. EPA/540/G-91/003
OSWER Directive: 9360.7-01
October 1990
Reporting Requirements for
Continuous Releases of
Hazardous Substances
A Guide for Facilities
and Vessels on Compliance
Office of Emergency and Remedial Response (OS-210)
U.S. Environmental Protection Agency
Washington, DC 20460
nS> Printed on Recycled Paper
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NOTICE
This document has been reviewed in accordance with
U.S. Environmental Protection Agency policy and
approved for publication. Mention of trade names
or commercial products does not constitute endorse-
ment or recommendation for use.
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TABLE OF CONTENTS
INTRODUCTION 1
PART 1: REPORTING REQUIREMENTS FOR CONTINUOUS RELEASES
OF HAZARDOUS SUBSTANCES 2
1.0 Introduction 2
1.1 CERCLA's Reporting Requirements 2
1.2 Reporting Continuous Releases 7
1.3 Recordkeeping Requirements 10
1.4 EPA's Role in the Continuous Release Reporting Process 11
1.5 Additional Questions 12
1.6 Where to Submit Written Reports 12
1.7 Sources for Further Information 14
PART 2: INSTRUCTIONS AND PROCEDURES FOR CONTINUOUS
RELEASE REPORTING 15
2.0 Introduction 15
2.1 General Overview of How to Report a Continuous Release 15
2.2 Initial Telephone Notification 16
2.3 Initial Written Notification and Follow-up Report 17
2.4 Notifications of Statistically Significant Increases 27
2.5 Notifications of Changed Releases 28
2.6 Summary 29
APPENDICES
Appendix A: Acronyms , 31
Appendix B: Sample Reporting Format for Initial Written and Follow-up Reports 33
in
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EXHIBITS AND TABLES
Exhibit 1: Definitions 4
Exhibit 2: Where to Submit Continuous Release Reports for Releases of
Non-CERCLA EHSs 5
Exhibit 3: Reporting Requirements 7
Exhibit 4: Where to Submit Continuous Release Reports for Releases of
CERCLA Hazardous Substances 8
Exhibit 5: Addendum for TRI Reports 13
Exhibit 6: EPA Regional Superfund Offices 14
Exhibit 7: Checklist of Information Required in the Initial Written NotiGcation
and Follow-up Report •.. is
Exhibit 8: Sources of Information for Identifying the Location of
Your Facility or Vessel 20
Exhibit 9: Definitions 20
Exhibit 10: Estimated Average Stream Flow Rates 23
Exhibit 11: Sources of Information for Estimating Average Lake Depth 23
Exhibit 12: Normal Range 24
Table 1: Reporting a Single Hazardous Substance 25
Table 2: Reporting a Mixture 26
Table 3: Calculation of the SSI Trigger for a Hazardous Substance 27
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INTRODUCTION
The purpose of this Guide is to help you
understand the definitions and requirements
contained in the U.S. Environmental Protection
Agency's (EPA) regulation on reporting
continuous releases of hazardous substances (see
55 PR 30166; July 24,1990). The effective date of
this regulation was September 24, 1990. The
continuous release reporting regulation allows
reduced reporting for facilities or vessels that
release hazardous substances in a continuous and
stable manner. This Guide has been designed to
provide information necessary to successfully
comply with this regulation.
The Guide is divided into two parts. The first part
provides general information in a question and
answer format regarding the continuous release
reporting regulation and your responsibility to
report releases of hazardous substances. The
second part contains detailed instructions on how
to prepare continuous release reports that include
all required information.
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PARTI: REPORTING REQUIREMENTS FOR CONTINUOUS RELEASES
OF HAZARDOUS SUBSTANCES
1.0 Introduction
This part of the Guide explains the general
reporting requirements and terms relevant to
reporting releases of hazardous substances. In
addition, it provides information on what
constitutes a continuous release, how and when
such releases must be reported, and to whom such
releases must be reported.
1.1 CERCIA's Reporting
Requirements
The Comprehensive Environmental Response,
Compensation, and Liability Act of 1980
(CERCLA or Superfund), as amended, contains
specific provisions requiring the person in charge
of a facility or vessel to notify government
authorities whenever a reportable quantity (RQ) of
a hazardous substance is released, so that officials
can evaluate the need for a response action. These
provisions are outlined in CERCLA section 103.
In addition to the reporting requirements under
CERCLA, section 304 of the Emergency Planning
and Community Right-to-Know Act (EPCRA) or
Title III of the Superfund Amendments and
Reauthorization Act of 1986 (SARA Title III)
requires that releases of CERCLA hazardous
substances and extremely hazardous substances
(EHSs) in amounts that equal or exceed an RQ be
reported to state and local authorities.
Notifications under section 304 of SARA Title III
must be given to both the local emergency
planning committee (LEPC) of any area likely to
be affected by the release and to the state
emergency response commission (SERC) of any
state likely to be affected by the release.
What is a facility?
A facility is defined in section 101(9) of CERCLA
as including, among other things, any building,
structure, installation, equipment, pipe or pipeline,
well, pit, pond, lagoon, impoundment, ditch,
landfill, storage container, motor vehicle, rolling
stock, or aircraft. There may be a number of
facilities at a particular site. For example, a site
may be comprised of four facilities including one
building, one lagoon, and two storage containers.
The definition of the term "facility" in SARA Title
III differs from the CERCLA definition. Under
section 329(4) of SARA Title III, a facility is
defined as all buildings, equipment, structures, and
other stationary items that are located on a single
site or on contiguous or adjacent sites that are
owned and controlled by the same person. The
SARA definition of facility also includes motor
vehicles, rolling stock, and aircraft.
When does a hazardous substance release occur?
Under CERCLA, a release occurs when a
hazardous substance enters the environment. A
key element of this definition is the phrase "into
the environment." The environment includes all
media: air, land, surface water, and ground water.
Examples of hazardous substances released into
the environment include: releases from tanks or
valves onto concrete pads or into lined ditches
open to the outside air; releases from pipes into
open lagoons or ponds; releases from stacks; or
any other discharges that are not wholly contained
within buildings or structures. If such releases
occur in a quantity that equals or exceeds an RQ,
they must be reported immediately to the National
Response Center (NRC). A release is the same
under CERCLA and SARA Title HI, except that
under SARA Title III, a release is not reportable
if it results solely in exposure to persons within the
facility (i.e., site) boundaries.
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What is a importable quantity?
