United States
                    Environmental Protection
                    Agency
                         Office of Emergency
                         and Remedial
                         Response
Publication:
 9355.5-01/FS
February 1990
    cvEPA
EPA  Oversight of  Remedial
Designs and Remedial Actions
Performed  by PRPs
Office of Emergency and Remedial Response
Hazardous Site Control Division OS - 220
                                        Quick Reference Fact Sheet
INTRODUCTION

This fact sheet presents an overview of the
Environmental Protection Agency's (EPA)
guidance for oversight of enforcement lead
projects in which a Potentially Responsible
Party (PRP) conducts the Remedial Design
(RD) and Remedial Action (RA). The objec-
tives of PRP oversight are to ensure that se-
lected remedies being conducted by the PRP
are protective of public health and the environ-
ment, and are in compliance with the Settle-
ment Agreement. For more information con-
cerning this subject, refer to Interim Final
Guidance on EPA Oversight of Remedial
Designs and Remedial Actions Performed by
Potentially  Responsible Parties. OSWER
Directive 9355.5-01, February 1990.

The guidance introduces  the "focused" ap-
proach to oversight of PRP lead RD and RA
activities. First, ttte oversight effort must focus
on certain key documents such as the RD and
RA Work Plans, project schedules, preliminary
design, final design, Construction Quality As-
surance (QA) and Construction Quality Control
(QC) Plans, and the Contingency Plan. The
second step is the utilization of an Independent
Quality Assurance Team  (IQAT) during con-
struction. The impact of the focused approach
is to allow RPMs to utilize their oversight
activities in a more efficient manner, and still
                      hold PRPs accountable for the RAs. Flexibility
                      is provided to adjust the level of oversight
                      based on the performance of the PRP. All
                      aspects of oversight are always structured so
                      the PRPs, not EPA, remain legally responsible
                      for the success of the response action.

                      ROLES AND RESPONSIBILITIES

                      Figure 1 presents an organizational chart
                      illustrating the typical relationships in an
                      enforcement lead project.  A "reporting rela-
                      tionship" is defined as a direct line responsibil-
                      ity in which one party is required to report the
                      results of their work. The PRP has a "reporting
                      relationship" with the EPA as a condition of
                      the Settlement Agreement. Where "lines of
                      communication" are indicated in Figure 1, it
                      means an information exchange is usually
                      necessary for  a successful implementation of a
                      remedy, however, there is no legal requirement
                      for such communication.

                      ENVIRONMENTAL PROTECTION
                      AGENCY

                      Remedial Project Manager (RPM): After en-
                      suring the public health and environment are
                      protected, EPA's primary goal is to confirm the
                      PRPs meet all performance standards specified
                      in the Settlement Agreement.  The RPM with
                      assistance from the Oversight Official provide
                      this function.

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                                      FIGURE 1

      RELATIONSHIPS AMONG PARTIES WHEN RD/RA IS              BY A PRP
                         EPA
       OVERSIGHT
      OFFICIALS (s)
                     REPORTING RELATIONSHIP
                     LINES OF COMMUNICATION
      n-
      PRP
      INDEPENDENT
         QUALITY
       ASSURANCE
          TEAM
   REMEDIAL
    ACTION
CONSTRUCTOR
n
   REMEDIAL
    DESIGN
PROFESSIONAL
  The role of the RPM during RD/RA include the
  following;

      Review and approve the qualifications of RD
      Professional, RA Constructor, and 1QAT;

   _  Review and approve the RD and RA Work Plans,
      preliminary and final design, Construction QA
      and Construction QC Plans, Contingency Plan,
      and Project Closeout Report;

      Conduct progress meennp with the PRPs on a
      periodic basis;

      Ensure that construction activities are not endan-
      gering the public health or environment;

   _  Monitor the construction QA program;

      Coordinate interaction among all government
      entities involved, including the State and local
      municipalities; and

      Verify that the work is complete and initiate
      project closeout activities.

  Oversight Official: The RPM acquires techni-
  cal assistance for performing oversight by
              engaging an Oversight Official capable of
              providing support in all technical aspects of the
              RD and RA.  The oversight official is under
              some form of contractual or interagency agree-
              ment with EPA and reports directly to the
              RPM.  In addition to reviewing PRP submittals
              and reports, they make on-site observations of
              the work in progress to monitor the PRP's QA
              program. The Oversight Official is a represen-
              tative of the EPA but does not have authority to
              authorize any deviation from the contract
              documents or assume any of the responsibili-
              ties of the constructor. The recommended op-
              tions available for oversight support include
              Alternative Remedial Contract Strategy
              (ARCS), the US Army Corps of Engineers
              (USAGE), or the Bureau of Reclamation.

