August 2016 (rev)

HANDBOOK FOR USING

THIRD-PARTY CONTRACTORS

TO PREPARE ENVIRONMENTAL DOCUMENTS

For Natural Gas Facilities and

Hydropower Projects

Federal Energy Regulatory Commission

Washington, DC 20426
i

TABLE OF CONTENTS

Chapter 1. INTRODUCTION AND OVERVIEW.............................................. 1-1

PROGRAM OVERVIEW................................................................................. 1-1

PRE-FILING CONSULTATION...................................................................... 1-2

PREPARATION OF A DRAFT RFP............................................................... 1-2

SELECTION OF THE THIRD-PARTY CONTRACTOR................................. 1-3

PREPARATION OF THE ENVIRONMENTAL DOCUMENT......................... 1-6

FERC CONTACTS......................................................................................... 1-6

Chapter 2. SPECIFIC GUIDELINES FOR REQUEST FOR PROPOSALS.... 2-1

Chapter 3. SAMPLE REQUEST FOR PROPOSALS..................................... 3-1

Sample RFP – Using the Commission’s Pre-Filing Process.................... 3-2

DISCLAIMER.............................................................................................. 3-3

HOLD HARMLESS..................................................................................... 3-3

1.0 BACKGROUND, OVERVIEW, AND SCOPE.................................. 3-4

2.0 SERVICES REQUIRED................................................................... 3-9

3.0 PROJECT TIMELINE .................................................................... 3-13

4.0 PROPOSAL REQUIREMENTS AND PROCESS ......................... 3-15

5.0 SELECTION CRITERIA ................................................................ 3-20

Sample RFP – Traditional Certificate Application ................................... 3-22

DISCLAIMER............................................................................................ 3-23

HOLD HARMLESS................................................................................... 3-23

1.0 BACKGROUND AND OVERVIEW ............................................... 3-24

2.0 SERVICES REQUIRED................................................................. 3-29

3.0 PROPOSAL REQUIREMENTS..................................................... 3-33

4.0 SELECTION CRITERIA ................................................................ 3-38

Chapter 4. FERC's ORGANIZATIONAL CONFLICT OF INTEREST AND OFFTHE-RECORD COMMUNICATIONS (EX PARTE) REQUIREMENTS............. 4-1

Off-the-Record Communications ................................................................ 4-2

Contractor's OCI Disclosure and Representations................................... 4-3

APPENDICES:

A – OCI Representation/Disclosure Statement

B – OCI Questionnaire

C – Contractor’s CEII Non-Disclosure Agreement

D – OCI Certification
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E – Project Overview Map

F – List of Available Background Documents

G – Sample Memorandum of Understanding
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Chapter 1. INTRODUCTION AND OVERVIEW

The Federal Energy Regulatory Commission’s (FERC or Commission) voluntary 

third-party contracting program enables applicants seeking certificates for natural gas 

facilities and licenses for hydropower projects to fund a third-party contractor (3PC) to 

assist the Commission staff in reviewing the environmental aspects of applications and 

preparing the environmental documents required by the National Environmental Policy 

Act of 1969 (NEPA). These environmental documents could be environmental 

assessments or environmental impact statements, depending upon the potential project 

impacts.

Congress provided authorities for the use of 3PCs on hydropower projects in the 

Energy Policy Act of 1992.1

 The Commission formally extended this to pipeline projects 

in 1994 through a Commission notice2 citing Council on Environmental Quality 

regulations on 3PC use.3

 This handbook provides guidance on how the program works 

for natural gas and hydropower projects analyzed by the Commission's Office of Energy 

Projects (OEP).

PROGRAM OVERVIEW

In the context of the Commission's program, third-party contracting involves the 

use of an independent contractor to assist the FERC staff in its environmental analyses 

and review of a proposal. Under this voluntary program, the independent contractor is:

 selected by the Director of OEP and works solely under the direction of the 

OEP staff;

 responsible for conducting environmental analyses and preparing 

environmental documentation; and

 paid by the project applicant(s).

Third-party contracting provides OEP with additional flexibility in satisfying the 

Commission's NEPA responsibilities. It also complements other procedures presently in 

place for the environmental review of natural gas and hydropower projects, including the 

Commission’s Pre-Filing Processes. For hydropower projects, such contracts have been 

used for applicants using the Commission’s Alternative Licensing Process; however, 

 

1 See the Environmental Policy Act of 1992, P.L. No. 102-186 and 16 U.S.C. 797d. 

2 See News Release issued February 9, 1994. Subsequent announcements were published in the 

Commerce Business Daily (March 25, 1994) and the Federal Register (April 20, 1994). 

3 See Question 16 of NEPA's Forty Most Asked Questions at 

https://ceq.doe.gov/nepa/regs/40/40p3.htm. 
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there is the potential to use it for both the Integrated Licensing Process as well as the 

Traditional Licensing Process. To fully explore this potential, an applicant for a 

hydropower license or relicense should contact the OEP Hydropower Licensing Program

staff identified at the end of this chapter.

PRE-FILING CONSULTATION

Traditional Applications

For traditional certificate application filings and those using the Traditional 

Licensing Process (i.e., those NOT involving the Commission’s Pre-Filing Process), the 

applicant should plan to have the 3PC under contract concurrent with the filing of the 

application. As a result, the applicant should plan on meeting with FERC staff before 

completing the Request for Proposal (see the following section). Doing otherwise will 

delay the review of the application and preparation of the environmental document. 

Thus, we4 strongly recommend that applicants meet with us to discuss their proposals, 

whether or not third-party contracting would fit their particular needs, and to answer any 

questions they might have relative to the program itself.

Pre-Filing Process

For certificate and license application filings where an applicant intends to use one 

of the Commission’s Pre-Filing Processes that engage Commission staff in the 

application preparation phase, it is extremely important that the applicant meet with us 

well in advance of its planned date for asking us to approve the use of that program5

. 

This will not only allow us to properly prepare for the request, it will help to ensure that 

the request will contain everything we need to make a decision.

PREPARATION OF A DRAFT REQUEST FOR PROPOSAL

Following a decision to use a 3PC and before an application is filed or a request 

for use of the Commission’s Pre-Filing Process is submitted, the applicant will prepare a 

draft Request for Proposals (RFP). The draft RFP will be submitted for review and 

approval by the OEP staff before the RFP is issued by the applicant. The draft RFP 

 

4 “We”, “us,” and “our” refer to staff of the Office of Energy Projects

5 In lieu of third-party contracting, applicants proposing natural gas or hydropower projects of 

small to moderate size as well as license amendments may want to consider using an applicantprepared draft EA. Contact OEP staff listed in this document regarding that process.
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should be submitted directly to the OEP staff, rather than formally filed with the 

Commission. 

The draft RFP will include a distribution plan that identifies where the RFP will be 

advertised/posted. This information must demonstrate that the RFP will be widely

distributed (e.g. posted to applicant’s website, RFP databases/services, provided to 

professional associations, provided to a wide range of potential contractors). 

To assist applicants in developing an RFP for selection of 3PCs, we have included 

specific guidelines for the content of RFPs in Chapter 2. The elements presented in 

these guidelines must be incorporated into all draft RFPs. In addition, Chapter 3 

contains two sample RFPs (based on RFPs previously used) that show how the specific 

guidelines in Chapter 2 might translate into an actual RFP.

SELECTION OF THE THIRD-PARTY CONTRACTOR

Following OEP staff's review and approval of the draft RFP, the applicant will:

1. Issue the approved RFP per the distribution plan.

2. Screen all proposals received for Organizational Conflict of Interest (OCI).

3. File in the project docket (once a docket number is established) a certification 

that the RFP was widely distributed. 

4. Submit to the OEP staff one electronic and one hardcopy of all proposals 

received in response to the RFP, including: technical proposals, cost proposals, 

OCI materials, and Critical Energy Infrastructure Information (CEII) nondisclosure agreements. All proposals must also be filed in the project docket in 

accordance with the Commission’s instructions for filing of privileged 

material. For each proposal submitted, the applicant must review carefully all 

OCI materials to determine whether the candidate contractor, including any 

subcontractor(s), is capable of impartially performing the environmental 

services required under the third-party contract. The applicant must provide an 

OCI certification stating that it has reviewed the proposal for OCI and found it 

to be acceptable or an explanation if found unacceptable. The applicant may 

also provide an appraisal or ranking of the proposals and identify any proposal 

it considers unacceptable based on technical, cost, or other factors. 

Commission staff will consider this information in its independent evaluation 

of the proposals. 

a) For projects proceeding under one of the Commission’s traditional 

processes, i.e., NOT one of the Commission’s Pre-Filing Processes, this 
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material should be submitted directly to the OEP staff and filed no later

than when the certificate or license application is filed. 

b) For projects which ARE expected to proceed under one of the 

Commission’s Pre-Filing Processes, the material listed above must be 

provided to the OEP staff and filed no later than the request for approval 

to use that process.

Lack of an OCI Statement, or the existence of an identifiable OCI that cannot be 

mitigated to the Commission staff's satisfaction, will be sufficient grounds for the 

Commission staff to reject the proposal. Guidance concerning the Commission's OCI 

requirements, including the format of an applicant's OCI certification, is presented in 

Chapter 4. Questions concerning OCI and CEII matters should be directed to the 

Commission’s General and Administrative Law section of the Office of General Counsel

(GAL). See the listing at the end of this chapter for the appropriate GAL contacts.

Under the direction of the Commission’s Designated Agency Ethics Officials, 

GAL will perform an OCI review of the proposals by reviewing any relationships 

between the contractor and any business entity that could be affected by the proposed 

work done under the contract. This process is discussed in Chapter 4 below. Final 

contractor selection from those contractors cleared by GAL will be made by the Director 

of OEP, based on an independent evaluation by OEP staff of the technical, managerial, 

and personnel aspects of the qualified candidates' proposals. While bid fees and 

applicant rankings (if provided) will not be the controlling factor in the selection of the 

3PC, OEP will take into consideration the applicant’s appraisal of the proposals, 

including any proposals deemed unacceptable or recommended for rejection by the 

applicant due to cost or other factors.

OEP staff will evaluate and select the 3PC based on the following criteria: 

a. prior experience in preparing environmental documents for large natural 

gas facility or hydropower construction projects, or other similar projects,

that have satisfied NEPA requirements;

b. a demonstrated understanding of the project, potential issues, available 

data, and needed supplemental analyses;

c. sufficient resources to meet the schedule requirements;

d. ability to assign and commit key personnel to the project;

e. past record in meeting performance and delivery requirements of similar 

contracts;
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f. ability to satisfy the logistical requirements to effectively manage the 

project such as materials, transportation, document production, computer 

services, etc;

g. the applicant’s appraisal or ranking of the 3PC proposals (if provided); and

h. total cost.

Following OEP’s decision on a 3PC, an approval letter will be issued to the 

applicant. This letter will clarify any details and/or resolve any issues that remain 

outstanding following review of the selected contractor's proposal. 

As soon as practical, the applicant, the OEP-selected 3PC, and the OEP staff will 

enter into a Memorandum of Understanding (MOU) that details the roles and 

responsibilities of each party (a sample MOU is provided in Appendix G). Although the 

applicant will pay for the 3PC's work, the MOU will stipulate that the applicant will have 

no control over the work done under the contract and will not be able to review the work 

product before its release to the public. 3PCs must update their OCI statements annually, 

at a minimum, and must self-report any changes in financial situation or business 

relationships that may affect its previously submitted OCI statement. In addition, the 

MOU must indicate that the applicant retains no right to the products of the contract. The 

OEP staff will:

 direct the scope, content, and quality of the contractor's work; 

 independently evaluate the results of the contractor's work,

 have sole ownership of all documents (other than those related to financial 

aspects) produced under the contract, and

 have complete discretion over the schedule for completion of the 3PC’s work.

The MOU will be signed prior to award of the contract and the MOU will be 

posted to the Commission’s public docket for the proceeding. Within 14 days from the 

receipt of the Commission’s approval letter, the applicant should award a contract, 

consistent with the roles and responsibilities defined in the MOU, and notify the 

Commission that the contract has been awarded.6 The applicant and the 3PC will 

determine the appropriate form of agreement for payment of the 3PC by the applicant. 

 

6 See 18 CFR 157.21(f)(2)
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PREPARATION OF THE ENVIRONMENTAL DOCUMENT

Once the selected 3PC is retained by the applicant, the 3PC will begin work for the 

Commission, under the sole direction of the OEP staff. The Commission, through its 

staff, will bear ultimate responsibility for full compliance with the requirements of 

NEPA.

If essential information critical to the integrity of OEP's environmental document 

is found missing from the applicant's environmental report and related documents, the 

3PC will be directed by OEP staff to acquire the missing information in one of two ways. 

The OEP staff will instruct the 3PC to either:

 prepare a data request, which the OEP staff will review and forward to the 

applicant to obtain the information; or

 perform supplemental studies or data gathering needed to acquire the missing 

information.

Following public release of the environmental document, the 3PC will organize, 

analyze, and prepare draft responses to public comments (including those comments filed 

by the applicant). However, OEP staff will review and retain final responsibility for all 

the responses in the final document.