Each CERCLA hazardous substance is assigned a
"reportable quantity" (RQ). The RQ is a quantity
of a hazardous substance that, when released from
a facility or vessel during a 24-hour period, triggers
the reporting requirements of section 103 of
CERCLA. An RQ is not an absolute measure of
the risk associated with a hazardous substance; its
purpose is to trigger the reporting of hazardous
substance releases. The actual risk posed to
human health and the environment will vary with
the circumstances of the particular release; many
factors other than the size of the release may
influence the risk and thus the need for a
government response. The RQ is generally
expressed in pounds (i.e., 1 Ib, 10 Ibs, 100 Ibs, 1000
Ibs, 5000 Ibs). You can find a list of hazardous
substances and their associated RQs in the Code of
Federal Regulations (CFR) in Table 302.4 at 40
CFR Part 302.
EHSs that are not currently CERCLA hazardous
substances (i.e., non-CERCLA EHSs) are assigned
an RQ of one pound under section 304 of SARA
Title III. Section 304 also requires that any release
of a non-CERCLA EHS that equals or exceeds
one pound be reported immediately to the
appropriate SERC and LEPC. All non-CERCLA
EHSs have been proposed for designation as
CERCLA hazardous substances (54 FR 3388;
January 23, 1989); EPA has also proposed adjusted
RQs for these substances (54 FR 35988; August
30, 1989). When these rules are promulgated,
facilities that release an EHS at levels that equal
or exceed an RQ must report those releases to the
NRC as well as to the SERC and LEPC. EHSs
are listed at 40 CFR Part 355, Appendices A and
How are releases of CERCLA. hazardous
substances and EHSs reported?
CERCLA section 103(a) requires the person in
charge of a facility or vessel to notify the NRC
immediately if that person has knowledge that the
amount of a hazardous substance released from the
facility or vessel over a 24-hour period equals or
exceeds an RQ. To determine whether an RQ or
more of a specific hazardous substance has been
released over a 24-hour period, the person in
charge must consider the amount released from all
sources at the facility or vessel and determine if
any hazardous substance is released in quantities
that equal or exceed an RQ. For example, if a
building has three smokestacks, each releasing 1/3
of an RQ of hazardous substance X over the same
24-hour period, and hazardous substance X is not
federally permitted, the person in charge must
report that release to the NRC. (The NRC's
telephone number is listed on p. 14 of this Guide).
The SARA Title III section 304 reporting
requirements parallel the CERCLA notification
requirements, but are intended to make release
information available immediately to state and
local authorities. (You can obtain the telephone
numbers for appropriate state and local authorities
by calling the Emergency Planning and Community
Right-to-Know Information Hotline. See p. 14 of
this Guide for telephone numbers.) The primary
purpose of these notification requirements is to
alert government officials to releases of hazardous
substances that may require a timely response
action to prevent or mitigate damage to human
health or welfare or the environment.
The purpose of CERCLA section 103(f)(2) is to
reduce unnecessary release notifications. Section
103(f)(2) provides relief from the immediate
reporting requirements of CERCLA section 103(a)
for releases of hazardous substances from facilities
or vessels that are continuous and stable in
quantity and rate. Relief from reporting under
CERCLA section 103 also applies to notification
required under section 304 of SARA Title III.
CERCLA section 103(f)(2), however, does not
eliminate the requirement to report. Government
response officials need to receive some notification
of hazardous substance releases that equal or
exceed an RQ on a continuous basis, so that the
release can be evaluated and a response action can
be taken, if necessary.
What is a continuous release?
A continuous release is a release of a hazardous
substance that is "continuous" and "stable in
quantity and rate" under the regulatory definitions
of these terms listed in Exhibit 1.
A continuous release may be a release that occurs
24 hours a day, such as a radon release from a
stock pile, or a release that occurs during a certain
process, such as benzene released during the
production of polymers, or a release that occurs
intermittently, such as the release of a hazardous
substance from a tank vent each time the tank is
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EXHIBITl
DEFINITIONS
Continuous. A continuous release is a release
that occurs without interruption or abatement,
or that is routine, anticipated, intermittent, and
incidental to normal operations.
Routine. A routine release is a release that
occurs during normal operating procedures or
processes.
Stable in quantity and rate. A release that is
stable in quantity and rate is a release that is
predictable and regular in the amount and rate
of emission.
filled. Some releases resulting from malfunctions
may also qualify for reduced reporting as
continuous releases under section 103(f)(2) if they
are incidental to normal plant operations or
treatment processes, are stable in quantity and
rate, and either (1) occur without interruption or
abatement or (2) are routine, anticipated, and
intermittent. For example, releases from
malfunctions that may qualify for reduced
reporting include fugitive emissions from valves
that occur at different rates over the course of a
production cycle. The determinative question of
whether any release, including a malfunction,
qualifies for reporting under section 103(f)(2) is
whether the release satisfies the definitions of
continuous and stable in quantity and rate.
Releases must be sufficiently predictable and
regular so that the person in charge can provide a
full description of the release to government
authorities. Upon receipt of continuous release
information, government officials will evaluate the
risk associated with the release and determine the
need for a response action.
How are releases of non-CERCLA EHSs reported?
Non-CERCLA EHSs may also qualify as
continuous releases; the notification requirements
for such releases are similar to the requirements
for releases of CERCLA hazardous substances.
The reporting requirements for continuous releases
of non-CERCLA EHSs are graphically depicted in
Exhibit 2. The reporting process for non-
CERCLA EHSs, however, will change in the near
future if and when the final rule designating all
non-CERCLA EHSs as CERCLA hazardous
substances is promulgated. This regulation is
scheduled to be published in the Federal Register in
the Spring of 1991. After promulgation, all owners
and operators of facilities releasing EHSs in a
continuous and stable manner may follow the
instructions and procedures contained in this
Guide for reporting continuous releases of
CERCLA hazardous substances. In particular,
once the designation rule is promulgated, all
continuous releases of EHSs must be reported to
the NRC and the EPA Regions.
Do releases that result from unanticipated events
qualify for reduced reporting as continuous
releases?
Releases of hazardous substances that are the
result of unanticipated incidents do not qualify for
reduced reporting under section 103(f)(2). Such
incidents include, among others, spjlls, equipment
failures, or the emergency shutdown of equipment.
Also included are releases from malfunctions that
are not continuous or stable, such as pipe ruptures.
Although these releases may occur with some
regular statistical frequency, unanticipated
incidents by their nature do not produce relea'ses
that are continuous or sufficiently regular or
predictable in quantity and rate to satisfy the
requirements for reporting them as continuous
releases. If you are aware that such an episodic
release of a hazardous substance has occurred in a
quantity equal to or greater than an RQ, you must
report the release immediately to the NRC, SERC,
and LEPC.