              POTENTIALLY RESPONSIBLE PARTIES

              All work is done under the PRP's control and
              they are responsible for the long term perform-
              ance of the remedy. The PRPs provide the
              necessary input to effect site remediation,
EPA Oversight of RD/RAs Performed by PRPs
                                           1
                                                Page 2

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  whether done with "in-house" resources, or
  through the use of hired contractors. The PRP
  assigns the work to the RD Professional, the
  RA Constructor, and the IQAT.

  Remedial Design Professional: The primary
  function of the RD Professional is to provide
  the PRP with a set of plans and specifications
  for the proposed remediation which meets the
  requirements and is within budget and on
  schedule.  Major tasks which the RD Profes-
  sional may be responsible to perform include
  the following:

   _  Collect, evaluate, and interpret data required for
       the design;

   _  Provide a complete engineered design of the R A;

       Identify and obtain easements, permits, and
       approvals necessary for the RD/RA;

       Update plan and specification changes during
       construction.

  In  addition to the above responsibilities, the
  RD Professional will usually be required to
  provide a Resident Engineer to act as the PRP's
  agent on the site during construction. This
  person is one of the most critical in establishing
  and maintaining construction quality on the
  site.  Typically the Resident Engineer is re-
  quired to:

       Serve as the PRP and RD Professional's liaison
       with the RA Constructor;

       Maintain job records, review submittal schedules,
       and log shop drawings and samples;

       Review work performed, disapprove defective
       work, and verify that test and start-up procedures
       are accomplished;

       Prepare progress reports, make recommendations
       concerning inspections and tests, and draft change
       orders;

       Conduct the pre-final and final inspection of
       completed work; and

       Prepare a Project Closeout Report.
Remedial Action Constructor: The RA
Constructor's primary responsibility is to meet
the quality standards specified by the design
and accepted trade practices. The constructor is
responsible to the PRP for implementing and
maintaining the QC program. The following is
a list of responsibilities that generally apply to
RA Constructors on most jobs:

  _  Obtain all necessary construction permits and
     approvals;

  _  Construct the project according to the plans and
     specifications;

  _  Provide progress schedules and other required
     submittaJs;

  _  Maintain "Record Drawings" at the site, properly
     noting all changes made during construction;

     Be responsible to the public and to site personnel
     for project safety;

     Implement and maintain a construction QC
     program; and

     Cooperate fully with inspection authorities.

Independent Quality Assurance Team: The
IQAT members are representatives from
testing and inspection organizations, independ-
ent of the constructor, that are responsible for
examining and testing various materials, proce-
dures, and equipment during the construction.
Since the PRP is responsible for the QA of the
remedy, the IQAT is  retained by the PRP.
Typical functions of the IQAT are to:

  _  Direct and perform tests for QA inspection
     activities;

  _  Verify that the Construction QC Plan is imple-
     mented;

  _  Perform independent on-site inspections of the
     work to assess compliance with project standards;

  _  Verify that equipment and testing procedures
     meet the test requirements; and

     Report to the PRP and EPA the results of all
      inspections.
EPA Oversight of RD/RAs Performed by PRPs
                                                  -4
                                         Page 3

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  MODEL SETTLEMENT AGREEMENT
  FOR REMEDIAL DESIGN/ACTION

  The term "Settlement Agreement" used in this
  fact sheet refers to either an administrative
  order on consent or a judicial consent decree.
  It is a commitment by the PRPs that they will
  finance and perform the RD and RA in accor-
  dance with the provisions set forth in the
  Settlement Agreement

  EPA is developing a "Model  Consent Decree
  for RD/RA" and a "Model Unilateral Order for
  RD/RA" to be used as a guide in preparing
  Settlement Agreements. These models will
  incorporate the essential provisions (e.g., sub-
  mittal requirements and QA/QC requirements
  to include IQAT) to implement the guidance
  described in this fact sheet.

  REMEDIAL DESIGN AND REMEDIAL
  AgTION OVERSIGHT

  Figure 2 presents a flow chart illustrating the
  RD/RA process steps required for the success-
  ful implementation of the focused approach to
  oversight.  The "diamonds" in the figure
  represent decision or review points that are the
  RPM's responsibility and are considered criti-
  cal to the quality and success of the project.