FERC CONTACTS

This handbook should provide a basic understanding of the Commission's 

voluntary program for the use of 3PCs to prepare environmental documents for natural 

gas-related projects and may be of general use for environmental documents related to 

hydropower facilities. However, the Commission encourages applicants with specific 

questions about the third-party contracting program or its applicability to a specific 

project to contact OEP directly to arrange a pre-filing conference. Additional 

information may also be obtained from the following Commission staff:

General Inquiries:

Rich McGuire, Acting Director

OEP, Division of Gas - Environment and Engineering (PJ-11)

rich.mcguire@ferc.gov

Telephone: (202) 502-6177
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Hydropower Licensing program:

Nick Jayjack, Deputy Director

OEP, Division of Hydropower Licensing (PJ-12)

nicholas.jayjack@ferc.gov

Telephone: (202) 502-6073

All inquiries regarding OCI, off-the-record communications or CEII:

General and Administrative Law (GC-13)

mailto:gal_ethics@ferc.gov

Telephone: (202) 502-6457

The mailing address for all Commission staff contacts listed in this handbook is:

(contact name and organization)

Federal Energy Regulatory Commission

888 First Street, NE

Washington, DC 20426
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Chapter 2. SPECIFIC GUIDELINES FOR REQUEST FOR PROPOSALS

At a minimum, an applicant's RFP should include:

1. A cover page identifying that the RFP is not a federal procurement, and that the 

parties agree to hold harmless and indemnify the FERC and its staff. (See 

Disclaimer page in Chapter 3.)

2. A statement describing the third-party arrangement and establishing the roles and 

responsibilities of the applicant, 3PC, and FERC staff as follows:

a. The applicant widely distributes the RFP and screens all bid proposals for 

OCI. All responses to the RFP, and supporting material for their technical 

and cost proposals, will be submitted to the OEP staff and filed on the 

project docket in accordance with the Commission’s instructions for filing 

of privileged material. 

b. The OEP staff will review the proposals submitted and select a 3PC. The 

selected contractor must be found free of OCIs (or be able to mitigate any 

OCI to the satisfaction of the Commission staff).

c. The applicant, the selected 3PC, and the OEP staff will sign a MOU that 

details the roles and responsibilities of each party.

d. The applicant will finalize and award the contract to the 3PC selected by 

OEP.

e. The OEP staff will be solely responsible for the scope of the environmental 

document, the schedule for completion of the document, and for verifying 

the technical quality of the 3PC’s work.

f. The 3PC will prepare the environmental document (and/or perform related 

tasks as may be specified in the RFP) under the technical direction of the 

OEP staff, although the financial contract is between the applicant and the 

contractor for payment.

g. The 3PC will provide special consultants and conduct special studies 

required by the OEP staff for analysis of the project even if not specifically 

identified in the RFP. The cost for any such requirements will be borne by 

the applicant.

h. The documents produced under the contract will be the sole property of the 

federal government.

3. An overview of the proposed project that contains:
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a. For a natural gas project the following information:

(i) the general purpose of the project;

(ii) a description of the project location by state, county, and pertinent 

landmarks;

(iii) the length, diameter, and capacity of all pipelines, including 

potential pipeline routes different from the proposed one;

(iv) the number and horsepower of all new and modified compressor 

stations;

(v) for liquefied natural gas (LNG) facilities, the number and size of 

LNG storage tanks, the number of berths for tankers, and the 

terminal size;

(vi) for storage facilities, the number of wells and type of storage;

(vii) the location and land requirements of all aboveground facilities, 

temporary work spaces, pipe storage yards, access roads, storage 

field boundaries, etc.; and

(viii) a complete list of available data pertinent to the project's 

environmental review.

b. For a hydropower license proposal the following information:

(i) maps showing lands and waters within the existing or proposed 

project boundary that identify the state, county, river, river mile, and 

closest town and also showing the specific location of any federal 

and tribal lands and the location of existing and proposed project 

facilities, including water-retaining structures (including the physical 

composition, dimensions, and general configuration of any dams, 

spillways, penstocks, canals, tailraces, and other structures proposed 

to be included as part of the project or connected directly to it) 

power generating facilities, transmission lines, and any other 

appurtenant facilities;

(ii) the number, type, and minimum and maximum hydraulic capacity 

and installed (rated) capacity of any proposed turbines or generators 

to be included as part of the project and the normal maximum water 

surface area and normal maximum water surface elevation (mean sea 

level), and gross storage capacity of any existing or proposed 

impoundments;

(iii) the number, length, voltage, and interconnections of any primary 

transmission lines proposed to be included as part of the project, 
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including a single-line diagram showing the transfer of electricity 

from the project to the transmission grid or point of use;

(iv) a description of the current (if applicable) and proposed operation of 

the project, including any daily or seasonal ramping rates, flushing 

flows, reservoir operations, and flood control operations;

(v) a description of the existing environment and of any known or 

potential adverse impacts and issues associated with the 

construction, operation or maintenance of the proposed project; and

(vi) a complete list of available data pertinent to the project's 

environmental review.

c. Projects involving facilities other than natural gas pipelines or hydropower 

projects (e.g., natural gas storage facilities or LNG import/export terminals) 

should provide a detailed description of the specific facilities known or 

under consideration for the proposal. To the extent that some information 

may NOT be available, it should be specifically highlighted as unavailable 

in the project overview section of the RFP.

4. A detailed description of the services required of the 3PC, including:

a. Preparing all project-related documents, reports, and notices. In addition to 

paper copies, all materials must be provided to the OEP staff in Microsoft 

(MS) Word 2010 format, or as otherwise agreed to by the OEP 

Environmental Project Manager. Any required databases (such as mailing 

lists) must be MS Excel or MS Access compatible.

b. Arranging for and participating in public and/or interagency meetings, and 

preparing reports that summarize the results of the meetings.

c. Developing and maintaining a computerized (sortable database) mailing list 

of interested parties.

d. Facilitating issue identification and resolution, and during the 

Commission’s Pre-Filing Process reviewing draft Environmental Reports or 

Environmental Resource Reports (RRs) for the FERC application.

e. Preparing an environmental document to meet the requirements of NEPA, 

the National Historic Preservation Act, federal and relevant state

Endangered Species Act(s), and any additional requirements of the OEP 

staff. The document shall include:

(i) characterizations of and impact assessments for all resource areas 

having the potential to be significantly affected by the proposed 

facilities' construction, operation, maintenance and abandonment;
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(ii) analysis of appropriate alternatives;

(iii) discussion of proposed mitigation as well as 3PC and Commission 

staff recommended mitigation measures designed to reduce impact 

to acceptable levels; 

(iv) consideration of all issues raised during scoping; and

(v) detailed maps showing the location of all project facilities and 

alternative routes or locations under consideration, related areas of 

disturbance, and pertinent resource data. The scale of the supporting 

maps should be appropriate to the project scope and the 

complexity/sensitivity of the resources potentially affected, but 

never less detailed than 1:250,000.

f. Providing the camera-ready documents in hard copy and/or email, as well 

as electronically on CDs as .pdf files, or as otherwise instructed by the OEP 

Environmental Project Manager. 

g. Maintaining an ongoing review of potential issues and an assessment of 

adequacy of the overall scope of the environmental analysis, for the 

purpose of immediately advising the OEP staff of any potential data gaps or 

analysis shortcomings.

h. Arranging for site inspections and, as appropriate, right-of-way inspections 

(including overflights) for 3PC personnel and OEP staff. The applicant 

may be consulted for logistical information.

i. Analyzing and preparing draft responses to comments on the draft and final 

environmental documents.

j. Preparing a Biological Assessment and/or Essential Fish Habitat 

Assessment, if appropriate.

5. The applicant's proposed schedule with dates for the following key milestones:

a. RFP issued to contractors;

b. Proposals submitted to OEP;

c. 3PC selected by OEP;

d. Federal Register Notice of Intent and mailing list submitted to OEP;

e. Preliminary administrative draft environmental document submitted to 

OEP;

f. Administrative draft environmental document distributed to OEP and 

cooperating agencies;
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g. Federal Register Notice of Availability submitted to OEP;

h. Camera-ready draft environmental document submitted to OEP;

i. Preliminary final environmental document submitted to OEP;

j. Federal Register Notice of Availability submitted to OEP; and

k. Camera-ready final environmental document submitted to OEP.

6. A requirement that each bid address OCI by including:

a. Either an OCI Representation Statement or an OCI Disclosure Statement, 

indicating that the contractor has no financial or other conflicting interest in 

the outcome of the project;

b. An OCI Questionnaire; and

c. An abstract, listing all FERC-regulated entities that the 3PC and any 

subcontractors have had either an ongoing or previous business relationship 

with and whether that relationship results in either no conflict, or a real or 

perceived conflict.

Detailed information concerning the Commission’s OCI disclosure requirements is 

presented in Chapter 4.

7. A requirement that each bid include a CEII non-disclosure agreement signed by 

the contractor submitting the bid and any subcontractors proposed for use. (A 

format for this agreement is included as Appendix C.)

8. A list of the information the 3PC proposals must contain, including:

a. A description of the 3PC’s technical approach for preparing the 

environmental document and a management plan for the project. Any 

proposed subcontractors should be identified.

b. A description of the qualifications and experience of both the 3PC and the 

key personnel (including subcontractors).

c. A proposed schedule for completing major work tasks (which highlights 

any differences from the applicant's proposed schedule as presented in the 

RFP). Any changes to the schedule presented in the RFP must be fully 

justified.

d. A statement disclosing any potential OCI, and any proposed mitigation.

9. An itemized estimate of cost.
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Chapter 3. SAMPLE REQUEST FOR PROPOSALS

The following section presents two sample RFPs. The RFPs are generic 

documents that illustrate how the guidelines presented in Chapter 2 can be adapted for 

application to a wide variety of proposals and situations.

The first sample RFP shows how the Chapter 2 guidelines might translate for the 

Commission’s Pre-Filing Process for a new natural gas facility. The second sample RFP 

shows how the guidelines could be used for a traditional certificate application. Note 

that handbook Appendices A through G should be included as appendices to all 

RFPs.

The sample RFPs include the seven appendices at the end of this manual.

A. OCI Representation and Disclosure Statements

B. OCI Questionnaire

C. Contractor CEII Non-Disclosure Agreement

D. OCI Certification

E. Project Overview Map

F. List of Available Background Documents

G. Sample MOU

Italicized items in parentheses represent information to be inserted by the user, 

supply guidance, or have been included for illustrative purposes.
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Sample RFP – Using the Commission’s Pre-Filing Process

Request for Proposal for Preparation of Third-Party

Environmental Impact Statement

(applicant name)

(date)
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DISCLAIMER

THIS IS NOT A FEDERAL PROCUREMENT.

THE FOLLOWING REQUEST FOR PROPOSALS (RFP) WILL RESULT IN A 

PRIVATE CONTRACT BETWEEN (applicant name) AND A CONTRACTOR, AND 

WILL BE GOVERNED BY THE LAWS OF THE STATE OF (state name). NEITHER 

THE PROCUREMENT NOR ADMINISTRATION OF THE RESULTING 

CONTRACT IS SUBJECT TO FEDERAL PROCUREMENT LAWS, REGULATIONS, 

OR PROTEST PROCEDURES. ANY DISPUTES NOT SETTLED BY THE PARTIES 

THEMSELVES MUST BE RESOLVED BY A COURT OF COMPETENT 

JURISDICTION, OR THROUGH ALTERNATIVE DISPUTE RESOLUTION 

PROCEDURES TO BE DETERMINED BY THE PARTIES AND DESCRIBED IN 

THE CONTRACT.

QUESTIONS CONCERNING THIS PROCUREMENT SHOULD BE DIRECTED 

ONLY TO (applicant name). (Applicant name) MUST PROVIDE INFORMATION 

SUPPLIED TO ANY INDIVIDUAL CONTRACTOR TO ALL CONTRACTORS

SUBMITTING A LETTER OF INTENT TO RESPOND TO THE RFP.

THE FEDERAL ENERGY REGULATORY COMMISSION STAFF SHOULD NOT 

BE CONTACTED AND WILL NOT RESPOND TO ANY QUESTIONS 

CONCERNING THE PROCUREMENT PROCESS.

HOLD HARMLESS

The parties agree that the Federal Energy Regulatory Commission and its employees are 

not liable for any costs or judgments arising from the conduct of this procurement, and 

administration or supervision of the contract for the environmental services described 

herein.
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(Applicant Letterhead)

TO: (name of potential contractor)

FROM: (name and title of applicant contact)

(applicant name)

DATE: (issuance date)

SUBJECT: Request for Proposals (RFP) to Prepare an Environmental Impact 

Statement (EIS) for the (project name) Project

(Proposal Due Date: (due date & time))

1.0 BACKGROUND, OVERVIEW, AND SCOPE

1.1 Background

(Applicant name) proposes to construct (an LNG import terminal and related 

natural gas facilities) at (location and state) to be known as the (project name)

Project. (A (length)-mile-long natural gas pipeline would also be required to 

connect the terminal with (company name)'s system at (location of 

interconnection)). (Applicant name) is soliciting proposals for the consultation 

and coordination of the development of an Environmental Impact Statement (EIS) 

and alternatives, early identification and resolution of issues, and preparation of 

related documents to address the proposed (project name) Project as more 

specifically described in Section 1.2. The EIS will be prepared under a third-party 

contractor arrangement with (applicant name) as the Applicant and the Federal 

Energy Regulatory Commission (FERC or Commission) as the lead federal

agency for the National Environmental Policy Act (NEPA) process. (Applicant 

name) intends to request FERC to begin the NEPA review prior to filing its 

application, in accordance with the Commission’s pre-filing process detailed in 

section 157.21 of the Commission’s regulations.

7

 The FERC’s Office of Energy 

Projects (OEP) will be responsible for providing technical direction to the thirdparty contractor throughout the NEPA review process. A contract will be 

executed pursuant to the third-party contracting procedures set forth in 40 CFR 

 

8 For Natural Gas Act-related projects.
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1506.5(c) and as referenced in the FERC third-party contracting program 

announced on February 4 and 9, 1994.

