Site assessment and mitigation submittals

Technical guidance documents for many site assessment and mitigation submittals are available from the Department of Toxic Substances Control (DTSC), San Francisco Bay Regional Water Quality Control Board (Regional Board), and the United States Environmental Protection Agency (USEPA).

Brief descriptions of potential submittal documents are presented below.

Contact us if you have any general questions.

Site History Report

A Site History Report may be required per Health Code 22A.6. A Phase I Environmental Site Assessment (Phase I ESA) meeting the ASTM E1527-21 standard can be submitted to the Site Assessment and Mitigation Program to satisfy this requirement. Phase I ESAs must be prepared by an environmental professional as defined in 40 CFR 312.10, and must include the certifications required in Health Code Article 22A.6. The primary findings of the Phase I ESA are the Recognized Environmental Conditions (RECs).

Subsurface Investigation Work Plan

A Subsurface Investigation Work Plan may be required per Health Code 22A.7. This work plan is sometimes called an environmental site assessment work plan, or a Phase II ESA work plan. This work plan will describe a strategy for investigating RECS identified in the Phase I ESA.

This must be prepared by a Professional Geologist or Professional Engineer licensed in California. Your work plan should include:

• Introduction
• Site description
• Conceptual Site Model (CSM)
• Scope of Work
• Sampling and Analytical Methods
• Quality Assurance/Quality Control
• Health and Safety
• Data reporting

Review Health Code 22A.7 to see specific requirements of the work plan.

Some sampling activities may require additional permits. If any borings are greater than 5 feet deep, apply for a drilling permit. If your investigation is in any public right-of-way, obtain the appropriate encroachment permits.

After you obtain our approval, implement the work plan as described and approved. Notify us of any as-needed 5-foot step-out borings. Submit a variance request for review and approval for any other deviation from the approved plan, prior to implementation.

Subsurface Investigation Report

A Subsurface Investigation Report may be required per Health Code 22A.8. This report is sometimes called a Phase II ESA. This report will document implementation of the Subsurface Investigation Work Plan, and present findings and recommendations.

This must be prepared by a Professional Geologist or Professional Engineer licensed in California. Your report should include:

• Executive summary
• Introduction
• Site description
• CSM
• Field activities
• Laboratory analysis
• Results
• Data Evaluation
• Conclusions and recommendations

The Subsurface Investigation Report should evaluate whether any of the following are concerns and recommend mitigation or other actions:

• Construction worker exposures
• Releases of impacted soil or dewatering water to the environment
• Waste disposal
• On-site commercial, industrial, residential or sensitive receptor exposures
• Off-site receptor exposures
• Historical contaminant releases

Review Health Code 22A.8 to see specific requirements of the report.

Site Mitigation Plan

A Site Mitigation Plan (SMP) may be required per Health Code 22A.10. The SMP is sometimes also called a risk management plan. The SMP describes how a project will manage and reduce environmental and human health risks. This must be prepared by a Professional Geologist or Professional Engineer licensed in California. Your plan should include:

• Introduction
• Site description and history
• Construction scope
• Construction mitigation measures
• Engineering and institutional controls
• Reporting and documentation
• Certifications described in Health Code 22A.10

Dust Control Plan

A site-specific Dust Control Plan (DCP) may be required for projects greater than 0.5 acres, per Health Code Article 22B. The DCP is sometimes also called a Dust Management Plan, or Dust Mitigation Plan. The DCP describes how a project will monitor, minimize, and control the potential generation of dust.

Submit a DCP meeting the Community Air Monitoring Plan Guidance (CAMP Guidance) to satisfy this requirement. This must be prepared by a Professional Geologist or Professional Engineer licensed in California.

Engineering Control Design Plan

If your SMP includes engineering and institutional controls, then an Engineering Control Design Plan may be required per Health Code 22A.10. These plans often are a Soil Cap Design Plan, or a Vapor Intrusion Mitigation System Design Plan (VIMS Design Plan). These plans describe the engineering controls, describe the design basis, and may provide information in construction-level detail.