How do you handle simultaneous continuous
releases from several sources and determine
whether such releases must be reported?
To determine whether a hazardous substance
release is reportable under CERCLA, you must
identify whether the release from your facility
equals or exceeds an RQ. If you are releasing a
hazardous substance from several sources at a
facility simultaneously, you must aggregate the
release of the hazardous substance across all
sources at the facility or vessel to determine
whether an RQ or more of a hazardous substance
has been released.
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EXHIBIT 2
Where to Submit Continuous Release Reports
for Releases of non-CERCLA EHSs*
SERC
and
LEPC
Initial
Telephone
Call
Initial
Written
Report
Statistically
Significant
Increase
Reports
* Reports of changes in information previously submitted, other than a change in source or composition, are not required.
Notification to the SERC and LEPC, however, is required if there is a change in the source or composition of the release.
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If you release an RQ or more of the same
hazardous substance from more than one facility
(e.g., building, surface impoundment, or lagoon),
the continuous release reporting regulation (40
CFR Part 302.8(1)) provides you with two
reporting options. Persons in charge may
aggregate multiple concurrent releases of the same
hazardous substance from separate, contiguous, or
adjacent facilities and report them in a single
notification, or persons may consider releases from
each facility separately and submit reports on a
facility-specific basis.
Although you may select either option for
reporting continuous releases, whichever option
you select must be used for all continuous release
reporting. For example, if you report releases on
a facility-specific basis, statistically significant
increases in the release must also be reported on
a facility-specific basis. E you select the option of
aggregating releases from separate, contiguous, or
adjacent facilities and reporting them in a single
notification, EPA may evaluate the risks associated
with the releases from the site as if they were
released from one facility.
How do you establish a basis for reporting releases
as continuous?
To qualify a release for reporting as a continuous
release, you must establish a basis for asserting
that the release is continuous and stable in
quantity and rate. The continuous release
reporting regulation provides you with flexibility in
establishing this basis. You may report the release
to the NRC on a per-occurrence basis for the
period of time necessary to establish that the
pattern of the release is continuous and stable.
However, if you have a sufficient basis for
establishing the continuity and quantity and
regularity of a release, multiple reports are not
necessary. A single telephone call to the NRC,
SERC, and LEPC will alert authorities to your
intent to report the release as a continuous
release. You may establish the pattern of the
release by relying on past release data, engineering
estimates, your knowledge of the facility's
operations and release history, or your best
professional judgment. Monitoring data are not
required. Regardless of which method is used,
however, all estimates reported for a particular
release must have a sound technical basis. Also,
when examining past release data, you may need to
look at several months' worth of information or
more about the release in order to quality for
continuous release reporting.
What reporting is required for continuous releases
of CERCLA hazardous substances and EHSs?
Although section 103(f)(2) provides for reduced
reporting of continuous releases, it does not
eliminate the need to report such releases. The
four kinds of notifications required for continuous
releases are outlined briefly in Exhibit 3, and then
explained more fully. Exhibit 4 illustrates to whom
you must submit each continuous release report
for releases of CERCLA hazardous substances.
(Part 2 of this Guide contains specific procedures
and instructions for complying with the reporting
requirements.)
What reporting is required for non-CERCIA
EHSs?
Non-CERCLA EHSs may qualify as continuous
releases so long as they satisfy the regulatory
definitions in the continuous release reporting final
rule. If your facility has a continuous release of a
non-CERCLA EHS, you must establish the release
as continuous and stable in quantity and rate, by
making an initial telephone call to the appropriate
SERC and LEPC, and by submitting an initial
written notification to the SERC and LEPC.
These notifications will provide state and local
response officials with sufficient information to
assess the release and to determine whether it
qualifies for reduced reporting. Other types of
notification required for non-CERCLA EHSs that
are continuous and stable in quantity and rate
include immediate reporting of statistically
significant increases and reporting changes in the
source or composition of the release. Under the
requirements of SARA Title III section 304, you
mustalso submit a written follow-up notice to the
SERC and LEPC within 30 days of a report of a
statistically significant increase. Exhibit 2
illustrates to whom you must submit each
continuous release report for releases of non-
CERCLA EHSs. For a summary of the
information required in the reports you must
submit for continuous releases, refer to Part 2 of
this Guide.
In the event that EPA promulgates the final rule
to designate non-CERCLA EHSs as CERCLA
hazardous substances, you should follow the
instructions for reporting continuous releases of
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CERCLA hazardous substances contained in this
Guide. Although you may have previously
reported your continuous release of the nqn-
CERCLA EHS to the appropriate SERC and
LEPC, you must make an initial telephone call to
the NRC, and within 30 days submit an initial
written notification to the EPA Regional Office.
In addition, you must submit a one-time follow-up
report and statistically significant increase and
changed release reports, as necessary. Part 2 of this
Guide contains detailed instructions and
procedures on how to comply with the reporting
requirements for continuous releases of CERCLA
hazardous substances.
1.2 Reporting Continuous Releases
What steps are required to report a continuous
release of a hazardous substance?
There are four steps in the continuous release
notification process. Each step in the process
involves a different type of continuous release
notification. (The four types of notification
required are summarized in Exhibit 3.)
EXHIBITS
REPORTING REQUIREMENTS
The reporting requirements for continuous
releases of CERCLA hazardous substances
are:
(1) Initial notification by telephone to the
NRC, SERC, and LEPC; and initial
written notification to the EPA Regional
Office, SERC, and LEPC;
(2) A one-time written follow-up report to the
EPA Regional Office;
(3) Immediate notification of a statistically
significant increase to the NRC, SERC,
and LEPC; and
(4) Written notification to the EPA Regional
Office of any other changes in the release.
To begin the reporting process for continuous
releases, you must have a sufficient basis for
establishing that the release is continuous and
stable in quantity and rate. Once such a basis has
been established, you begin reporting by making
the initial telephone notification.
Initial Telephone Notification
You must make an initial telephone call to three
separate government authorities: the NRC, the
SERC, and the LEPC. The initial telephone call
will alert authorities to your intent to report a
release as a continuous release; be certain your
intent is clear to those receiving your telephone
call. (See Part 2 of this Guide for a summary of
the information that must be provided to
government response officials in the initial
telephone call.)
How will EPA identify continuous release reports?
When you make the initial telephone notification,
the NRC will assign a case number to your release
report. This case number will become the
identifier for your facility or vessel. We call this
number your facility's or vessel's CR-ERNS
number. You must use this CR-ERNS number on
all future release reports or correspondence related
to continuous releases from your facility or vessel.