As the Applicant, (applicant name) is soliciting proposals through this RFP for a 

third-party contractor to provide the services described in sections 1.3 and 1.4. 

The technical and cost proposals will be initially reviewed and evaluated by 

(applicant name) who will then submit all the proposals to the OEP staff and file 

the proposals in the FERC project docket as privileged. The OEP staff will make 

the final selection of the third-party contractor, based on its independent review of 

the technical, managerial, personnel, and Organizational Conflict of Interest (OCI) 

aspects of each proposal. Upon selection, the third-party contractor, (applicant 

name), and the Director of OEP will sign a Memorandum of Understanding 

(MOU) that details the roles and responsibilities of each party (A sample MOU is 

provided in Appendix G). (Applicant name) will finalize a contract with and fund 

the successful contractor for the scoped activities. 

Once a third-party contractor is selected, the OEP staff will direct the activities of 

the contractor in the consultation, reviews, and preparation and processing of 

documents within the scope identified herein. (Applicant name) will have no 

control over nor direct the activities of the contractor. Other federal agencies 

participating in the NEPA process may include (identify potential federal 

cooperators). Appropriate regulatory agencies in (state where facilities would be 

located) will also be encouraged to participate in the NEPA process and may be 

cooperating agencies, as defined by the Council on Environmental Quality 

regulations at 40 CFR 1501.6.

(Applicant name) has selected a site for the (specify the general facilities) and has 

secured the services of (consultant name), (applicant name)'s environmental 

consultant to assist in the development and preparation of the Environmental 

Resource Reports (RRs) required for the application to be filed with the FERC.

1.2 Overview of the Project

(Summarize the general purpose of the project. Provide a detailed description of 

all proposed facilities, and potential routes, sites including alternatives. Tailor 

details to project specifics. Any locational or other project information that is not 

available should be specifically highlighted. 

For LNG facilities identify and describe LNG storage tanks; the LNG tanker size 

and expected number of tanker arrivals per week; berth and unloading facilities; 

LNG vaporization or liquefaction facilities; and any associated facilities for 
3-6

refrigerant storage, gas processing, or natural gas liquids removal. In addition, 

identify and describe any related facilities necessary to deliver gas to or send gas 

from the LNG facility (e.g., pipelines, trucks, barges).

For storage fields, describe the geologic structure and proposed use of the storage 

field, the wells, storage field pipelines, compressor station, and interconnecting 

pipelines. 

For pipelines related to any type of project: provide details such as the length, 

outside diameter, initial design capacity, pipeline system the gas will be delivered 

to, number and location of new or upgraded compressor stations, and total 

horsepower. Identify any potential alternative routes. Describe other 

aboveground facilities such as mainline valves, meter stations, interconnects, and 

pig launchers/receivers as well as significant other construction areas such as 

pipe and contractor yards. Identify any potential alternative sites. Identify the 

land requirements and location of all aboveground facilities. Include the size 

[horsepower] and location of any new compressor stations, and details of any 

other project-related activities that would occur at existing stations. Indicate the 

width of the construction right-of-way, the number of perennial waterbodies and 

major highways crossed, and the extent to which the pipeline would parallel other 

existing rights-of-way.)

Maps of the proposed (project name) Project are included as Appendix E. 

(Applicant name) will identify any nonjurisdictional facilities associated with its 

proposal for possible inclusion in the scope of the review as soon as possible.

1.3 Scope

1.3.1 Pre-Filing Activities

In an effort to resolve issues early and to obtain stakeholder concurrence that the 

best facility site (e.g., LNG terminal and interconnecting pipeline route) has been 

selected, (applicant name) has requested FERC staff to begin its NEPA review 

process prior to receipt of (applicant name)'s application. Accordingly, (applicant 

name) has provided as much information as is currently available about project 

scope at this time in the process. 

It is (applicant name)'s intention to hire a third-party contractor, under the 

direction of the OEP staff, to:

1. verify, update, and maintain mailing lists;
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2. coordinate and attend scoping meetings and other meetings and site visits, 

as required by the OEP staff;

3. identify and summarize concerns raised by regulatory agencies and other 

stakeholders;

4. prepare meeting minutes for all attended meetings;

5. attend (applicant name)’s open house/public meetings;

6. work with OEP staff to identify additional concerns of affected/adjacent 

landowners, landowner organizations, environmental groups, and federal, 

state and local agencies;

7. communicate with and assess information from those concerned parties and 

advise (applicant name)’s environmental consultant and (applicant name)’s 

staff in the collection of data and the suggestions of alternative sites 

(/routes) and mitigations to respond to these concerns;

8. prepare periodic draft project update tri-folds;

9. prepare a draft Notice of Intent for public scoping, and coordinate and 

participate in public scoping meetings;

10. review and comment on field surveys conducted by (applicant name)’s 

environmental consultant, e.g.,

 review information that will be the basis of both the RRs and the EIS;

 anticipate the OEP staff's questions, or communicate directly with the 

OEP staff to determine possible environmental questions so that the 

appropriate answers may be developed while conducting environmental 

surveys; and

 identify potential alternatives for further review.

The third-party contractor will also review and comment on the background data 

developed by (applicant name)'s environmental consultant to support the RRs. 

The contractor awarded this contract should request additional data through the 

OEP staff, where needed for the development of the EIS and anticipate the OEP 

staff's questions with the goal of minimizing environmental data requests after the 

filing of the application. This review may include the following items:

 maps and alignment sheets;

 work required to comply with the Endangered Species Act, including field 

surveys;

 work required to comply with the National Historic Preservation Act;
3-8

 work required to delineate waters of the U.S. and wetlands that will be subject 

to the federal permitting requirements; and

 work required to comply with the Coastal Zone Management Act and the 

Magnuson-Stevens Fishery Conservation and Management Act.

(Applicant name)’s environmental consultant will prepare the RRs for filing with 

(applicant name)’s application, in compliance with FERC's regulations. The 

content of each of the thirteen RRs is listed in the FERC’s regulations at 18 CFR 

380.12. 8

The third-party contractor will also be expected to prepare a preliminary 

administrative draft EIS (PADEIS) that can be submitted to the OEP staff for 

review before or soon after (applicant name) files the application with FERC. See 

Section 2 of this RFP.

1.3.2 Post-Filing Activities

Once (applicant name) has filed its application with the FERC, in addition to 

performing the functions listed in section 1.3.1 above, the selected third-party 

contractor will:

 prepare and submit a PADEIS to the OEP staff;

 incorporate comments from OEP staff into an administrative DEIS (ADEIS);

 submit the ADEIS to OEP staff and the cooperating agencies;

 incorporate/resolve comments on the ADEIS from OEP staff and the 

cooperating agencies;

 prepare and submit a DEIS to OEP staff;

 assist the OEP staff in preparing responses to public comments on the DEIS;

 prepare and submit an administrative final EIS (AFEIS) to OEP staff and the 

cooperating agencies, as necessary; 

 prepare and submit a FEIS to the OEP staff;

 Prepare periodic draft project update tri-folds, as necessary; and

 Assist OEP staff, as necessary, with project-related tasks between the issuance 

of the NEPA document and the Commission Order. Examples of such tasks 

include support in responding to comments on the EIS.

 

8 For Natural Gas Act-related projects.
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2.0 SERVICES REQUIRED

The selected third-party contractor will be responsible for working along with the 

OEP staff and the various stakeholders while (applicant name)’s RRs are being 

developed. The selected third-party contractor will keep the OEP staff apprised of 

issues as they arise, and, when the OEP staff determines it is appropriate, 

participate in stakeholder meetings and site visits to identify and possibly help 

resolve issues. 

The selected third-party contractor will also be responsible for assisting the OEP 

staff in conducting the NEPA review, preparing an EIS, and completing related 

work within the agreed-upon schedule and approved budget. It will be the 

contractor's responsibility to notify (applicant name) if the work effort ultimately 

required by the OEP staff exceeds the work effort on which the bid was based, or 

the approved budget.

The third-party contractor will be responsible for satisfactory completion of the 

following tasks:

2.1 Preparation of all project-related documents, reports, and notices required by OEP 

staff. In addition to paper copies, all materials must be provided to the OEP staff 

on compact disks, in Microsoft Word 2010 format, or as otherwise agreed to by 

the OEP Environmental Project Manager. Any required databases (such as 

mailing lists) must be Excel or Access 2010 compatible. The camera-ready EA or 

DEIS and FEIS will be provided as pdf files as specified by the OEP staff in 

addition to hard copy.

2.2 Preparation of notices and presentation materials for public scoping meetings and 

public comment meetings on the DEIS. This task will require close coordination 

with the OEP Environmental Project Manager. Required work will include 

researching venues, preparing notices, developing materials for meetings, 

participating in meetings, and preparing reports summarizing the results of the 

scoping meetings/process and public meetings on the DEIS. The contractor will 

prepare a summary of agency scoping comments/issues for subsequent agency 

review and concurrence. Assume at least (number) scoping meetings and public 

comment meetings will be conducted. Potential locations for these meetings will 

be (list the locations).

2.3 Preparation and maintenance of a computerized (sortable database) mailing list of 

agencies, officials, community/environmental groups, concerned citizens, affected 
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property owners and other interested parties. (Applicant name) will provide initial 

agency and affected property owner lists.

2.4 Characterization of existing environmental conditions, incorporation of issues 

identified during scoping, assessment of the significance of the potential 

environmental effects of the proposed project, identification of potential site, 

route, and facility location alternatives (both locally and regionally), and 

determination of mitigation necessary to avoid or reduce impacts to acceptable 

levels for the environmental topics listed in section 2.5 (below). Studies shall take 

into account both direct and indirect effects of project facility construction, 

operation and maintenance, upset conditions, and abandonment for all proposed 

and alternative project facilities. Special expertise may be needed for areas of 

non-routine environmental sensitivity (such as marine environments). The RRs 

contained in other major applications, if any, and other already available technical 

data shall be used to the maximum extent practicable. 

2.5 Preparation of the EIS to meet the requirements of NEPA, the National Historic 

Preservation Act, Endangered Species Act, other applicable laws and regulations,

any additional requirements of the OEP staff, and to address any scoping and 

public meeting issues.

The EIS shall include, but not necessarily be limited to, the following sections: 9

1. Cover Sheet

2. Executive Summary (including Impact Summary Table)

3. Introduction

4. Description of Proposed Project

5. Alternatives

6. Affected Environment

7. Environmental Consequences (including Cumulative Impacts)

8. Conclusions (including summary of unavoidable significant adverse effect) 

and Recommendations (mitigation measures, including mitigation 

monitoring plan)

9. Agencies and Sources Consulted

10. List of Preparers and Contributors

11. References

12. EIS Distribution List

13. Index 

14. Comments and Responses (FEIS only)

 

9 See 18 CFR 380.7 and 40 CFR 1502.10 for additional guidance.
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15. Appendices and Technical Reports (including Essential Fish Habitat 

Assessment, if appropriate)

In conjunction with the OEP staff, the third-party contractor will be responsible 

for identifying and assessing potential alternatives to the proposed project that are 

capable of meeting the project's goals and are sufficient to meet the requirements 

of NEPA, including reducing potentially significant effects associated with the 

proposed project and fostering informed decision-making. Potential alternatives 

to the (project name) Project identified by (applicant’s name) will be identified in 

Resource Report #10 of the RRs. Any project alternatives identified by the OEP 

staff will also be addressed.

The Description of the Proposed Project and Alternatives should include, at a 

minimum, the following subsections:

1. Purpose and Need for the Project

2. Approvals to be Sought through Use of the EIS

3. LNG Terminal, Storage Field and Compression Facilities, and Pipeline 

Route Description, as appropriate

4. Ancillary Facilities

5. General Design Parameters

6. Construction Methods, (for Terminal, LNG Storage, Compressor Stations, 

Storage Field Facilities and Pipeline, as applicable) including ApplicantProposed Mitigation Measures

7. Construction Schedule and Work Force

8. Operation and Maintenance Procedures

9. Abandonment Procedures

10. Interrelationships with Other Planned Projects and Nonjurisdictional 

Facilities

11. Alternatives (including No Action)

The majority of this information will be available in the RRs. The third-party 

contractor shall review the RRs for accuracy and adequacy to meet the needs of 

NEPA for the preparation of an EIS, and shall prepare a data request(s) to 

(applicant name) (routed through the OEP staff) requesting any other data that 

may be needed. The EIS shall fully address the following resource topics (as 

applicable):

1. Geology (including mineral resources and geologic hazards)

2. Soils (including erosion control and restoration/revegetation)

3. Water Resources (surface water and groundwater hydrology and quality)
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4. Biological Resources (including wildlife, vegetation, wetlands, aquatic 

biology, essential fish habitat, and threatened and endangered species)

5. Land Use and Recreation

6. Socioeconomics

7. Visual Resources/Aesthetics

8. Air Quality

9. Noise

10. Cultural and Paleontological Resources

11. Public Safety

12. Cumulative Impacts

2.6 Prepare supporting maps showing the location of all project facilities and related 

areas of disturbance, and pertinent resource data. (Applicant name) will be 

responsible for developing most maps requested by the third-party contractor. 

The scale of the supporting maps will normally range from 1:24,000 to (identify 

larger scale), depending on the complexity/sensitivity of the resources potentially 

affected and project specifics.

2.7 Maintain ongoing review of potential environmental issues and assessment of 

adequacy of overall scope of the environmental analysis. The OEP staff shall be 

advised immediately of any potential data gaps or analysis shortcomings.

2.8 Arrange with (applicant name) to participate in inspections of the proposed 

facility locations (including overflight, as appropriate) with the OEP staff. This 

may occur in conjunction with open houses or the scoping meetings. (The FERC 

will reimburse [applicant name] for all costs associated with OEP staff 

participation in overflights.)

