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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