The CR-ERNS number will identify your facility or
vessel and will enable EPA to link all reports
about releases from your facility or vessel. If you
misplace your CR-ERNS number, contact the
appropriate EPA Regional Office (see p. 12 for
relevant telephone numbers) and provide
information identifying your facility or vessel.
Please note that each time you call the NRC to
report a statistically significant increase or an
episodic release you will be given an NRC case
number. Do not confuse this case number with
the CR-ERNS number (i.e., the case number
assigned during your initial telephone notification).
Once assigned to your facility or vessel, the CR-
ERNS number will not change with different
release reports such as the follow-up report,
statistically significant increase reports, and change
release reports.
If you elect to aggregate multiple concurrent
releases of the same hazardous substance from
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EXHIBIT 4
Where to Submit Continuous Release Reports
for Releases of CERCLA Hazardous Substances
EPA
Regional
Office
Follow-up
Report and
Changed
Release
Reports
Statistically
Significant
Increase
Reports
Initial
Telephone
Call
Initial
Written
Report
SERC
and
LEPC
* Reports of changes in information previously submitted, other than a change in source or composition.
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separate, adjacent, or contiguous facilities for
purposes of reporting continuous releases, you will
be assigned only one case number in your initial
telephone call. This will be the CR-ERNS number
for the entire site. This number should be used on
all subsequent release reports and correspondence.
please refer to the Industry Diskette User's
Manual. This Manual provides detailed
instructions on how to install the industry diskette
and how to use it to complete the initial written
report, the follow-up report, and other change
notifications.
Initial Written Notification
Follow-up Report
Within 30 days of the initial telephone notification,
you are required to submit an initial written report
to the appropriate EPA Regional Office. (See p.
12 for a listing of EPA Regional Offices.) The
purpose of this report is to confirm your intent to
report your release as a continuous release under
the requirements of section 103(f)(2), and to
provide government response officials with
sufficient information about the release to enable
them to determine if the release qualifies as a
continuous release and to identify the potential
risks associated with the release.
The initial written notification must include
specific information about each individual source
of the continuous release, the environmental
medium affected, certain ecological and population
density information, hazardous substance
information, and a brief statement describing the
basis for asserting that the release is continuous
and stable in quantity and rate. (A detailed
discussion of the requirements of the initial written
and follow-up reports is provided in Part 2 of this
Guide.)
.To assist you in preparing written reports, such as
the written initial notification and the one-time
follow-up report, EPA has included a sample
reporting format as Appendix B of this Guide. In
addition, EPA has made available an IBM-
compatible diskette to assist those who would like
to prepare their reports electronically. You may
obtain the diskette by calling the RCRA/Superfund
Hotline or the National Technical Information
Service (see p. 14 for relevant telephone numbers),
and be certain to specify the size diskette (i.e., 3
1/2" or 5 1/4" diskette) that you prefer. If you
choose to use the diskette when preparing your
reports, you should send the diskette and one
printed, signed copy of the report to the EPA
Regional Office. (The SERC and LEPC must also
be sent a signed copy of the initial written report.)
Also, if you would like to report using the diskette,
Within 30 days of the first anniversary date of the
initial written notification, you are required to
reassess all reported continuous releases of
CERCLA hazardous substances and you must
submit a one-time, written follow-up report to the
appropriate EPA Regional Office.
The information required in the written follow-up
report is identical to that required in the initial
written notification, but it should be based on
release data gathered over the year (i.e., during the
period since the submission of the initial written
report). The principal purpose of the follow-up
report is to update, confirm, and refine the
information submitted in the initial written
notification, thereby providing government
authorities with a more accurate baseline against
which to evaluate the risks associated with the
continuous release. After you have submitted the
follow-up report to the EPA Regional Office, you
are responsible for reassessing the release annually,
but you are not required to notify EPA of each
reassessment unless there is a change in the
information previously submitted to EPA.
Statistically Significant Increase Reports
A statistically significant increase (SSI) is any
release of a hazardous substance that exceeds the
upper bound of the normal range. The normal
range is defined to include all the releases of a
hazardous substance reported or occurring over
any 24-hour period under normal operating
conditions during the preceding year. Only those
releases that are both continuous and stable in
quantity and rate may be included in the normal
range.
An SSI in a continuous release of a hazardous
substance must be reported to the NRC, SERC,
and LEPC as soon as the person in charge is aware
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that the release exceeds the upper bound of the
normal range. The upper bound of the normal
range is referred to throughout this Guide as the
"SSI trigger." (A detailed explanation of the SSI
trigger and instructions for calculating the trigger
are included in Part 2 of this Guide.) SSIs are a
type of episodic release and are treated as such by
the NRC. When reporting an SSI, therefore, the
caller should anticipate that the NRC will ask for
information that is similar to what is asked when
a person reports any other episodic release
incident
SSI reports to the NRC must include the CR-
ERNS number assigned to the facility or vessel by
the NRC during the initial telephone notification.
It may be possible to adjust the SSI trigger (i.e.,
change the normal range of the release) if a
particular continuous release frequently exceeds
the upper bound of the normal range. Specific
procedures for modifying the SSI trigger for a
hazardous substance are contained in Part 2 of this
Guide.
Reports of Changed Releases
You must notify the EPA Regional Office if there
are any changes in a continuous release. If there
is a change in the source or composition of a
continuous release, the release is considered a
"new" release. A change in the source(s) or
composition of a release may be caused by such
factors as equipment modifications or process
changes. To continue reporting the release under
CERCLA section 103(f)(2), you must establish the
new release as continuous and stable in quantity
and rate, with an initial telephone call to the NRC,
SERC, and LEPC and, within 30 days, submit an
initial written notification to the appropriate EPA
Regional Office, SERC, and LEPC. When
telephoning the NRC, clearly identify the release
as a change in the source or composition of a
previously reported release and provide the CR-
ERNS number assigned by the NRC in your
original initial telephone call.
For all other changes (i.e., changes other than in
the source or composition) in the information
submitted in the initial written notification or
follow-up report, you must notify the EPA
Regional Office by letter within 30 days of
determining that the information previously
submitted is no longer accurate. Examples of
changes in information other than a change in
source or composition that would require
notification include a change in the identity of the
person in charge of the facility or vessel or a
change in the frequency of the release. All
notifications of changes hi releases must include
the original CR-ERNS number assigned to the
facility or. vessel by the NRC in the initial
telephone notification. You must also include a
signed statement with the notification verifying
that all reported information on the release
submitted to date is accurate and current. (A
similar signed statement is required in all written
correspondence pertaining to the continuous
release.) For an example of the statement
required under the regulation, see p. 27 of this
Guide.