2.9 Analyze comments and prepare draft responses to comments on the PADEIS, 

ADEIS, DEIS, and FEIS, and related documents.

2.10 Prepare camera-ready copies of the DEIS and FEIS and any required notices for 

submission to the FERC staff for printing and mailing. For purposes of proposal 

preparation, assume that the contractor will print and distribute at least (25) 

copies of the preliminary documents (ADEIS, etc.) to cooperating agencies. (The 

actual number of preliminary documents needed will be determined based on 

consideration of cooperating agencies' needs.)

2.11 Develop and maintain a formal project management system to allow for weekly 

or biweekly, as mutually agreed, tracking of schedule and budget status for the 

prime contractor and any subcontractors.
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2.12 Prepare a Biological Assessment, if appropriate.

2.13 Prepare an Essential Fish Habitat Assessment, if appropriate.

3.0 PROJECT TIMELINE

Proposals submitted in response to this RFP should identify any perceived need 

for specific supplemental studies to fully comply with NEPA and the FERC's 

implementing regulations.

Assuming (applicant name) responds expeditiously to data requests, the major 

milestones of the project schedule are summarized below, however, it should be 

understood that the ultimate schedule for NEPA will be determined by the OEP 

staff, not the applicant.

3.1 Third-Party Contractor Selection

1. (Applicant name) sends out RFP to contractors. 

2. Hold contractors’ (tele)conference. 

3. Submit proposals to (applicant name) by 5:00 p.m. on: 

4. Hold contractors’ oral presentations (if required). 

5. Submit proposals to OEP staff. 

6. OEP selects third-party contractor, 

7. Complete contract negotiations with (applicant name). 

8. Third-party contractor begins work. 

3.2 (Applicant name)’s Certificate Application Development Work

1. Conduct open houses/public meetings. 

2. Begin environmental surveys. 

3. Completion of civil and design survey. 

4. Completion of environmental surveys. 

5. Submission of draft RRs to OEP Staff.

6. Submission of FERC application and RRs. 

7. Receive FERC authorization. 
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3.3 (Applicant name) Project Schedule Milestones10

The following EIS review tasks will be conducted by the third-party contractor 

and/or OEP staff:

3.3.1 Pre-Filing

1. Study (facility location, LNG terminal engineering, and pipeline route) 

plans, attend open house/public meeting(s) 

2. Coordinate agency scoping meetings 

3. Issue Notice of Intent, hold EIS scoping meeting(s) 

4. Conduct site visit(s) (, route investigations,) and alternative site(/route) 

analysis

5. Review draft RRs

6. Begin preparation of PADEIS

3.3.2 Post-Filing

(File FERC application on day 0)

1. Contractor delivers PADEIS to OEP staff: day 

2. Comments on PADEIS returned to contractor: day 

3. Contractor delivers ADEIS to OEP staff and Cooperating Agencies: day 

4. Comments on ADEIS returned to contractor: day 

5. Contractor delivers camera-ready DEIS to OEP staff: day 

6. OEP mails DEIS: day 

7. Hold public meetings to receive comments: day 

8. Contractor delivers preliminary FEIS to OEP staff and Cooperating 

Agencies: day 

9. Comments on preliminary FEIS returned to contractor: day

10. Contractor delivers camera-ready FEIS to OEP staff: day 

11. OEP mails FEIS: day 

 

10 Note that for Natural Gas Act-related projects section 157.21 of the Commission’s regulations 

specifies some general timelines that must be met.
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4.0 PROPOSAL REQUIREMENTS AND PROCESS

(Applicant may elect to use a Letter-of-Intent and Contractors’ (Tele)Conference

approach, e.g., ...

4.1 Letter of Intent

Third-party contractors shall submit a Letter of Intent before the Contractors' 

(Tele)Conference to offer a proposal to (applicant name) at the e-mail address or 

the regular address listed in section 4.3.12. Those submitting a Letter of Intent 

will receive amendments to this RFP, if any, and copies of any written material 

from the (tele)conference as described in section 4.2. This letter will facilitate the 

distribution of written information but does not obligate the contractor to submit 

a proposal.

4.2 Contractors' (Tele)Conference

A Contractors' (Tele)Conference will be held by (applicant name) on (conference

date) beginning at (time). At the conference, questions will be answered by 

(applicant name). Contractors who submit a Letter of Intent and who do not 

attend the (tele)conference will be notified of any modifications and receive a 

copy of the minutes of the meeting within two (2) days of the meeting if an e-mail 

address or telephone facsimile number is provided. Otherwise, minutes of the 

meeting will be sent via regular mail.

The purpose of this (tele)conference will be to:

 answer contractors’ questions about the RFP;

 discuss any other information to be used in the submission of a proposal;

 discuss software that will be used by (applicant name)’s environmental 

consultant and engineering consultant in the development of documents for the 

FERC certificate application; and

 entertain requests for other background documents, which may be available 

for use during the preparation of the proposal but were not sent to contractors.

All third-party contractors are strongly encouraged to participate in this 

Contractors' (Tele)Conference since this is the only opportunity to receive 

responses to questions. Individual telephone calls are not permitted; no questions 

related to this RFP will be answered in any forum other than at the Contractors' 

(Tele)Conference. All questions must be answered while the conference is in 

open session so that all participants have equal access to the responses.
3-16

4.3 Proposal Requirements

If a contractor provides a Letter of Intent to bid on the RFP, and subsequently 

does not intend to submit a proposal, the contractor shall notify (applicant name) 

as soon as possible, but in any event no later than (number) of days prior to the 

proposal due date. Contractors shall also return all material to (applicant name). 

Contractors must provide (number) copies of the technical proposal and cost 

estimate; (applicant name) will coordinate distribution, and ultimately provide the 

OEP staff with one hardcopy and one electronic copy of the proposals. Cost 

estimates must be submitted in separate sealed envelopes labeled “COST 

ESTIMATE.” The proposal is limited to (50) pages (single-sided, space and a 

half). All materials should be easily readable. The proposal should be concise, 

well organized and contain the following information in the order presented 

below:

4.3.1 Introduction

Explain the contractor's understanding of the project and a summary of the 

contractor's qualifications for this project in one or two pages. Because the 

project is located in (identify state(s)), qualifications for assessing impacts to the 

environment of this region of the country should be highlighted.

4.3.2 Technical Approach

Present both an overall technical approach for the preparation of the EIS and the 

approach proposed for individual technical areas and tasks. Include any 

recommendations to improve the scope (including rationale) and reflect those 

recommendations in the cost estimate.

4.3.3 Project Organization and Management Approach

Describe the proposed project organization, with an organization chart including 

positions, responsibilities and reporting relationships. The project manager, 

deputy project manager, environmental specialists with responsibility for each 

resource area, administrative support personnel, and any subcontractor(s) must be 

identified and their location specified. These key personnel shall not be 

reassigned within the project or to other projects without prior consultation with

the OEP staff.
3-17

Describe the proposed management scheme for the project, with a discussion of 

where the work will be done and where each key person and subcontractor 

presently resides. Provide the proposed mechanisms for communication, 

reporting, technical direction and control, cost control, schedule control, quality 

control, quality assurance and control of subcontractors.

4.3.4 Qualifications and Experience

Describe qualifications and prior experience in completing similar NEPA 

projects, particularly pipeline construction projects or other linear facility 

projects, and, as applicable, marine terminal projects. Emphasize prior work 

experience with the FERC for natural gas-related projects, (identify affected 

state(s)) state agencies, major relevant construction projects, and the geographical 

areas of study. Discuss the contractor’s familiarity with the specialized issues and 

requirements of proposed facility construction. Discuss the contractor’s

understanding of the FERC environmental requirements for projects under the 

Natural Gas Act as reflected in FERC’s regulations and current policies. 

Describe the contractor’s past record in meeting performance and delivery 

requirements for similar contracts.

Statements of education, qualifications, and prior experience should be provided 

not only for the contractor but also for the key personnel and subcontractors that 

will be assigned to the project, along with their specific experience with the type 

of project under consideration. 

The past, current, and proposed use of small and small disadvantaged owned 

business enterprises by the contractor should be described.

4.3.5 Project Schedule

Submit a proposed schedule delineating dates for completion of the major work 

tasks specified in section 3 of this RFP. Any suggested modifications to the 

schedule must be presented with reasons for the changes.Note, however, that the 

ultimate schedule will be determined by the OEP staff, not the applicant.

It is important that contractors demonstrate to (applicant name) and the OEP staff 

that ample resources exist to meet the project schedule. If a contractor has 

multiple EIS obligations underway concurrently, it must clearly show separate 

resources or provide convincing evidence that it can meet the schedule.
3-18

4.3.6 References

List and describe three successfully completed or in-progress projects of a similar 

nature with the name and phone number of the client's project manager. 

Additionally, list three client references specifically for the proposed project 

manager.

4.3.7 Conflicts of Interest and Critical Energy Infrastructure Information

Identify possible conflicts of interest that may require investigation by the FERC 

staff. Include a discussion of all work completed by the contractor for similar 

work on natural gas-related projects within the last 3 years. Pursuant to 40 CFR 

1506.5(c), contractor selection is based on ability and absence of conflicts of 

interest. The contractor must also submit a Critical Energy Infrastructure 

Information (CEII) Non-Disclosure Agreement for itself and each subcontractor 

used. 

All proposals must include the following items:

 Either the FERC’s (a) Organizational Conflict of Interest (OCI) representation 

statement, or (b) OCI Disclosure Statement, prepared by a responsible official 

attesting the contractor and its subcontractor(s) have no financial or other 

conflicting interest in the outcome of the project, or proposing a mitigation 

plan if an actual or potential OCI exists. (See Appendix A.)

 The FERC’s OCI Questionnaire. (See Appendix B.)

 A Contractor CEII Non-Disclosure Agreement. (See Appendix C.)

(Applicant name) will complete an OCI Certification. (See Appendix D.)

4.3.8 Resumes

Resumes may be submitted as an attachment to the proposal or as a separate 

volume. All resumes should be limited to two pages and must include the 

institution and date of graduation for all academic degrees as well as a summary of 

relevant work experience and the specific dates of performance.

4.3.9 Cost Estimate

(The applicant should identify the type of contract, such as time and materials, 

cost plus, etc., and provide additional guidance on how the cost of the contact is to 

be estimated.)
3-19

(Applicant name) anticipates awarding and signing a (identify type) contract. 

Since the specific dates and number of field teams required are strictly estimates, 

each contractor shall submit a daily crew billing rate and expense rate sheet. 

(Applicant name) will compensate the contractor based upon the actual crews and 

hours worked. All preparation and processing of documents, RR review, NEPA 

review, EIS submission, and any other costs not associated with the daily crew 

rate shall be submitted as a fixed-price proposal with an attached cost breakdown. 

(Applicant name) understands that there may be out-of-scope requirements for the 

completion of this project and any resultant costs will be handled between the 

contractor and the applicant under the provisions of the contract.

Any limiting assumptions used to prepare the cost estimate should be clearly 

specified in the proposal. Also include a rate schedule that will apply to the 

project and for any work beyond the scope stated in this RFP.

Assume that (applicant name), through the OEP staff, will provide the successful 

contractor with copies of all environmental information filed with FERC,

including base maps, aerial photos, and computerized mailing lists of agencies, 

officials, community/environmental groups, concerned citizens, affected property 

owners and known interested parties at the time that contact negotiations are 

completed. (Applicant name) will provide aerial overflights for key contractor and 

OEP staff (weather conditions permitting), either prior to or in conjunction with 

the open house/public meetings, or at the OEP staff’s request. (However, the 

FERC will reimburse (applicant name) for all costs associated with OEP staff 

participation in aerial overflights.)

4.3.10 Available Materials

Appendix F presents a list of documents available from (applicant name) that 

should assist contractors in preparation of their proposals. Please contact (name 

and telephone number of applicant’s contact) to arrange for review of these 

documents. Note that (applicant name) will only entertain questions about this 

RFP at the Contractor's (Tele)Conference discussed in section 4.2.
3-20

4.3.11 Sample Memorandum of Understanding (MOU) 

Appendix G to this RFP presents a sample MOU with key provisions that must be 

included in the awarded contract. Contractors are asked to review this sample 

MOU and point out any difficulties with its language in their proposal. The 

proposal must indicate the contractor's review of the sample MOU and identify 

issues that require resolution during contract negotiations. Issues raised after 

submittal of the proposal will not be subject to negotiation. The person(s) 

authorized to negotiate on behalf of the contractor should be identified. 

Please note the OEP staff cannot be contacted on any contract negotiations 

between (applicant name) and the contractor. 

4.3.12 Addresses

Submit Letters of Intent via e-mail or facsimile to:

(contact name, e-mail/facsimile address, etc.)

Submit Technical Proposals and Cost Estimates to:

(contact name, mailing address, phone number, etc.)

Technical Proposals and Cost Estimates should be submitted to (applicant name) 

by (time and date).

5.0 SELECTION PROCESS

Only those proposals submitted by contractors prior to the deadline stated herein 

will be evaluated. The proposals will be initially reviewed by (applicant name), 

and then all proposals will be submitted to the OEP staff. Proposals will also be 

filed on the FERC project docket in accordance with the Commission’s 

instructions for filing of privileged material. 