  An approval of any of the RD/RA work ele-
  ments at any stage by EPA in no way guaran-
  tees the success or failure of the ultimate
  remedy. It merely assesses their acceptability
  with regard to RA goals in accordance with the
  Settlement Agreement.  It does not warrant that
  the specified performance standards will be
  met.
  REVIEW OF QUALIFICATIONS

  The PRP is responsible for selecting the RD
  Professional, RA Constructor, and the IQAT
subject to the approval of EPA.  EPA reviews
and approves these selections by using the
following criteria for guidance:

  _  Professional and ethical reputation;

  _  The principal and other responsible members of
     the design firm must be registered professional
     engineers;

     Experience and expertise in the type of design,
     construction, or QA activities required;

  _  Capability and resources to perform the required
     services within the time allotted; and

     Confirmation that the QA Team is truly independ-
     ent and autonomous from the RA Constructor.

If a PRP elects to use "in-house" resources to
implement the RA, it is inappropriate for PRP
"in-house" personnel to also be  used for QA. It
is necessary  for the QA Team be completely
independent of the RA Constructor so the
inspection is unbiased and objective. In this
situation, it is preferable that EPA utilize the
Oversight Official to provide independent QA
services.
REVIEW OF REMEDIAL DESIGN AND
REMEDIAL ACTION WORK PLANS

The RD and RA Work Plans are areas of focus
for the RPM and Oversight Official. These
plans are the basis for the PRP's approach to
the implementation of the remedy.  They
should be reviewed for their thoroughness and
approach, and to ensure they contain the fol-
lowing items:

     Tentative formation of the design and construc-
     tion teams, including roles and relationships and
     the process for selection;

  _  A Health and Safety Plan for design and construc-
     tion activities;

     Requirements for additional field data collection
     and treatability studies;
EPA Oversight of RD/RAs Performed by PRPs
                                     Page 4

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FIGURE 2
RD/RA OVERSIGHT PROCESS
I
PRP

1 	

RD/RA NEGOTIATIONS
f : i
SETTLEMENT AGREEMENT
1 i
SELECT RD ' ^ RE
PROFESSIONAL j
t ,
PREPARF pn WHRK PI AN ^.

1
1
DATA '
r-nLLETPN/TRFATARH "TV *a|
STUDY
t '
nnrri IMIMARY HF^irSN 	 fci

j .
!
i
1
1
t 1
tMTrnisnniftTf™ nr**sirtM <^ 1 	 n^< nr

A '
PRE-FINAUFlNAL DESIGN 1
INCLUDING; , fc
. CONSTRUCTION QA PLAN '
•CONTINGENCY PLAN |
t ;
1


1
EPA OVERSIGHT OFFICIAL

ROD '
I




i
EVIEW RD PROFESSIONAL QUALIFICATIONS
1
REVIEW RD WORK PUN
NO / X.
YES ] ,
1
REVIEW PRELIMINARY
NO / X 1
- APPROVALS '
YES f '
I
EVIEW INTERMEDIATE DESIGN (OPTIONAL)
i
1
REVIEW PRE-FINAL/FINAL DESIGN
NO 	 APPROVALS I
YES Y'
1



EPA Oversight of RD/RAs Performed by PRPs ,
                                     \°
PageS

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                                    FIGURE 2 (Continued)
                                  RD/RA OVERSIGHT PROCESS
              PfW*
    EPA
OVERSIGHT OFFICIAL
              RA WORK PLAN
      REVIEW RA WORK PLAN
      SELECT RA CONSTRUCTOR
                     TEAM
              I
                                        YES
                                                           1
                           •«	•*
      PREPARE CONSTRUCTION
             QCPLAN
                     QCPLAN
                                        NO
                                           YES
                            PRE-CONSTRUCTION CONFERENCE
              1
           CONSTRUCTION
              i
             IMPLEMENT
        CONSTRUCTION QA/QC
              PLANS
               t
           OVERSIGHT
                              PRE-FINAL / FINAL INSPECTION
         CORRECT PUNCH LIST
NO   /  PASS
     'INSPECTION;
         ?
               t
            INITIATE O & M
PREPARE CLOSEOUT
REPORT
j

k
1
1
REVIEW CLOSEOUT REPORT

! A i
1 N0 J^POTMM\. 1
EPA Oversight of RD/RAs Performed by PRPs
             \\
               Page 6

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    _  A design and construction schedule;

       Design criteria and assumptions;

       Method to implement the Construction QA Plan,
       including criteria and composition of the IQAT;

       Strategy for implementing the Contingency Plan;
       and

       Requirements for project closeout.
  DESIGN REVIEWS

  In performing the review of the RD submittals,
  the Oversight Official and the RPM use their
  professional training to evaluate the adequacy
  of the design with respect to all environmental
  and public health requirements. All subsequent
  reviews are based on proceeding reviews with
  consideration of the following:

       Technical requirements of the ROD, Settlement
       Agreement, and ARARs;
    _   Currently accepted environmental protection
       technologies;

       Standard pofessional engineering practices;
       Applicable statutes, EPA policies, and repla-
       tions;

       Conformance with results of field data and
       treatability studies;
    _   Reasonableness of estimated quantities of
       materials specified based on known data; and

    _   Examination of the construction schedule for
       meeting project completion goals,

  Preliminary Desipi Review:  The preliminary
  design review is the most critical technical
  review performed during RD oversight since it
  sets the pattern and direction of the entire
  design process. The preliminary design sub-
  mittal from the PRP should include the follow-
  ing elements:

       Design criteria;
  _  Project delivery strategy;

  _  Results of treatability studies and additional field
     sampling;

  _  Preliminary plans, drawings, and sketches;

     Outline of required specifications; and

  _  Preliminary construction schedule.