13 Recordkeeping Requirements
What are my recordkeeplng responsibilities as a
person in charge of a facility or vessel?
To satisfy the specific requirements for reporting
continuous releases, you are responsible for
estimating or calculating the quantities of all
continuous releases you report by whatever
methods are appropriate. As stated above, this
may involve reliance upon past release data,
engineering estimates, knowledge of plant
operations and release history, or your best
professional judgment. All estimates, however,
must have a sound technical basis.
In addition, you must keep the information
substantiating the estimates you have reported on
file at your facility or, in the case of a vessel, at an
office within the United States in a port of call, a
place of regular berthing, or at the headquarters of
the business that operates the vessel. Supporting
materials must be kept on file for a period of one
year and should substantiate the normal range of
the release, the basis for asserting that the release
is continuous and stable in quantity and rate, and
the other information included in the initial
written report, the follow-up report, or the most
recent annual evaluation. EPA may question the
basis for your determination that a release is
continuous and stable or other submitted
information, and may ask to. review the
substantiating information. It is important,
10
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therefore, to keep an accurate account of the
history of all continuous releases at your facility or
vessel and evaluate these releases carefully for
changes, and for SSIs as well.
1.4 EPA's Role in the Continuous
Release Reporting Process
How will continuous release information be
processed?
When EPA receives the release information, the
Agency will establish a record and create a file for
your facility or vessel and enter the release
information into the Continuous Release-
Emergency Response Notification System (CR-
ERNS) database. EPA will also enter into CR-
ERNS the information you submit in the initial
written report and the follow-up report, and any
SSI reports, or reports of changes in the releases.
CR-ERNS is a central depository for all
continuous release information received by the
NRC and the EPA Regions. Information in CR-
ERNS will be stored in a national database at the
Transportation Systems Center in Cambridge, MA
How will EPA evaluate the potential threat posed
by a continuous release?
The potential threat posed by a continuous release
of a hazardous substance is determined by
assessing its toxicity, the quantity and frequency of
the release, and the proximity and nature of the
potentially exposed population. EPA will evaluate
the health and environmental risks posed by
continuous releases. Information from written
reports will be combined with toxicity information
on the hazardous substance(s) released in order to
generate risk estimates for each release. It is
important, therefore, that the information you
report is as accurate as possible.
What assistance will be provided by EPA
throughout the reporting process?
EPA has included a sample reporting format for
the initial and follow-up reports in Appendix B of
this Guide. The format is designed to assist you in
completing the written reports and to ensure that
all of the required information is included in your
written notifications. A checklist of the
information required in the initial written
notification and follow-up reports is also included
in this Guide. The checklist provides an overview
of the information required in the initial written
and follow-up reports. This checklist is another
means you can use to verify that all required
information has been collected and submitted.
Other supplementary guidance materials that EPA
has made available include an IBM-compatible
diskette and a set of user instructions. The
diskette and accompanying instructions are
designed to facilitate completion of the initial
written and follow-up reports for those individuals*
who prefer to prepare their reports on a computer.
To obtain a diskette and instructions for using the
diskette, call the RCRA/Superfund Hotline or the
National Technical Information Service (see p. 14
for relevant telephone numbers).
If you choose to use the diskette when preparing
your reports, one printed copy of the completed
report and a copy of the diskette should be sent to
the EPA Regional Office. (The SERC and LEPC
must also receive a printed copy of the initial
written report.)
In addition to the detailed explanation of the
specific continuous release reporting requirements
contained in this Guide, the RCRA/Superfund
Hotline will provide assistance to industry in
understanding and complying with all reporting
requirements.
What actions may EPA take in response to
continuous release reports?
Under CERCLA, EPA has authority to evaluate
and respond to releases of hazardous substances.
EPA can rely on the broad response authority
available under CERCLA sections 104, 106, and
107 to respond to continuous releases, as well as
emergency (episodic) releases. The actions EPA
may choose to take include, but are not limited to,
the following:
• If EPA has doubts or questions about the basis
reported for establishing a release as
continuous, you may be asked to submit
clarifying or additional information;
• If you have not already done so, EPA may
request that you establish a release as
continuous and stable by reporting it for some
period of time on a per-occurrence basis under
CERCLA section 103(a);
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» EPA may alert a permit program office or
other office that a release from your facility or
vessel merits further evaluation and possible
response action; or
• EPA may decide to perform a site inspection
or field response at your facility or vessel.
If the person in charge of a facility or vessel does
not receive comments from EPA regarding a
continuous release report, should it be assumed
that the report is approved?
EPA's receipt of a continuous release report
without comment does not indicate approval of the
report or the information it contains. The EPA,
SERC, or LEPC may re-evaluate the information
submitted in any continuous release report at any
time, and may contact the person in charge of the
facility or vessel to review the basis for reporting
the release as a continuous release under section
103(f)(2). There is no time limit for EPA's review.
1.6 Where to Submit Written
Reports
1.5 Additional Questions
Can the Toxic Release Inventory form be used to
satisfy continuous release reporting
requirements?
The information requested in the initial written
and follow-up reports is the minimum information
necessary to properly evaluate the risks from a
continuous release. The continuous release
reporting regulation allows you to submit the
section 313 Toxic Release Inventory (TRI) Form
R as a substitute for the written initial or follow-
up report, provided that you include certain
additional continuous release information. This
will minimize any possible duplication in the
reporting process. The additional continuous
release information is summarized in Exhibit 5.
These additions to the TRI report will provide
EPA with information about the continuous
release that is not available from the SARA Title
III section 313 report, but is required to properly
evaluate the risks associated with the release.
EPA Regional Offices.