(Applicant name) will provide the OEP staff with one hardcopy and one 

electronic copy of the contractors' proposals, along with the contractors' OCI 

statements, CEII non-disclosure agreements, and (applicant name)'s OCI 

certification of each contractor. GAL will perform an OCI review of the 

submitted proposals. OEP staff will then conduct an independent review of the

contracts cleared by GAL and the Director of OEP will make the final selection of 

the contractor. Lack of an OCI Statement, or the existence of an identifiable OCI 

(relative to the contractor, its key personnel, or any proposed subcontractor) that 
3-21

cannot be mitigated to the satisfaction of the FERC staff, will be sufficient 

grounds for proposal rejection. 

Once the OEP staff has notified (applicant name) of its selection and the MOU is 

signed, (applicant name) will negotiate and fund a contract with the contractor. 

(Applicant name) will keep the OEP staff apprised of the negotiations with the 

contractor. Once the contract has been executed, the contractor will proceed to 

work solely under the direction and guidance of the OEP staff. Pursuant to 40 

CFR 1506.5(c), the responsible official (i.e., the OEP staff) “shall furnish 

guidance and participate in the preparation and shall independently evaluate the 

[environmental document] prior to its approval and take responsibility for its 

scope and contents.”

(This sample RFP is set up to include the seven appendices at the end of this manual.)

A. OCI Representation and Disclosure Statements

B. OCI Questionnaire

C. Contractor CEII Non-Disclosure Agreement

D. OCI Certification

E. Project Overview Map

F. List of Available Background Documents

G. Sample Memorandum of Understanding
3-22

Sample RFP – Traditional Certificate Application

Request for Proposal for Preparation of Third-Party

Environmental Impact Statement

(applicant name)
3-23

(date)DISCLAIMER

THIS IS NOT A FEDERAL PROCUREMENT.

THE FOLLOWING REQUEST FOR PROPOSALS (RFP) WILL RESULT IN A 

PRIVATE CONTRACT BETWEEN (applicant name) AND A CONTRACTOR, AND 

WILL BE GOVERNED BY THE LAWS OF THE STATE OF (state name). NEITHER 

THE PROCUREMENT NOR ADMINISTRATION OF THE RESULTING 

CONTRACT IS SUBJECT TO FEDERAL PROCUREMENT LAWS, REGULATIONS, 

OR PROTEST PROCEDURES. ANY DISPUTES NOT SETTLED BY THE PARTIES 

THEMSELVES MUST BE RESOLVED BY A COURT OF COMPETENT 

JURISDICTION, OR THROUGH ALTERNATIVE DISPUTE RESOLUTION 

PROCEDURES TO BE DETERMINED BY THE PARTIES AND DESCRIBED IN 

THE CONTRACT.

QUESTIONS CONCERNING THIS PROCUREMENT SHOULD BE DIRECTED 

ONLY TO (applicant name). (Applicant name) MUST PROVIDE INFORMATION 

SUPPLIED TO ANY INDIVIDUAL CONTRACTOR TO ALL CONTRACTORS 

SUBMITTING A LETTER OF INTENT TO RESPOND TO THE RFP.

THE FEDERAL ENERGY REGULATORY COMMISSION STAFF SHOULD NOT 

BE CONTACTED AND WILL NOT RESPOND TO ANY QUESTIONS 

CONCERNING THE PROCUREMENT PROCESS.

HOLD HARMLESS

The parties agree that the Federal Energy Regulatory Commission and its employees are 

not liable for any costs or judgments arising from the conduct of this procurement, and 

administration or supervision of the contract for the environmental services described 

herein.
3-24

(Applicant Letterhead)

TO: (name of potential contractor)

FROM: (name and title of applicant contact)

(applicant name)

DATE: (issuance date)

SUBJECT: Request for Proposals (RFP) to Prepare an Environmental Impact 

Statement (EIS) for the (project name) Project

Proposal Due Date: (due date & time)

1.0 BACKGROUND AND OVERVIEW

1.1 Background

(Applicant name) is soliciting proposals for the preparation of an Environmental 

Impact Statement (EIS) and related documents and services to address its

proposed (project name) Project as more specifically described in Section 1.2. 

The EIS will be prepared under a third-party contractor arrangement with 

(applicant name) as the Applicant and the Federal Energy Regulatory Commission 

(FERC or Commission) as the lead federal agency for the National Environmental 

Policy Act (NEPA) process. The FERC's Office of Energy Projects (OEP) will be 

responsible for providing technical direction to the third-party contractor during 

the preparation of the EIS and related documents. A contract will be executed 

pursuant to the third-party contracting procedures set forth in 40 CFR 1506.5(c) 

and as referenced in the FERC third-party contracting program announced on 

February 4 and 9, 1994.

As the Applicant, (applicant name) is soliciting proposals through this RFP for a 

third-party contractor to provide the services described in section 2.0. The 

technical and cost proposals will be initially reviewed and evaluated by (applicant 

name) who will then submit the proposals to the OEP staff and file the proposals 

on the FERC’s project docket as privileged. The OEP staff will make the final 

selection of the third-party contractor, based on its independent review of the 

technical, managerial, personnel, and Organizational Conflict of Interest (OCI) 

aspects of each proposal. Upon selection, the third-party contractor, (applicant 
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name), and the Director of OEP will sign a Memorandum of Understanding 

(MOU) that details the roles and responsibilities of each party and mandatory 

provisions of the contract (A sample MOU is provided in Appendix G). 

(Applicant name) will finalize a contract with and fund the successful contractor 

for the preparation of this third-party EIS and attendant activities. 

Once a third-party contractor is selected, the OEP staff will direct the activities of 

the contractor in the preparation and processing of the EIS within the scope 

identified herein. (Applicant name) will have no control over nor direct the 

activities of the contractor. The (name of federal cooperating agencies), and 

possibly others may be cooperating agencies for the NEPA review process. 

Appropriate regulatory agencies in (identify affected states) will also be invited 

and encouraged to participate in the NEPA process.

1.2 Overview of the Project

(Summarize the general purpose of the project. Provide a detailed description of 

all proposed facilities. Tailor details to project specifics. Any locational or other 

project information that is not available should be specifically highlighted. 

For storage fields: describe the geological structure and proposed use of the 

storage field, the wells, storage field pipelines, compressor station, and 

interconnecting pipelines. 

For pipelines related to any type of project: provide details such as the length, 

outside diameter, initial design capacity, pipeline system the gas will be delivered 

to, number and location of new or upgraded compressor stations, and total 

horsepower. Describe other aboveground facilities such as mainline valves, meter 

stations, interconnects, and pig launchers/receivers as well as significant other 

construction areas such as pipe and contractor yards. Identify the land 

requirements and location of all aboveground facilities. Include the size 

[horsepower] and location of any new compressor stations, and details of any 

other project-related activities that would occur at existing stations. Indicate the 

width of the construction right-of-way, the number of perennial waterbodies and 

major highways crossed, and the extent to which the pipeline would parallel other 

existing rights-of-way.)

Maps of the proposed (project name) are included as Appendix E. (Applicant 

name) will identify any nonjurisdictional facilities associated with the proposal for 

possible inclusion in the scope of review as soon as possible. 
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1.3 Available Data

The proposed (project name) Project is presented in detail in (applicant name)'s 

(draft) application to the FERC for a Certificate of Public Convenience and 

Necessity, Exhibit (exhibit designation/name). (Applicant name) has organized its 

Exhibit (exhibit designation/name) into Environmental Resource Reports (RR), as 

identified and containing the information listed in the FERC’s regulations at 18 

CFR 380.12. 

The RRs, which (applicant name) (is preparing) except for portions of the 

Cultural Resources Report (which will be submitted as privileged), will be made 

available to contractors at the pre-bid conference. These reports must be reviewed 

in detail to gain an understanding of the proposed project and the level of available 

environmental data. This information should be assessed for any required 

supplemental analysis prior to proposal preparation and submittal.

(Discuss any additional sources of pertinent environmental data, such as filings 

with another federal agency, or with states having a NEPA-like statute. Include 

the status of the following items:

 work required to comply with the Endangered Species Act, including 

agency scoping, field surveys and preparation of a Biological Assessment 

and Mitigation Plans;

 work required to comply with the National Historic Preservation Act, 

including field surveys, and all associated reports and mitigation plans;

 work required to delineate waters of the U.S. and wetlands that will be 

subject to the Federal and state permitting requirements; and

 work required to comply with the Coastal Zone Management Act and the 

Magnuson-Stevens Fishery Conservation and Management Act.)

It is expected that the available data (along with the site-specific information, as 

discussed above,) will facilitate the preparation of the EIS. Appendix F provides a 

list of the available background documents. Proposals submitted in response to 

this RFP should clearly demonstrate an understanding of the extent of the 

(available/provided) information. Perceived data gaps and the need for specific 

supplemental studies to fully comply with the EIS requirements should be 

identified.
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1.4 Schedule

(The time line below is for illustration purposes only. In the "Contractor 

Selection" section, applicants should design their own schedule for contractor 

screening and completion of contract negotiations. OEP expects to be able to 

select a third-party contractor within 14 days of the filing date. Once the 

contractor is hired, OEP recommends that a Notice of Intent and mailing list be 

provided within 7 days. Intervals in the remaining portion of the "EIS 

Preparation" section represent an EIS schedule where cooperating agencies play 

a major role. The schedule also assumes timely applicant response to requests for 

information from the OEP staff and, through the OEP staff, the third party 

contractor. In the absence of significant cooperating agency involvement, the time 

allotted for OEP staff and cooperating agency review of the administrative draft 

document could be substantially reduced. Applicants are encouraged to suggest 

areas where time savings may be achieved. However, the schedule for the 

completion of the environmental document is under the control of the OEP staff. 

Applicant-proposed dates will be considered in light of Commission staff workload 

and regulatory requirements as the draft RFP is being reviewed.)

Assuming (applicant name) responds expeditiously and completely to data 

requests, the schedule (in calendar days) is as follows. However, it should be 

understood that the ultimate schedule for NEPA will be determined by the OEP 

staff, not the applicant. Note that contract deliverables are designated with the 

symbol "►".

Third-Party Contractor Selection

• Send out RFP to contractors: (day 1) 

• Hold contractors' conference: (day 6) 

• Submit proposals to (applicant name) by 5:00 p.m. on: (day 17) 

• Oral presentations by contractors: (day 28) 

• File application and contractor proposals with FERC: (day 36)

• OEP selects contractor: (day 50) 

Complete MOU and contract negotiations with (name of applicant): (day 

54) 
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EIS Preparation

• Complete contract negotiations with (name of applicant): (day 0)

► Submit Notice of Intent and mailing list to OEP: (day 7) 

► Arrange and attend Scoping Meeting(s): (day 30-42) 

• Submit Preliminary Administrative Draft EIS (PADEIS) and draft

Biological Assessment, if needed, to OEP: (day 174) 

• OEP returns PADEIS and draft Biological Assessment to contractor: (day 

205)

► Distribute Administrative Draft EIS (ADEIS) to OEP and Cooperating 

Agencies; return revised Biological Assessment to OEP: (day 214) 

► Submit Federal Register Notice to OEP: (day 254) 

• OEP returns ADEIS to contractor: (day 268) 

► Submit camera-ready Draft EIS to OEP: (day 275)

• OEP sends Draft EIS to printing: (day 289) 

• OEP mails Draft EIS and files with EPA: (day 303)

• 45-day public comment period begins: (day 311)

► Arrange and attend public comment meetings: (day343-357)

• End of public comment period: (day 356)

► Submit Preliminary Final EIS (PFEIS) to OEP: (day388) 

► Submit Federal Register Notice to OEP: (day 396) 

• OEP returns PFEIS to contractor: (day 406) 

► Submit camera-ready Final EIS to OEP: (day 413)

• OEP sends Final EIS to printing: (day 427)

• OEP mails Final EIS: (day 441)

1.5 Letter of Intent

Third-party contractors shall submit a Letter of Intent before the Contractors' 

Conference to offer a proposal to (applicant name) at the e-mail address or regular 

mail address listed in Section 3.12. Those submitting a Letter of Intent will 

receive amendments to this RFP, if any, and copies of any written material from 
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the Conference as described in Section 1.6. This letter will facilitate the 

distribution of written information but does not obligate the contractor to submit a 

proposal.

1.6 Contractors' Conference

A Contractors' Conference will be held by (applicant name) on (conference date), 

beginning at (conference time). At the conference, questions will be answered by

(applicant name). Contractors who submit a Letter of Intent and who do not 

attend the conference will be notified of any modifications and receive a copy of 

the minutes of the meeting within two (2) days of the meeting if an e-mail address 

or telephone facsimile number is provided. Otherwise, minutes of the meeting 

will be sent via regular mail.

The purpose of this conference will be to:

• answer contractors' questions about the RFP;

• provide copies of any other information to be used in the submission of a 

proposal; and

• entertain requests for other background documents, which may be available 

for use during the preparation of the proposal but were not sent to 

contractors.

All third-party contractors are strongly encouraged to attend this conference since 

this is the only opportunity to receive responses to questions. Telephone calls are 

not permitted; no questions related to this RFP will be answered in any forum 

other than at the contractors' conference. All questions must be answered at the 

conference so that all participants have equal access to the responses.

2.0 SERVICES REQUIRED

The selected third-party contractor will be responsible for assisting the OEP staff 

in conducting the NEPA review, preparing an EIS, and completing related work 

within the agreed-upon schedule and approved budget. It will be the contractor's 

responsibility to notify (applicant name) if the work effort ultimately required by 

the OEP staff exceeds the work effort on which the bid was based or the approved 

budget.

The third-party contractor will be responsible for satisfactory completion of the 

following tasks:
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2.1 Preparation of all project-related documents, reports, and notices required by OEP 

staff. In addition to paper copies, all materials must be provided to the OEP staff 

in Microsoft Word 2010 format, or as otherwise agreed to by the OEP 

Environmental Project Manager. Any required databases (such as mailing lists) 

must be Microsoft Access or Excel compatible. The camera-ready EA or DEIS 

and FEIS will be provided as pdf files as specified by the OEP staff in addition to 

hard copy.