Intermediate Design Review:  The intermedi-
ate design review is an optional review and
would normally only be performed for larger,
complex designs or when required by the Set-
tlement Agreement. The design is reviewed to
determine that comments from the preliminary
design review have been incorporated.

Pre-Final/Final Design Review; The final
design submittal package from the PRP should
include  the following:

  _  Final design plans and specifications;

  _  Operation and Maintenance (O&M) Plan;

     Field Sampling Plan (FSP) for construction of the
     project;

     Construction QA Plan. This plan describes the
     site specific components of the QA program to
     ensure the completed project meets or exceeds all
     design criteria, plans, and specifications; and

  _  Contingency Plan. This is written for the local
     affected population in the event of an accident or
     emergency at the site.

The approval of the final design is acceptance
that the project may proceed to initiation of
RA.
CONSTRUCTION QUALITY ASSUR-
ANCE AND CONTROL PLANS

The focused approach to RA oversight is
directed at the implementation of the Construc-
tion QA and the Construction  QC Plans.
Quality is conformanee to properly developed
EPA Oversight of RD/RAs Performed by PRPs
                                        Page?

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  requirements. In the case of construction
  contracts, these requirements are established by
  the contract specifications and drawings. QA
  is planned and systematic actions by the PRP to
  provide confidence that the completed remedy
  meets these requirements. The IQAT is used to
  provide this level of confidence to the PRP by
  testing and inspecting the work of the RA Con-
  structor. Construction QC, i.e.,  the system to
  manage, control, and document  compliance
  with requirements, is the responsibility of the
  RA Constructor.

  The Construction QA Plan is normally pre-
  pared by the RD Professional and is submitted
  with the final design. It is the responsibility of
  the Resident Engineer to implement it through
  the IQAT. The use of the IQAT will provide
  for an unbiased implementation of the Con-
  struction QA Plan. The Construction QC Plan
  is prepared by the RA "Constructor and it
  should be indicative of the scope and complex-
  ity of the work as well as the project require-
  ments.

  PRE-CONSTRUCTION CONFERENCE

  The PRP will initiate a meeting prior to the
  start of construction on the project. The par-
  ticipants would include representatives of all
  parties involved in the RA. The purpose of this
  meeting is to establish the project scope and
  expectations, and define the roles and relation-
  ships of all parties.

  IMMEDIATE DANGER AND EMER-
  GENCY RESPONSE

  In the event any action during the performance
  of the remedial activities causes or threatens a
  release which may present an immediate
  danger to the on-site construction workers, the
  PRP shall take actions in accordance with the
  Health and Safety Plan. If there is substantial
  danger to the off-site public health or environ-
ment, the Contingency Plan shall be imple-
mented.

If the Oversight Official observes any activities
presenting imminent and substantial endanger-
ment, the authorized representative of the RA
Constructor or PRP shall immediately be
notified. During an emergency, the RPM and
the Oversight Official should closely monitor
the situation. EPA does have the authority stop
work on the site if the conditions present an
immediate danger to the public health or wel-
fare or environment.

PRE-FINAL/FEVAL INSPECTION

The PRP conducts the pre-final and final
inspection of completed work with EPA, the
Oversight Official, and other agencies with a
jurisdictional interest. The purpose of the in-
spections is to determine that all aspects of the
plans and specifications have been imple-
mented, and to develop a punch list of items
that have not been completed. A final inspec-
tion is conducted to verify all the items on the
punch list have been corrected.

PROJECT CLOSEOUT REPORT

At the completion of the RA and correction of
all punch list items, the PRP (usually the
Resident Engineer) prepares a Project Closeout
Report which certifies project completion. The
report includes documentation substantiating
that the performance standards have been met
and also includes "Record Drawings" of the
project. The Oversight Official reviews the
Project Closeout Report and verifies that all
changes and variations  from the original
contract drawings have been made on "Record
Drawings". The RPM then initiates the project
completion and deletion process.
EPA Oversight of RD/RAs Performed by PRPs
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