- EPA, Region I
Chief, Toxic Substances Control Section
60 Westview Street
New England Regional Laboratory
Lexington, MA 02173
(617) 565-3744
- EPA, Region II - Building 209
Chief, Response and Prevention Branch
Woodbridge Avenue
Edison, NJ 08837
(201) 321-6656
~ EPA, Region III (3HW-30)
Supervisor, Superfund Removal Branch
841 Chestnut Street
Philadelphia, PA 19107
(215)597-0992
~ EPA Region IV
Chief, Title III Section
345 Courtland Street, N.E.
Atlanta, GA 30365
(404) 347-1033
- EPA, Region V
Continuous Release Coordinator
Emergency & Remedial Response Section
230 South Dearborn Street
Chicago, IL 60604 :
(312) 353-2000
- EPA, Region VI
Chief, Emergency Response Branch
1445 Ross Avenue
9th Floor
Dallas, TX 75202
(214) 655-6444
- EPA, Region VII
Chief, Emergency Response & Spill
Branch
25 Funston Road
Kansas City, KS 66115
(913) 236-3881
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EXHIBITS
ADDENDUM FOR TRI REPORTS
If the Toxic Release Inventory report is submitted in lieu of the initial written notification or follow-up report, the
following information must also be included in the written report:
(1) The upper and lower bounds of the normal range of the release;
(2) The frequency of the release and the fraction of the release from each release source and the specific period over
which it occurs (i.e., the number of releases per year and the months during which the release occurs);
(3) A brief statement describing the basis for asserting that the release is continuous and stable in quantity and rate;
(4) The population density within a one-mile radius of the facility or vessel;
(5) The identity and location of any sensitive populations and ecosystems within a one-mile radius of the facility or
vessel;
(6) The CR-ERNS number; and
(7) A signed statement that the hazardous substance release(s) is(are) continuous and stable in quantity and rate and
that all reported information is accurate and current to the best knowledge of the person in charge.
In addition to the information required above, you should also include certain information on the source of the
hazardous substance release and the environmental medium affected by the release. This information is not required
in the final continuous release reporting regulation; however, such information will assist EPA in evaluating the risks
associated with a continuous release. If such information is not provided, EPA may request clarifying information about
the releases from your facility. The following information, therefore, should be included in the written reports:
(1) If the source of the release is a stack, the stack height in feet or meters;
(2) If the source is a waste pile, landfill, valve, tank vent, or other area source, the surface area or area of the release
source in square feet or meters;
(3) If the release affects a stream, the stream order or average flow rate in cubic feet per second;
(4) If the release affects a lake, the surface area of the lake in acres and the average depth of the lake in feet or meters;
and
(5) If the release is on or under ground, the location of any public water supply wells within a two-mile radius of the
site.
EPA, Region VIII
Continuous Release Coordinator
Emergency Response Branch
One Denver Place
999 18th Street (8HWN-ER)
Denver, CO 80202-2413
(303) 294-7534
EPA, Region DC (H-8-3)
Continuous Release Coordinator
Emergency Response Branch
75 Hawthorne Street
San Francisco, CA 94105
(415) 744-2296
EPA, Region X
Chief, Superfund Response and
Investigation Section
1200 6th Avenue
Seattle, WA 98101
(206)442-1196
• SERCs and LEPCs.
Call the Emergency Planning and
Community Right-to-Know Information
Hotline for the addresses and telephone
numbers of local SERCs and LEPCs.
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Exhibit 6
EPA Regional Superfund Offices
1.7 Sources for Further
Information
National Response Center (NRC). Toll-free
telephone number: (800) 424-8802;
Washington, DC area: (202) 267-2675
RCRA/Superfund Hotline. Toll-free
telephone number: (800) 424-9346;
Washington, DC area: (202) 382-3000.
— The Telecommunications Device for the
Deaf (TDD) Hotline numbers are toll-free
(800) 553-7672 or (202) 475-9652 in the
Washington, DC metropolitan area
— Emergency Planning and Community Right-
to-Know Hotline numbers are toll free
(800) 535-0202 or (202) 479-2449 in the
Washington, DC area.
- The RCRA/Superfund and the
Emergency Planning and Community
Right-to-Know Hotlines are open from
8:30 a.m. to 7:30 p.m. (EST) Monday
through Friday, excluding federal
holidays.
• National Technical Information Service
(NTIS). General telephone number: (703)
487-4600.
• Project Officer for the Continuous Release
Reporting Regulation
Mr. Hubert Walters
U.S. Environmental Protection Agency
401 M Street, S.W,
Mail Code: OS-210
Washington, DC 20460
(202) 382,2463
14
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PART 2: INSTRUCTIONS AND PROCEDURES FOR
CONTINUOUS RELEASE REPORTING
2.0 Introduction
This part of the Guide includes detailed
instructions and procedures for complying with the
reporting requirements for continuous releases.
These instructions are intended to assist you in
supplying the information you must submit in the
four types of reports required under CERCLA
section 103(f)(2), (40 CFR 302.8). For each
release you consider to be continuous, you must
make an initial telephone notification, an initial
written notification, and a one-time written follow-
up report In addition to these reports, you must
report any statistically significant increases in the
release, as well as any changes in the release that
make the information submitted in the initial
written or follow-up reports inaccurate or out-of-
date. It is permissible to report multiple
hazardous substance releases in one telephone
notification or written report.
This part of the Guide is organized into six
sections. Section 2.1 provides a general overview
of how to report continuous releases. Sections 2.2
through 2.5 explain each of the four types of
required notifications. Within each of these
sections are detailed instructions on when and
where to submit each required report and what
information must be included in the report.
Section 2.6 provides a summary of the information
that must be provided in the sample reporting
format included in Appendix B of this Guide. You
are encouraged to use this sample reporting format
when completing your written initial and follow-up
reports.
Other materials that are provided in this Part of
the Guide to assist you in completing your written
reports include a checklist that provides an
overview of the information required in the initial
written notification and follow-up report. This
checklist is one method you can use to verify that
all required information has been collected and
submitted.
In addition to the sample reporting format and
checklist, EPA has made available an IBM-
compatible diskette and user's manual for those of
you who prefer to prepare your reports
electronically. The user's manual contains specific
instructions on how to use the computer diskette
to complete the required written reports. Use of
the diskette is encouraged because it will minimize
the likelihood of omitting required information
and will minimize data transcription errors in the
EPA Regions. The computer screens include
special prompts that request each element required
in the final rule. The software is user-friendly and
requires little computer experience. To receive a
copy of the diskette and accompanying user
instructions, call the RCRA/Superfund Hotline or
the National Technical Information Service (see p.
14 for relevant telephone numbers), and be certain
to specify the size diskette (i.e., 3-1/2" or 5-1/4"
diskette) that you prefer.
2.1 General Overview of How to
Report a Continuous Release
If you have established that your release is
continuous and stable in quantity and rate, you
may begin reporting under CERCLA section
103(f)(2). As discussed in Part 1 of this Guide, the
continuous release reporting regulation provides
you with two options for reporting continuous
releases. You may aggregate multiple concurrent
releases of the same hazardous substance from
separate, contiguous or adjacent facilities and
report them in a single notification, or you may
consider each facility separately and submit reports
on a per facility basis. Although you may elect
either option for notification of continuous
releases, whichever option you elect must also be
used for reporting statistically significant increases
15
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(SSIs) in the release and reporting changes in
information previously submitted.
