DPO for
concurrence with the TDD. The PO will convey concurrence to the
ZPM, who will communicate this concurrence to the TAT Leader as
soon as possible. The contractor TAT Leader can take one of
three actions on the TDD:
o If the TDD is acceptable to the contractor TAT Leader
as issued by the DPO, the TAT Leader signs the TDD and
proceeds with performance of the assigned activities.
In general, the TAT contractor should be willing to
accept any assignment within the bounds of the TAT
contract SOW. However, as stated earlier, conducting
personal services for EPA staff is not allowed.
H-7
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o The TAT leader can accept the TDD with exceptions. In
this case, the exceptions are to be noted on the form
and a copy is returned to the DPO. The DPO and TAT
Leader are to resolve these exceptions prior to the
contractor commencing work. If necessary, a revised
TDD should be issued reflecting resolution of any
exceptions. If the issue cannot be resolved on this
level, the DPO should consult with the PO in
Headquarters for guidance. If necessary, the PO will
consult with the contractor ZPM to try to resolve the
situation. If it is resolved, the DPO may issue a
revised TDD reflecting the issue resolution and the
contractor will proceed with task performance. If the
PO and contractor ZPM cannot resolve the issue, the
matter is referred to the CO for final resolution.
Where possible, and with concurrence of the DPO, the
contractor should begin work on the acceptable work
elements of the TDD, pending resolution of the points
at issue.
o If the contractor TAT Leader rejects the TDD, it is
returned to the DPO with an explanation of the reasons
for rejection. The DPO and TAT Leader are to confer to
resolve the situation. If a resolution is reached, a
revised TDD can be issued, if necessary, and the
contractor proceeds with the task. If the DPO and the
TAT Leader cannot resolve the problem, the DPO should
contact the PO for guidance as explained above.
When the TDD is acceptable to both the TAT Leader and the
DPO, it should be signed and dated. Appropriate copies should be
placed in the contractor's and EPA's central TDD files. The DPO
should then send copies of the TDD to the PO, CO, and the
Regional UST Coordinator.
B. TDD Amendments
In the event that an issued TDD needs revision, the DPO must
issue a TDD amendment containing the appropriate changes. Events
that require TDD amendments may include, for example, an original
underestimation of a project's magnitude or an acceleration of a
project's period of performance. The original TDD's number will
be used, with a check in the "Amendment" blank (Box 2). The
revised TDD should include the material contained in the original
TDD and the revised information so as to be capable of standing
alone. Amendments are to be processed in the same manner as
described above.
C. Special Project TDDs
Funding has been obligated for the performance of special
projects under the TAT contracts. All TAT Special Projects TDDs
for Federal-lead UST corrective actions must be signed and issued
by the appropriate PO, after conferring with the Regional UST
Coordinator. If a special project is required, the PO may
H-8
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should include a detailed technina J contractor's work plan
SS.355^ ™-°;
o Technical approach for the activity
problems, and proposed solutions
o Detailed breakdown of tasks to be performed.
o
o
o
Analysis of resources (level) expected for each task.
Anticipated total labor cost for each task.
for
o
o
o
Schedule, including critical path and milestones.
Listing and schedule of deliverables.
Safety and contingency measures.
Upon review of the plan, the PO will approve and issue the TDD.
H-9
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Comptroller's Policy Announcement No. 87-13
1-10
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