2.2 Preparation of notices and presentation materials for public scoping meetings and 

public comment meetings on the EIS. This task will require close coordination 

with the OEP Environmental Project Manager. Required work will include 

researching venues, preparing notices, developing materials for meetings, 

participating in meetings, and preparing reports summarizing the results of the 

scoping meetings/process and public meetings on the EIS. The contractor will 

prepare a summary of agency scoping comments/issues for subsequent agency 

review and concurrence. Assume at least (number) scoping meetings and public 

comment meetings will be conducted. Potential locations for these meetings are: 

(list the locations).

2.3 Preparation and maintenance of a computerized (sortable database) mailing list of 

agencies, officials, community/environmental groups, concerned citizens, affected 

property owners and known interested parties. (Applicant name) will provide the 

initial agency and affected property owners list.

2.4 Characterization of existing environmental conditions, incorporation of issues 

identified during scoping, assessment of the significance of the potential environmental effects of the proposed project, identification of potential site, route and 

facility location alternatives, (both locally and regionally) and determination of 

mitigation necessary to avoid or reduce impacts to acceptable levels for the 

environmental topics listed in section 2.5 (below). Studies shall take into account 

both direct and indirect effects of project facility construction, operation and 

maintenance, upset conditions, and abandonment for all proposed and alternative 

project facilities. Special expertise may be needed for areas of non-routine 

environmental sensitivity (such as marine environments). The RRs contained in 

the FERC application (and other major applications, if any) and other already 

available technical data shall be used to the maximum extent practicable. 

2.5 Preparation of an EIS to meet the requirements of NEPA, the National Historic 

Preservation Act, Endangered Species Act, other applicable laws and regulations,

any additional requirements of the OEP staff, and to address any scoping and 

public meeting issues.
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The EIS shall include, but not necessarily be limited to, the following sections: 11

1. Cover Sheet

2. Executive Summary (including Impact Summary Table)

3. Introduction

4. Description of Proposed Project 

5. Alternatives

6. Affected Environment

7. Environmental Consequences (including Cumulative Impacts)

8. Conclusions (including summary of unavoidable significant adverse 

effects) and Recommendations (mitigation measures, including mitigation 

monitoring plan)

9. Agencies and Sources Consulted

10. List of Preparers and Contributors

11. References

12. EIS Distribution List 

13. Index 

14. Comments and Responses (Final EIS only)

15. Appendices and Technical Reports (including Essential Fish Habitat 

Assessment, if appropriate)

The project as proposed by (applicant name) includes several pipeline route and 

aboveground facility site location alternatives. In conjunction with the OEP staff, 

the third-party contractor will be responsible for identifying and assessing 

potential alternatives to the proposed project that are capable of meeting the 

project's goals and are sufficient to meet the requirements of NEPA, including 

reducing potentially significant effects associated with the proposed project and 

fostering informed decision-making. System alternatives to the (project name) 

Project that should be addressed include (identify any known system alternatives). 

Additional project alternatives may be identified by the OEP staff.

The Description of the Proposed Project and Alternatives should include, at a 

minimum, the following subsections:

1. Purpose and Need for the Project

2. Approvals to be sought through Use of the EIS

3. Storage Field, Compression Facilities, and Pipeline Route Description, as 

appropriate

 

11 See 18 CFR 380.7 and 40 CFR 1502.10 for additional guidance.
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4. Ancillary Facilities

5. General Design Parameters

6. Construction Methods (for Compressor Stations, Storage Field Facilities 

and Pipeline, as applicable) (including Applicant-Proposed Mitigation 

Measures)

7. Construction Schedule and Work Force

8. Operation and Maintenance Procedures

9. Abandonment Procedures

10. Interrelationships with Other Planned Projects and Nonjurisdictional 

Facilities

11. Alternatives (including No Action)

The majority of this information (is/will be) available in the RRs included in the 

application made to the FERC. The third-party contractor shall review the RRs for 

accuracy and adequacy to meet the needs of NEPA for the preparation of an EIS, 

and shall prepare a data request(s) to (applicant name) (routed through the OEP 

staff) requesting any other data that may be needed. The EIS shall fully address 

the following resource topics (as applicable):

1. Geology (including mineral resources and geologic hazards)

2. Soils (including erosion control and restoration/revegetation)

3. Water Resources (surface water and groundwater hydrology and quality)

4. Biological Resources (including wildlife, vegetation, wetlands, aquatic 

biology, essential fish habitat, and threatened and endangered species)

5. Land Use and Recreation

6. Socioeconomics

7. Visual Resources/Aesthetics

8. Air Quality

9. Noise

10. Cultural and Paleontological Resources

11. Public Safety

12. Cumulative Impacts

2.6 Prepare supporting maps showing the location of all project facilities and related 

areas of disturbance, and pertinent resource data. (Applicant name) will be 

responsible for developing all maps requested by the third-party contractor. The 

scale of the supporting maps will normally range from 1:24,000 to (identify larger 

scale), depending on the complexity/sensitivity of the resources potentially 

affected and project specifics.
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2.7 Maintain ongoing review of potential environmental issues and assessment of 

adequacy of overall scope of the environmental analysis. The OEP staff shall be 

advised immediately of any potential data gaps or analysis shortcomings.

2.8 Arrange with (applicant name) to participate in inspections of the proposed 

facility locations (including overflight, as appropriate), with the OEP staff. This 

may occur in conjunction with the scoping meetings. (The FERC will reimburse 

[applicant name] for all costs associated with OEP staff participation in 

overflights.)

2.9 Analyze comments and prepare draft responses to comments on the PADEIS, 

ADEIS, DEIS, and FEIS and related documents.

2.10 Prepare camera-ready copies of the DEIS and FEIS and any required notices for 

submission to the FERC staff for printing and mailing. For purposes of proposal 

preparation, assume that the contractor will print and distribute at least (25) copies 

of the preliminary documents (ADEIS, etc.) to cooperating agencies. (The actual 

number of preliminary documents needed will be determined based on 

consideration of cooperating agencies' needs.)

2.11 Develop and maintain a formal project management system to allow for weekly or 

biweekly, as mutually agreed, tracking of schedule and budget status for the prime 

contractor and any subcontractors.

2.12 Prepare a Biological Assessment, if appropriate.

2.13 Prepare an Essential Fish Habitat Assessment, if appropriate.

3.0 PROPOSAL REQUIREMENTS

If a contractor provides a Letter of Intent to bid on the RFP, and subsequently does 

not intend to submit a proposal, the contractor shall notify (applicant name) as 

soon as possible, but in any event no later than (number) days prior to the proposal 

due date. Contractors shall also return all materials to (applicant name). 

Contractors must provide (number) copies of the technical proposal and cost 

estimate; (applicant name) will coordinate distribution, and ultimately provide the 

OEP staff with one hardcopy and one electronic copy of the proposals. Cost 

estimates must be submitted in separate sealed envelopes labeled “COST 

ESTIMATE.” The proposal is limited to (50) pages (single-sided, space and a 

half). All materials should be easily readable. The proposal should be concise, 
3-34

well organized and contain the following information in the order presented

below:

3.1 Introduction

Explain the contractor's understanding of the project and a summary of the 

contractor's qualifications for this project in one or two pages. Because the project 

is located in (identify state(s)), qualifications for assessing impacts to the 

environment of this region of the country should be highlighted.

3.2 Technical Approach

Present both an overall technical approach for the preparation of the EIS and the 

approach proposed for individual technical areas and tasks. Include any 

recommendations to improve the scope (including rationale) and reflect those 

recommendations in the cost estimate.

3.3 Project Organization and Management Approach

Describe the proposed project organization, with an organization chart including 

positions, responsibilities and reporting relationships. The project manager, 

deputy project manager, environmental resource specialists with responsibility for 

each resource area, administrative support personnel, and any subcontractor(s) 

must be identified and their location specified. These key personnel shall not be 

reassigned within the project or to other projects without prior consultation with

the OEP staff.

Describe the proposed management scheme for the project, with a discussion of 

where the work will be done and where each key person and subcontractor 

presently resides. Provide the proposed mechanisms for communication, 

reporting, technical direction and control, cost control, schedule control, quality 

control, quality assurance and control of subcontractors.
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3.4 Qualifications and Experience

Describe qualifications and prior experience in completing similar NEPA projects, 

particularly pipeline construction projects or other linear facility projects. 

Emphasize prior work experience with the FERC for natural gas-related projects, 

(identify affected state[s]) state agencies, major relevant construction projects, and 

the geographical areas of study. Discuss the contractor’s familiarity with the 

specialized issues and requirements of proposed facility construction. Discuss the 

contractor’s understanding of the FERC environmental requirements for projects 

under the Natural Gas Act as reflected in FERC’s regulations and current policies. 

Describe the contractor’s past record in meeting performance and delivery 

requirements for similar contracts.

Statements of education, qualifications, and prior experience should be provided 

not only for the contractor, but also for the key personnel and subcontractors that 

will be assigned to the project, along with their specific experience with the type 

of project under consideration.

The past, current, and proposed use of small and small disadvantaged owned 

business enterprises by the contractor should be described.

3.5 Project Schedule

Submit a proposed schedule delineating dates for completion of the major work 

tasks specified in Section 2.5 of this RFP. The selected contractor’s proposal must 

address the completion dates as specified in Section 1.4 of this RFP. Any 

suggested modifications to this schedule must be presented with reasons for the 

changes. Note, however, that the ultimate schedule will be determined by the 

OEP staff not the applicant.

It is important that contractors demonstrate to (applicant name) and the OEP staff 

that ample resources exist to meet the project schedule. If a contractor has 

multiple EIS obligations underway concurrently, it must clearly show separate 

resources or provide convincing evidence that it can meet the schedule.

3.6 References

List and describe three successfully completed or in-progress projects of a similar 

nature with the name and phone number of the client's project manager. 

Additionally, list three client references specifically for the proposed project 

manager.
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3.7 Conflicts of Interest and Critical Energy Infrastructure Information

Identify possible conflicts of interest that may require investigation by the FERC 

staff. Include a discussion of all work completed by the contractor for similar 

work on natural gas-related projects within the last 3 years. Pursuant to 40 CFR 

1506.5(c), contractor selection is based on ability and absence of conflicts of 

interest. The contractor must also submit a Critical Energy Infrastructure 

Information (CEII) Non-Disclosure Agreement for itself and each subcontractor 

used.

All proposals must include the following three items:

 Either the FERC's (a) Organizational Conflict of Interest (OCI)

Representation Statement, or (b) OCI Disclosure Statement, prepared by a 

responsible official attesting the contractor and its subcontractor(s) have no 

financial or other conflicting interest in the outcome of the project, or 

proposing a mitigation plan if an actual or potential OCI exists. (See 

Appendix A.)

 The FERC's OCI Questionnaire. (See Appendix B.)

 A Contractor CEII Non-Disclosure Agreement. (See Appendix C.)

(Applicant name) will complete an OCI Certification. (See Appendix D.)

3.8 Resumes

Resumes may be submitted as an attachment to the proposal or as a separate 

volume. All resumes should be limited to two pages and must include the 

institution and date of graduation for all academic degrees, as well as a summary 

of relevant work experience and the specific dates of performance.

3.9 Cost Estimate

(The Applicant should identify the type of contract, such as time and materials, 

cost plus, etc., and provide additional guidance on how the cost of the contact is to 

be estimated.)

(Applicant name) anticipates awarding and signing a (identify type) contract. 

Since the specific dates and number of field teams required are strictly estimates, 

each contractor shall submit a daily crew billing rate and expense rate sheet. 
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(Applicant name) will compensate the contractor based upon the actual crews and 

hours worked. All preparation and processing of documents, NEPA review, EIS 

submission, and any other costs not associated with the daily crew rate shall be 

submitted as a fixed-price proposal with an attached cost breakdown. (Applicant 

name) understands that there may be out-of-scope requirements for the 

completion of this project and any resultant costs will be handled between the 

contractor and the applicant under the provisions of the contract.

Any limiting assumptions used to prepare the cost estimate should be clearly 

specified in the proposal. Also include a rate schedule that will apply to the 

project for any work beyond the scope stated in this RFP.

Assume that (applicant name), through the OEP staff, will provide the successful 

contractor with copies of all environmental information filed with FERC, 

including base maps, air photos, and computerized mailing lists of agencies, 

officials, community/environmental groups, concerned citizens, affected property 

owners and known interested parties at the time that contract negotiations are 

completed. (Applicant name) will provide aerial overflights for key contractor and 

OEP staff (weather conditions permitting) either prior to or in conjunction with the 

scoping meetings, or at OEP staff’s request. (However, the FERC will reimburse 

(applicant name) for all costs associated with OEP staff participation in aerial 

overflights.)

3.10 Available Materials

Appendix F presents a list of documents available from (applicant name) that 

should assist contractors in preparation of their proposals. Please contact (name 

and telephone number of applicant’s contact) to arrange for review of these 

documents. Note that (applicant name) will only entertain questions about this 

RFP at the Contractor's Conference discussed in Section 1.6.

3.11 Sample Memorandum of Understanding (MOU) 

Appendix G to this RFP presents a sample MOU with key provisions that must be 

included in the awarded contract. Contractors are asked to review this sample 

MOU and point out any difficulties with contract language in their proposal. The 

proposal must indicate the contractor's review of the sample MOU and identify 

issues which require resolution during negotiations. Issues raised after submittal 

of the proposal will not be subject to negotiation. The person(s) authorized to 

negotiate on behalf of the contractor should be identified. 
3-38

Please note the OEP staff cannot be contacted on any contract negotiations 

between (applicant name) and the contractor. 