For each release you consider to be continuous,
you must make an initial telephone notification, an
initial written notification, and a one-time written
follow-up report In the written notifications (i.e.,
the initial written notification and the one-time
follow up report), you must provide specific
information that describes the release that you are
claiming to be continuous. In general, you must
identify the facility or vessel; provide certain
ecological and population-density information; and
provide information on the sources of the release.
Specifically, you must identify all sources (e.g.,
smoke stacks, waste piles, valves) of continuous
releases from your facility or vessel when those
facility-wide releases equal or exceed an RQ, and
provide substance-specific information on each
hazardous substance released from each identified
source (40 CFR 302.8(e)).
In addition to the initial telephone notification and
the written reports, you must report any SSIs in
the release, as well as any changes in the release
that make the information submitted in the initial
written or follow-up reports inaccurate or out-of-
date. The specific information required in each of
the continuous release reports is outlined in the
sections below. Note that the instructions for
reporting continuous releases contained in this
part of the Guide are written for those who elect
to report each facility separately and therefore they
refer to "facilities" rather than "sites." The
instructions for reporting releases from sites are
the same as those described for facilities below.
2.2 Initial Telephone Notification
Who must be notified
If you are the person in charge of the facility or
vessel from which a continuous release of a
hazardous substance occurs, you must telephone
the following organizations:
• National Response Center (NRC)
Toll-free telephone number: (800) 424-
8802; Washington, DC area: (202) 267-
2675;
• The state emergency response commission
(SERC) of any state likely to be affected
by the release; and
• The local emergency planning committee
(LEPC) of any area likely to be affected
by the release. ;
When to notify
The continuous release reporting regulation was
effective as of September 24, 1990. The rule
requires that an initial telephone notification be
made as soon as you have a sufficient basis for
establishing that the release is continuous and
stable in quantity and rate. You may rely on
release data, engineering estimates, knowledge of
the plant's operations and release history, and
professional judgment to establish the basis for
asserting that the release is continuous and stable
in quantity or rate, or you may report the release
to the NRC for a period sufficient to establish the
continuity and stability of the release. (For further
information on how to establish a release as
continuous and stable in quantity and rate, refer to
page 6 of this Guide.) If a sufficient basis for
establishing the release as continuous exists, a
minimum of one telephone call may be made to
the NRC, SERC, and LEPC You may report all
continuous releases of hazardous: substances at
your facility or vessel in one telephone call.
Required information
The person in charge is required to provide the
information listed below to the NRC, SERC, and
LEPC in the initial telephone notification.
1. Identify your report as a report of a
continuous release under CERCLA
section 103(f)(2). It is very important for
tracking purposes that the person at the
NRC to whom you speak understands that
you are giving the initial telephone
notification of a continuous release
(rather than an incident report).
2. Identify the name and location of the
facility or vessel responsible for the
release and provide the corporate
affiliation and address.
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3. Identify each hazardous substance released.
4. Provide your name and telephone number
and, if different, the name and telephone
number of the person in charge of the
facility or vessel.
When you make this initial telephone call to the
NRC, you will be assigned a case number. This
case number will become the identifier for your
facility or vessel. We call this number your CR-
ERNS number. Your CR-ERNS number will
never change; it is the number that identifies your.
facility or vessel in the continuous release
database. It is important to note that if multiple
concurrent releases of the same hazardous
substance from separate, adjacent, or contiguous
facilities are aggregated for purposes of reporting
continuous releases, you will be assigned one case
number by the NRC in your initial telephone call.
This will be the CR-ERNS number for the entire
site. Please use the CR-ERNS number in all
future release reports and communications. If you
misplace your CR-ERNS number, contact the
appropriate EPA Regional Office (see p. 12 for
relevant telephone numbers) and provide
information identifying your facility or vessel.
23 Initial Written Notification and
Follow-Up Report
When to submit these reports
• The initial written notification must be
submitted within 30 days of your initial
telephone call to the NRC, SERC, and
LEPC.
• The one-time follow-up report must be
submitted within 30 days of the first
anniversary date of the initial written
notification.
Where to submit these reports
You must send one copy of the completed initial
written notification containing the information
described in this section to each of the following
organizations:
• The EPA Regional Office for the
geographical region in which your facility
is located;
• The SERC of any state likely to be
affected by the release; and
• The LEPC of any area likely to be
affected by the release.
The one-time follow-up report must be submitted
to the EPA Regional Office only. You are not
required to submit the'follow-up report to the
SERC and LEPC.
If you elect to use the IBM-compatible diskette in
preparing your written initial and follow-up
reports, you should send the diskette and one
signed copy of the printed report to the EPA
Regional Office. (The SERC and LEPC should
also be sent a signed copy of the initial written
report.)
Vessels should send the written reports to the
EPA Regional Office closest to the location of the
release event. If the release occurs in more than
one EPA Regional area, send a copy of the written
report to each EPA Regional Office whose area
may be potentially affected by the release.
Required information
The information you are required to submit for
each initial written notification and follow-up
report may be divided into three primary areas:
general information; source information; and
hazardous substance information. The checklist
on the following page, Exhibit 7, provides an
overview of the information required in each of
these sections. These sections are described
briefly below and the specific information to be
included in each of these sections is described
more fully in the following sections.
• Section I - General Information. This
section includes identifying information on
your facility or vessel and information
concerning the area surrounding your
facility or vessel.
• Section II - Source Information. This
section includes the identity of each
release source, the names and quantities
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EXHIBIT 7
Checklist of Information Required in the Initial Written Notification and Follow-up Report
I Section I; General Information {
A. Facility or Vessel Identification
D The name of your facility or vessel; , , |
D The location of your facility or vessel, including, for a facility, the full address (street address,
city, county, state, zip code), and its longitude and latitude; " •
D The Dun &Bradstreet number of your facility;
D The port of registration, of your vessel; - '
D The CR-ERNS number assigned to the facility or vessel by the NRC when you made the
initial telephone notification; and '
D The name, telephone number, and alternate telephone number of the person
in charge of your facility or vessel.
B. Population Information -'". , (,
D The population density within a one-mile radius of your facility or vessel; and
D The identity and location of any sensitive populations or ecosystems
within a one-mile radius of your facility or vessel,
Section n: Source Information
A. Basis for Asserting the Release is Continuous and Stable in Quantity and Rate
D A brief statement describing the basis for stating that the release is
continuous and stable in quantity and rate.
B. Information on the Source
D The identity of the source(s) of the release.
n The environmental medium affected by the release.
C. Identity and Quantity of Each Hazardous Substance or Mixture Released
D The name/identity of the hazardous substance;
The Chemical Abstracts Service Registry Number (CASRN) for the substance;
If the release is a mixture, the components of the mixture and their approximate
concentrations and quantities, by weight.