These must be prepared by a Professional Engineer licensed in California. Depending on your engineering control, your plan should include:

• Introduction
• Site description and history
• Description of engineering control
• Basis of design
• Product information, technical specs, and performance data
• Storage, handling, installation measures
• Construction quality assurance measures
• Post-installation testing, monitoring, and verification
• Construction quality assurance reporting
• Operations and maintenance
• Institutional controls
• Construction plans and details
• Certification

The Engineering Control Design Plan must include a statement, signed by a California-licensed Professional Engineer, certifying that hazardous substances present in the subsurface are likely to pose significant health and safety risks based on the site’s intended use; and that in the engineer’s judgement, those risks will be mitigated if the recommended engineering control measures are implemented.

Construction Quality Assurance Report

If your SMP has engineering and institutional controls, a Construction Quality Assurance (CQA) Report is required. This is also sometimes referred to as a Construction Completion Report. This CQA report documents construction of the engineering control, and verification of its performance, and certifies that the building is safe to occupy.

These must be prepared by a Professional Engineer licensed in California. Depending on your engineering controls, your plans should include:

• Executive summary
• Introduction
• Project team and responsibilities
• System design overview
• Construction activities
• Construction Quality Assurance (CQA) measures
• Materials and equipment used
• Performance verification and monitoring results
• Deficiencies and corrective actions
• Conclusion and certification
• As-built drawings
• Inspection checklists
• Photographs
• Field notes
• Installer certifications

The CQA Report must include a statement, signed by the Applicant, certifying that all mitigation measures recommended in the SMP and Engineering Control Design Plan have been completed and verified; and that the Applicant recognizes that it has a nondelegable duty to perform site mitigation; that it, and not the City, is responsible for site mitigation; that it, not the City, attests to and is responsible for the accuracy the representations made in the certification, and that it will continue to remain liable and responsible, to the extent such liability or responsibility is imposed by State and federal law, for its failure to perform the site mitigation.

Operation and Maintenance Plan

An Operation and Maintenance Plan may be required per Health Code 22A.10(d), if your SMP includes an engineering control and institutional control. This plan is typically either a Cap Maintenance Plans (CMP), or Vapor Intrusion Mitigation System Operations, Maintenance, and Monitoring Plan (VIMS OMMRP). If there are multiple engineering controls, a Site OMMRP may be submitted.

These must be prepared by a Professional Engineer licensed in California. Your plans should include:

• Introduction
• Site description and history
• Project roles and responsibilities
• Engineering control description
• Operating procedures
• Monitoring and Inspection procedures
• Maintenance procedures
• Corrective actions
• Contingency plan
• Construction quality assurance reporting and notifications
• Monitoring and inspection forms
• As-Builts

Site Mitigation Completion Report

A Site Mitigation Completion Report (SMCR) may be required per Health Code 22A.11. This is sometimes also called a Final Report and Certification. This report documents all the mitigation activities performed to comply with Health Code 22A, including the implementation of all SMP and DCP activities, and completion of any CQA Report, Operations and Maintenance Plan, and Covenant and Environmental Restriction.

These must be prepared by a Professional Engineer licensed in California. Depending on your engineering and institutional controls, your SMCR should include:

• Reference to the SMP, and if applicable the DCP
• Description of all construction mitigation measures implemented
• Any incidents that required a contingency response
• Documentation and summary tables of soil and groundwater testing, transportation, and disposal
• Dust monitoring data and summaries
• Description of all engineering and institutional controls implemented per the SMP and Engineering Control Design Plan.
• As-built drawings
• Reference to the Construction Quality Assurance Report, if any
• Reference to the Operation and Maintenance Plan, if any
• Reference to the Covenant and Environmental Restriction, if any

Dust Control Completion Report

For projects that are subject to Health Code Article 22B (Construction Dust Ordinance) and that are not subject to Health Code Article 22A (Maher Ordinance), a Dust Control Completion Report (DCCR) is required following the completion of dust-generating activities and construction. The DCCR shall include the project’s full compilation of periodic dust monitoring reports.