3.12 Addresses

Submit Letters of Intent via e-mail or facsimile to:

(contact name, e-mail/facsimile address, etc.)

Submit Technical Proposals and Cost Estimates to:

(contact name, mailing address, phone number, etc.)

Technical Proposals and Cost Estimates should be submitted to (applicant name) 

by (time and date).

4.0 SELECTION PROCESS

Only those proposals submitted by contractors prior to the deadline stated herein 

will be evaluated. The proposals will be initially reviewed by (applicant name), 

and then all proposals will be submitted to the OEP staff. The proposals will also 

be filed on the FERC project docket in accordance with the Commission’s 

instructions for filing of privileged material. 

(Applicant name) will provide the OEP staff with one hardcopy and one electronic 

copy of the contractors' proposals, along with the contractors' OCI statements, 

CEII non-disclosure agreements, and (applicant name)'s OCI certification of each 

contractor. GAL will perform an OCI review of the submitted proposals. OEP 

staff will then conduct an independent review of the contracts cleared by GAL and 

the Director of OEP will make the final selection of the contractor. Lack of an 

OCI Statement, or the existence of an identifiable OCI (relative to the contractor, 

its key personnel, or any proposed subcontractor) that cannot be mitigated to the 

satisfaction of the FERC staff, will be sufficient grounds for proposal rejection. 

Once the OEP staff has notified (applicant name) of its selection and the MOU is 

signed, (applicant name) will negotiate and fund a contract with the contractor. 

(Applicant name) will keep the OEP staff apprised of the negotiations with the 

contractor. Once the contract has been executed, the contractor will proceed to 

work solely under the direction and guidance of the OEP staff. Pursuant to 40 

CFR 1506.5(c), the responsible official (i.e., the OEP staff) "shall furnish guidance 
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and participate in the preparation and shall independently evaluate the 

[environmental document] prior to its approval and take responsibility for its 

scope and contents."

(This sample RFP is set up to include the seven appendices at the end of this manual.)

A. OCI Representation and Disclosure Statements

B. OCI Questionnaire

C. Contractor CEII Non-Disclosure Agreement

D. OCI Certification

E. Project Overview Map

F. List of Available Background Documents

G. Sample Memorandum of Understanding
4-1

Chapter 4. FERC's ORGANIZATIONAL CONFLICT OF INTEREST AND OFFTHE-RECORD COMMUNICATIONS (EX PARTE) REQUIREMENTS

An OCI exists when the nature of the work to be performed may, without some 

restriction on future activities:

 result in an unfair competitive advantage to a contractor and/or its affiliates; or

 impair the contractor's objectivity in performing the contract work.

OCIs typically exist where the contractor and/or its employees or affiliates have a 

past, present, or ongoing financial interest in the project or in a related project, or have a 

financial or business relationship with the applicant. For example, an OCI exists if the 

contractor and/or its affiliates:

 has been involved with the applicant on the project before it is proposed to the 

Commission, or while it is pending before the Commission; 

 has an ongoing relationship with the applicant;

 would be called on to review its own prior work or that of its affiliates; or

 has a financial or other interest in the outcome of the Commission's decision.

All contractors must submit as part of their proposals a statement of Contractor's 

Organizational Conflicts of Interest Disclosure or Representations (OCI Statement). 

Specifically, contractors must reveal all relationships, including ownership interests, with 

all FERC regulated entities, including but not limited to pipelines, gathering companies, 

brokers and marketers of natural gas, major producers and their affiliates, and end users 

of natural gas such as industrial users, including cogeneration facilities. Contractors must 

state whether or not there is an OCI, and if so, to what extent. Contractors must provide 

an abstract listing all the above entities with which it or its subcontractors have had a 

business relationship and indicate whether or not that relationship results in a real or 

perceived conflict. In the event an apparent or real conflict is listed, a detailed mitigation 

plan to resolve and isolate any OCI should be included in the abstract. Detailed guidance 

regarding the OCI Statement, including requirements and definitions, begins on page 4-3.

The above obligation carries through the actual performance period of the 

work covered by this RFP. Therefore, the OCI Statement must be refreshed on an 

annual basis, at a minimum, and more frequently if the contractor and/or its 

affiliate’s business relationships have changed in a manner that affects the 

previously submitted OCI Statement.
4-2

In other words, in addition to refreshing the OCI Statement on an annual 

basis, if during the performance of that work the contractor and/or its affiliates 

establish a relationship, including ownership interest, with any of the FERC 

regulated entities identified above, the contractor must notify the OEP

Environmental Project Manager, and file an amended OCI Statement with GAL 

within 30 days. The amended OCI Statement must include a conflict mitigation 

plan to address any perceived or potential conflict of interest.

The contractor’s conflict mitigation plan should describe mechanisms to resolve 

and isolate any OCI and ensure the contractor would impartially perform the services 

under the contract. When a contractor has identified a possible conflict, OEP staff may 

suspend its work with the contractor until a review has been conducted by the 

Commission’s Designated Agency Ethics Official staff of GAL. The contractor must 

receive GAL approval, in writing, to implement the mitigation plan. The determination 

of GAL is final, but may be reconsidered for just cause.

The applicant will review each OCI Statement and abstract to determine whether 

the contractor is capable of impartially performing the environmental services required 

under the contract. The applicant shall certify that neither the contractor nor its 

subcontractors have an OCI. A format for this certification is included as Appendix D. 

All OCI materials submitted to OEP (including the contractor’s OCI Statement, 

mitigation plans, and the applicant's certification) will be reviewed by GAL.

As more thoroughly discussed below, post-award communications between the 

applicant and the contractor will be limited by the Commission's off-the-record 

communications rule. Therefore, any post-award OCI issue or problem identified by 

the applicant shall be reported directly to the OEP Environmental Project Manager

in writing.

Subcontractors also must submit an OCI Statement and, where necessary, a 

mitigation plan to resolve real or perceived OCIs.

Off-the-Record Communications

In order to avoid all possibilities of prejudice, real or apparent communications 

between the applicant and contractor are subject to the Commission's off-the-record 

communications (sometimes referred to as ex parte) rule found at 18 CFR 385.2201. 

Note that the restrictions on off-the-record communications do not apply during the 

Commission’s Pre-Filing Process. However, the OEP staff will treat most 

communications between itself or the third-party contractor and the applicant during this 
4-3

period as subject to public disclosure to ensure openness of the NEPA process. An offthe-record communication is a written or oral communication that is:

 off the record; and

 relates to the merits of a pending proceeding.

The Commission will treat the prohibitions on off-the-record communications as being 

applicable to communications between an applicant and a third-party contractor under 

Commission supervision and control. The contractor shall report all such 

communications to GAL. Exceptions are listed at 18 CFR 385.2201(b) and (e).

All inquiries regarding OCI and off-the-record communications should be directed 

to GAL. Contact information is listed at the end of this chapter.

Contractor's OCI Disclosure and Representations

Requirements

All contractors must provide the information and assurances called for by this 

section.

The contractor must submit (as a separate volume) the following documents from 

each of the entities listed herein: 12

1. Either (a) the OCI Representation Statement (representing that the contractor has 

no OCIs), or (b) the OCI Disclosure Statement (in the event that the contractor has 

information relevant to a potential OCI). (See Appendix A.) If the OCI 

Disclosure Statement is signed, provide an attachment showing the information 

required.

 

12 The types of entities or individuals required to complete the forms listed above are as follows:

1. The prime contractor.

2. The subcontractor(s) (unless the subcontractor(s) is only providing supplies) and 

consultants at every tier.

3. All affiliates of the foregoing if the prime or subcontractors do not file on their behalf.

4. Any entities owned or represented by the chief executives or directors of: the prime 

contractor; any of the subcontractors, except for those only providing supplies; and any of 

the consultants.

5. Chief executives and directors - if they will be involved in performing the proposed work 

of: the prime contractor; the subcontractors at every tier (except for subcontractors which are 

only providing supplies); consultants at every tier; and all affiliates of the foregoing.
4-4

2. The OCI Questionnaire (see Appendix B). If you answer any questions "YES," 

provide an attachment showing the requested information in detail. Please do not 

reference any information in other sections of your proposal.

Notice

Apart from other remedies allowed by law or contract, any deliberate nondisclosure or misrepresentation of facts relevant to the OCI disclosure required by the 

Commission may result in, among other things, termination of the contract, or 

disqualification of the contractor from future third-party contracts. See, for example, 18 

U.S.C.§ 1001.

Discussion

It is the policy of the Commission to identify and avoid or mitigate an OCI before 

selecting a third-party contractor. Generally, to determine whether an OCI exists, the

Commission considers questions, such as the following:

 Are there conflicting roles or interests which might bias a contractor’s 

judgment or create a negative appearance in relation to its work for the 

Commission?13

 Could the contractor gain an unfair competitive advantage based on the 

performance of the contract? Would the contractor be placed in the position to 

review its own work?

 What percentage of the contractor’s total income in recent years resulted from 

arrangements with any project-related entities?

GAL will determine whether an OCI exists after examining:

 all relevant facts submitted by the contractor;

 the statement of work; and

 information gained from other sources.

If an OCI does exist, GAL may require the contractor to submit an acceptable mitigation 

plan. If the conflict cannot be resolved through an adequate mitigation plan, the 

contractor will be ineligible for selection or for proceeding with the third-party contract.

 

13 These may include work for the applicant on this project, or for applicant or another energy firm 

in the same general project area, especially if the work is for a similar project.
4-5

To avoid the potential for actual or perceived OCI after a contract is signed under 

this RFP, the contractor must not enter into any agreements with the applicant to perform 

any function on this project outside of that contemplated in this RFP, until after 

completion of the contracted scope of work. The contractor must similarly avoid 

agreeing to perform any function for another company on a similar project in the same 

geographic area, and over the same time period if the facilities would be located in the 

same area or if there could be a perception that there would be a conflict.

Definitions

1. The term "organizational conflicts of interest" means that a relationship or 

situation exists whereby an contractor (including chief executives and directors, to 

the extent that they will or do become involved in the performance of the contract, 

and proposed consultants or subcontractors where they may be performing 

services similar to the services provided by the prime) has past, present, or 

currently planned interests that either directly or indirectly (through a client, 

contractual, financial, organizational or other relationship) may relate to the work 

to be performed under the third-party contract and that (a) may diminish its 

capacity to give impartial, technically sound, objective assistance and advice, or 

(b) may result in the contractor gaining an unfair competitive advantage. OCI 

does not include the normal flow of benefits from the performance of the contract.

2. The term "affiliates" means business concerns that are affiliates of each other 

when either directly or indirectly has the power to control another, or when a 

single third-party controls or has the power to control both.

3. The term "energy concern" includes:

a. Any person significantly engaged in the business of developing, extracting, 

producing, refining, transporting by pipeline, converting into synthetic fuel, 

distributing, or selling minerals for use as an energy source, or in the 

generation or transmission of energy from such minerals or from wastes or 

renewable resources;

b. Any person holding an interest in property from which coal, natural gas, 

crude oil, nuclear material or a renewable resource is commercially 

produced or obtained;

c. Any person significantly engaged in the business of producing, generating, 

transmitting, distributing, or selling electric power;

d. Any person significantly engaged in development, production, processing, 

sale or distribution of nuclear materials, facilities or technology; and

e. Any person:
4-6

(1) significantly engaged in the business of conducting research, 

development, or demonstration related to an activity described in 

paragraphs (a) through (d); or

(2) significantly engaged in conducting such research, development, or 

demonstration with financial assistance under any Act the functions 

of which are vested in or delegated or transferred to the Chair of the 

Commission.

Contacts

Direct all inquiries regarding OCI and off-the-record (ex parte) communications

to:

General and Administrative Law (GC-13)

gal_ethics@ferc.gov

Telephone (202) 502-6457 
A-1

APPENDIX A

COMPLETE EITHER THE REPRESENTATION OR THE DISCLOSURE –

NOT BOTH

OCI Representation Statement

I hereby certify (or as a representative of my organization, I hereby certify) that, to the 

best of my knowledge and belief, no facts exist relevant to any past, present or currently 

planned interest or activity (financial, contractual, personal, organizational or otherwise) 

that relate to the proposed work; and bear on whether I have (or the organization and any 

of its affiliates has) a possible conflict of interest with respect to (1) being able to render 

impartial, technically sound, and objective assistance or advice; or (2) being given an 

unfair1 competitive advantage.

Signature : Date : 

 

Name : Title : 

Organization : 

OCI Disclosure Statement

I hereby certify (or as a representative of my organization, I hereby certify) that, to the 

best of my knowledge and belief, all relevant facts -- concerning past, present, or 

currently planned interests or activities (financial, contractual, organizational or 

otherwise) that relate to the proposed work and bear on whether I have (or the 

organization has) a possible conflict of interest with respect to (1) being able to render 

impartial, technically sound, and objective assistance or advice, or (2) being given an 

unfair competitive advantage—are fully disclosed on the following page(s) and formatted 

to show:

 For ease of presentation, the OCI information is divided into four parts, 

indicating whether the possible OCI is: organizational, contractual, financial, 

or other;

 The company, agency, organization in which I (or my organization) have a 

past, present, or currently planned interest or activity (financial, contractual, 

organizational, or otherwise);

 1 An unfair competitive advantage does not include the normal flow of benefits from the 

performance of the contract.
A-2

 A brief description of the relationship;

 The period of the relationship;

 The extent of the relationship (such as value of financial interest of work; 

percent of total holdings, total work, etc.); and

 A mitigation plan, if necessary.

Signature : Date : 

 

Name : Title : 

 

Organization : 
B-1

APPENDIX B

Name of Person

or Organization: 

OCI Questionnaire1

1. Will you (or your organization) be involved, or have you previously been 

involved, in the performance of any portion of the project under this solicitation, 

aside from your organization’s proposed work as a third-party contractor?

( ) No.

( ) Yes. The portion of the proposed work; the proposed hours and dollar 

value; and the type of involvement are fully disclosed on the attached 

pages.

2. What is (are) the major type(s) of business conducted by you (or your 

organization)? Please reply on the attached pages.

3. Do you (or your organization) have any affiliates?

( ) No.

( ) Yes. The name and a description of the major type(s) of business that each 

affiliate conducts are disclosed on the attached pages.

4. Will any of the following be involved in performing the proposed work under this 

solicitation: (a) any entities owned or represented by you (or your organization); 

(b) your organization’s Chief Executive or any of its directors; or (c) any 

affiliates?2

( ) No.

( ) Yes. A full disclosure and discussion is given in the attached pages.

 1 All questions in the questionnaire apply to parent companies and affiliates as well. Whenever 

possible, each affiliate should submit a separate questionnaire. However, in the event each 

affiliate does not submit a separate questionnaire (for instance, to avoid completing a large 

number of questionnaires), this questionnaire must incorporate information regarding all 

affiliates.

2 See Definitions in Chapter 4 (defining affiliates as businesses that directly or indirectly control or 

have the power to control another, or when a single third party controls or has the power to 

control both businesses).
B-2

5. Are you (or your organization) an energy concern?

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.

6. Do you (or your organization) have a direct or indirect relationship (financial, 

organizational, contractual or otherwise) with any business entity (including a 

parent company, affiliate, or any other business arrangement) that could be

affected in any way by the proposed work under this solicitation?

( ) No.

( ) Yes. List the business entity(ies) showing the nature of your relationship 

(including the dates of the relationship, and the dollar value of any financial 

relationship) and how it would be affected by the proposed work under this 

solicitation.

7. What percentage of your total income for the current and preceding calendar years 

resulted from arrangements with any of the entities identified in Question 6 above?

 % For the current calendar year: from / / to / / . 

 % For the preceding calendar year: from / / to / / . 

 % For the second preceding calendar year: from / / to / / . 

8. Do you (or your organization) currently have or have you had during the last six

years any arrangements (for example, contracts and cooperative agreements) 

awarded, administered, or funded—wholly or partly—by the Commission or any 

other federal agency which relates to the proposed Statement of Work?

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.

9. Do you (or your organization) have or have you ever had any contracts, 

agreements, special clauses, or other arrangements which prohibit you (or your 

organization) from proposing work to be performed in this solicitation or any 

portion thereof?

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.
B-3

10. Do you (or your organization) have any involvement with or interest (direct or 

indirect) in technologies which are or may be subjects of the contract, or which 

may be substitutable for such technologies?

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.

11. Could you (or your organization) in either your private or federal government 

business pursuits use information acquired in the performance of the proposed 

work under this solicitation; such as:

(a) Data generated under the contract?

(b) Information concerning Commission plans and programs?

(c) Confidential and proprietary data of others?

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.

12. Under the proposed work under this solicitation, will you (or your organization) 

evaluate or inspect your own services or products, or the services or products of 

any other entity that has a relationship (organizational, financial, or other, such as 

a client) with you (or your organization)? This could include evaluating or 

inspecting a competitor’s goods and services.

( ) No.

( ) Yes. A full disclosure and discussion is given on the attached pages.

13. To avoid what you perceive as a possible OCI, do you (or your organization) 

propose to: exclude portions of the proposed work; employ special clauses; or 

take other measures?

( ) No.

( ) Yes. A full discussion is given on the attached pages.

( ) No possibility of an OCI is perceived. This answer is briefly justified on 

the attached pages.

14. What percentage of the revenue reported in this OCI statement is attributable to 

work as a FERC third-party contractor? 

15. Are you (or your organization) performing any function for another company, 

either currently or in the past 24 months, on a similar project in the same 

geographic area?
B-4

( ) No.

( ) Yes. 

16. If the answer is yes, please list the name(s) of the project(s) and the work being 

performed.

I hereby certify that I have authority to represent my organization, and that, to the best of 

my knowledge and belief, the facts and representations presented on the four pages of 

this questionnaire and on the pages of the attachment to it are accurate and complete.

I recognize that OCI is an ongoing obligation requiring annual updating. Should I 

become aware of any actual or potential OCI during performance of this contract, I 

will advise the OEP staff and (applicant name) and file an amended OCI Statement 

with the Commission’s General and Administrative Law section, Office of General 

Counsel within 30 days that includes proposed mitigation or explanation why none 

is needed.

Signature : Date : 

 

Name : Title : 

 

Organization : 
C-1

APPENDIX C 

CONTRACTOR CEII NON-DISCLOSURE AGREEMENT

On behalf of [contractor name], I certify that [contractor name] will abide by the 

following terms with respect to critical energy infrastructure information (CEII) that the 

company has access to because of its work for the Federal Energy Regulatory 

Commission:

 Only authorized company employees with a need for the information will be given 

access to CEII. [contractor name] will maintain a list of each employee who is 

given access to CEII, including a listing of each project for which the employee 

has been given CEII.

 [Contractor name] will not provide CEII to or discuss CEII with anyone outside 

the company, except that CEII may be discussed with the project's owner, 

operator, or applicant.

 Any copies made of CEII will be marked as CEII, and treated as CEII.

 CEII will be used only in performance of [contractor name]'s work for the Federal 

Energy Regulatory Commission. When [contractor name] has completed work on 

the project, all CEII will be returned to the Commission.

 I acknowledge that a violation of this agreement may result in negative 

consequences and could affect [contractor name]'s ability to contract with the

Commission in the future.

By: _______________________________________

 Title: _______________________________________

 Representing: _______________________________________

 Date: _______________________________________
D-1

APPENDIX D

OCI Certification

I, (applicant representative), am responsible for reviewing proposals received in 

response to (applicant name)'s Request for Proposals for the preparation of an 

Environmental (Assessment/Impact Statement) and related documents and services for the 

proposed (project name) Project.

I have reviewed the proposal of (contractor name) for Organizational Conflicts of 

Interest. I hereby certify that (contractor name) has complied with the OCI 

Representation or OCI Disclosure requirements of the RFP and that there are no real or 

apparent disqualifying conflicts of interest.

Signature : 

Title : 

Date : 
E-1

APPENDIX E

(Project Overview Map)
F-1

APPENDIX F

Appendix F, List of Available Background Documents, might be structured as follows:)

The following background documents are available and should be reviewed by all 

contractors prior to preparation and submittal of proposals in response to this RFP:

 FERC staff’s current Wetland and Waterbody Construction and Mitigation 

Procedures

 FERC staff’s current Upland Erosion Control, Revegetation, and Maintenance 

Plan

 1 set of (draft) alignment sheets

 1 set of (draft) quadrangle maps

 (any other major state or federal applications containing pertinent 

environmental data)

 FERC FEIS for the (name of recent FERC EIS) Project (FERC Docket No. 

CPxx-000) or other recent FERC-issued EISs

These documents (, as well as other project-related documents not provided with the 

RFP,) are available for review at:

(location)

Contact: (name)

(telephone number)
G-1

APPENDIX G

Sample Memorandum of Understanding

(The purpose of the MOU is to establish mutual agreement between the applicant, 

the third-party contractor, and the OEP staff regarding the roles and 

responsibilities of each party. Although the language may vary, the concepts as 

worded below must be incorporated into the MOU and included as mandatory 

provisions of the finalized contract.)

MEMORANDUM OF UNDERSTANDING

Between the

FEDERAL ENERGY REGULATORY COMMISSION

the (Applicant’s Name) and

the (Contractor’s Name)

a. Background. The Energy Policy of 19921 and related regulations provide for the 

use of third-party contracts to assist agencies in satisfying the requirements of the 

National Environmental Policy Act (NEPA).2

 In its "Forty Questions" issued in 

the Federal Register on 23 March 1981, the Council on Environmental Quality

indicated the term "third-party contract" referred to contractors paid by the 

applicant but selected by the agency. 40 CFR 1506.5(c) further stipulates that the 

contractor must execute a disclosure statement prepared by the agency to avoid 

any conflict of interest. If the NEPA document is prepared with third-party 

contract assistance, the responsible agency must participate in the preparation and 

shall independently evaluate the NEPA document prior to its approval. The 

agency must also take full responsibility for the scope and contents of the NEPA 

document. 

This Memorandum of Understanding (MOU) defines the roles and obligations of 

the Federal Energy Regulatory Commission (FERC), the private entity with a 

planned or pending application before the FERC (referred to as Applicant), and 

the independent contractor chosen by FERC staff (referred to as Contractor).

 

1 16 U.S.C. 797d. 

2 42 U.S.C. §§ 4321-4370h (2012).
G-2

The contract between the Applicant and the Contractor will be executed pursuant 

to the third-party contracting procedures set forth in 40 CFR 1506.5(c) and as 

described in the FERC Handbook for using Third-Party Contractors to Prepare 

Environmental Documents (August 2016). 

The FERC staff of the Office of Energy Projects (OEP) will direct the activities of 

the contractor in the consultation, reviews, preparation, and processing of the 

documents within the scope of the contract. The Applicant will not control or 

direct the activities of the Contractor, except with respect to the processing of 

invoices. 

b. Obligations of the Applicant

The Applicant agrees to perform the following tasks:

I. Certify that the selected Contractor, to the best of its knowledge, has no 

financial or other interest in the outcome of the project. Specifically, the 

contract or project provides no unfair competitive advantage to the 

Contractor.

II. The Applicant and the Contractor have no relationships that could impair 

the Contractor’s objectivity in performing the contract work.

III. Affirm that all communications with the Contractor will be restricted to 

financial components of its contract. Communications on the merits of the 

Applicant’s project may only be conducted jointly with OEP staff, subject 

to any disclosure and ex parte requirements.

IV. Be solely responsible for all Contractor and subcontractor fees, costs, and 

expenses.

V. Retain no rights to the products of the contract.

VI. Include the Applicant and Contractor roles and obligations outlined in this 

MOU as mandatory provisions in the contract between Applicant and 

Contractor.

c. Obligations of the Contractor (and all subcontractors, as appropriate)

I. The Contractor certifies that it has no conflict of interest in performing the 

work required under the contract and certifies that it has no financial or 

other interest in the outcome of the Commission’s review.
G-3

II. The Contractor certifies that its Organizational Conflict of Interest (OCI) 

Statement provided to FERC for review prior to selection is accurate.

III. The Contractor has a continuing obligation to identify conflicts of interest 

that may arise because of changes in corporate identity, affiliation, 

structure, or ownership, or changes to the contract throughout the actual 

performance period of the work. Therefore, the OCI Statement must be 

refreshed on an annual basis, at a minimum, and more frequently if the 

Contractor’s business relationships have changed in a manner that affects 

the previously submitted OCI Statement. 

IV. In the event an OCI is discovered after award, the Contractor certifies that it 

will immediately notify the OEP Environmental Project Manager and will 

submit a plan to mitigate the conflict. The mitigation plan will be 

submitted to FERC’s Office of General Counsel – General and 

Administrative Law for review and written determination as to whether the 

plan can be implemented within 30 days of the identification of an OCI.

V. The Contractor agrees to only communicate with the Applicant on financial 

issues related to the executed contract, unless OEP staff is present and 

subject to any disclosure and ex parte requirements.

VI. All work performed by the Contractor will be under the direction of and 

meet any timeframes established by OEP Staff. General duties of the 

contractor are listed in Chapter 2.4 of the Handbook for Using Third-Party 

Contractors to Prepare Environmental Documents. These duties are also 

listed within the sample Request for Proposals included in Chapter 3 of the 

Handbook.

VII. The Contractor shall not replace the Project Manager, assistant Project 

Manager, or other key employee or subcontractor personnel without the 

prior consultation of the OEP staff.

d. Obligations of OEP

I. OEP will select the Contractor, based on its independent review of the 

technical, managerial, personnel, and OCI aspects of each proposal.

II. OEP will set the schedule for completion of the NEPA document and all 

associated documents.
G-4

III. OEP will be responsible for providing technical direction to the Contractor 

throughout the NEPA review process.

IV. OEP will identify all information necessary to complete its review and will 

decide on the inclusion or deletion of all material in the NEPA document.

V. OEP staff has the right, at any time and in their sole discretion, to have any 

personnel of the Contractor, or the Contractor’s subcontractor, either 

temporarily or permanently dismissed from the project. 

e. Expiration

This MOU shall become effective upon signature of all three parties and shall 

expire following completion of the contracted scope of work as agreed to by the 

parties to the agreement.

f. Termination

This MOU may be terminated prior to expiration with the written consent of all 

three parties. Each party may initiate termination upon thirty (30) days written 

notice to the other parties. During the intervening 30 days, the parties agree to 

actively attempt to resolve any outstanding disputes or disagreements. 

g. Effective Date

This MOU and any attachments hereto shall become effective upon signature of 

all three parties.
G-5

SIGNATURES OF AGREEMENT

Federal Energy Regulatory Commission

____________________________________

Signature

____________________________________

Typed Name

Director, Office of Energy Projects

Typed Title

____________________________________

Date

Applicant

____________________________________

Signature

____________________________________

Typed Name

____________________________________

Typed Title

____________________________________

Date
G-6

Contractor

____________________________________

Signature

____________________________________

Typed Name

____________________________________

Typed Title

____________________________________

Date