The upper and lower bounds of the normal range of the hazardous substance
release over the previous year.
An estimate of the total amount of the hazardous substance released in the previous year.
The frequency of the release; and
The months during which the release occurs.
D
D
n
n
n
Section HI: Hazardous Substance Information
sszzsss
D The upper bound of the normal range of the hazardous substance released from all
sources at the facility or vessel.
Signed Statement
A signed statement that the hazardous substance release(s) described is continuous
and stable in quantity and rate and that all submitted information is accurate to the
best knowledge of the person in charge.
18
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of the hazardous substances released from
each source, the basis for stating that the
release qualifies as continuous and stable in
quantity and rate, the environmental
medium affected by the release, the normal
range of the release from the source, and
the frequency of the release from each
source. This information should be
provided separately for each source of a
continuous release.
Section in
Hazardous Substance
Information. This section includes the
upper bound of the normal range (i.e., the
SSI trigger) for each hazardous substance
released across all sources at a facility.
Section II should be completed for each
release source before you calculate the
upper bound of the normal range of the
release of each CERCLA hazardous
substance from all sources at the facility or
vessel.
Section I: General Information
The information required in Section I of the initial
written notification and follow-up report includes
general identifying information about your facility
or vessel, as well as information regarding the area
in which your facility or vessel is located. This
general information is important because it
provides a better understanding of the potential for
exposure to the hazardous substance release.
In addition to the information required below, you
must clearly identify in Section I the type of
written report that you are submitting (i.e., an
initial written notification, a follow-up report, or a
written notification of the change in source or
composition of a previously reported release).
Section I: General Information
Part A. Facility or Vessel Information
In this Part, provide the following information:
1. Provide the complete name of your facility
or vessel (and company identifier where
appropriate). If multiple facilities are
included in your written report, provide
the plant site name in lieu of the name of
the facility or vessel.
2. Provide the full address of your facility,
including the street address, city, county,
state, and zip code. A post office box
number should not be used as the facility
address. The address provided should be
the location of the facility where the
hazardous substance release occurs.
3. Identify the location of your facility or
vessel by its latitude and longitude in units
of degrees, minutes, and seconds. Vessels
may also use loran coordinates. Exhibit 8
includes helpful hints on how to obtain
the latitude and longitude coordinates of
your facility.
4. Identify the port of registration of your
vessel (if applicable).
5. Provide the nine digit number assigned by
Dun and Bradstreet (D&B) to your
facility. This number can be obtained
from a financial officer of your firm or
from the state or regional office of Dun
and Bradstreet (check the telephone book
White Pages). If your facility has not
been assigned a D&B number, please
specify that the information is not
applicable.
6. Provide the CR-ERNS number assigned
by the NRC when you made the initial
telephone notification. Be certain to
include the CR-ERNS number on each
page of your report.
7. Provide the name, telephone number
(including area code), and an alternate
telephone number for the person in
charge of your facility or vessel.
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EXHIBIT 8
SOURCES OF INFORMATION FOR
IDENTIFYING THE LOCATION OF YOUR
FACILITY OR VESSEL
Sources of data on latitude and longitude
coordinates of your facility include EPA
permits (e.g., NPDES permits), county
property records, facility blueprints, and site
plans. In addition, information on the latitude
and longitude of your facility may be obtained
from a United States Geological Survey
(USGS) topographical map. These maps are
available in both the 7.5 minute and 15 minute
series. These maps may be obtained from the
USGS distribution center at your local public
library. If you would like to order a map from
USGS, contact:
U.S. Geological Survey
Branch of Distribution
Box 25286 Federal Center
Denver, CO 80225
If you are not certain on which map your site
is located, consult the index of topographic
maps for your state, which may be obtained
from USGS free of charge. USGS maps cost
about $3.00 and are also available at
commercial dealers such as surveyors or
outdoor recreation equipment dealers.
2. Identify and describe the location of any
sensitive populations or ecosystems (see
Exhibit 9 for definitions and examples)
within a one-mile radius of your facility.
Describe the location of the populations
or ecosystems in terms of distance and
direction from your facility (e.g., located
1/4 mile northwest of the facility). If you
cannot give a reliable estimate of the
distance, consult an area street map.
EXHIBIT 9
DEFINITIONS
Sensitive populations are populations likely to
be more susceptible than average individuals to
the effects of exposure to a hazardous substance.
Examples of sensitive populations are elementary
school children, retirement communities, or
hospitals.
Sensitive ecosystems are environments likely to
be more susceptible than average environments
to the effects of exposure to a hazardous
substance, or ecosystems that have been
designated for special protection by federal or
state governments. Examples of sensitive
ecosystems include wetlands, wildlife refuges,
tidal basins, or endangered species habitats.
Section I: General Information
Part B. Population Information
In this Part, provide the following information.
1. Choose the range listed below that most
accurately describes the population density
within a one-mile radius of your facility or
vessel.
0-50 persons
51-100 persons
101-500 persons
501-1000 persons
more than 1000 persons.
Section II: Source Information
General Overview
When completing your written notifications, you
must take into consideration all sources of the
release from your facility or vessel. For example,
if the aggregate amount of a particular hazardous
substance released within 24 hours from your
facility or vessel equals or exceeds an RQ, then
each source of the particular release must be
identified, even if sonic release amounts from
individual sources do not equal or exceed the RQ.
The purpose of requiring information on the
source(s) of the release is to provide EPA with
sufficient information to evaluate the risk
associated with the continuous release. Providing
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this information accurately in the initial written
and one-time follow-up report will minimize future
requests by EPA for additional information or
clarification.
In this section of the written report, you should
identify and describe separately each continuous
release source. If the continuous release of the
same hazardous substance comes from two or more
sources (e.g., two stacks or one stack and one
waste pile), then information should be reported
separately for each of the sources. For example, if
a stack is one of several sources of a hazardous
substance release at your facility, you must provide
such information as the stack height, the identity
of the hazardous substance(s) being released from
the stack, the quantity released, and the frequency
of the release from the stack. If you have a release
of a particular hazardous substance from three
stacks, you should report each stack separately and
provide the required information specified below
for each stack.
Although the continuous release reporting
regulation allows multiple concurrent releases of
the same hazardous substance to be considered as
if they were one continuous release, aggregate
reporting of such releases from different sources
complicates risk analyses. Area sources can most
readily be aggregated for purposes of continuous
release reporting and risk evaluation when the
frequency of the release from each source is the
same. Similarly, aggregated stack releases can
most readily be evaluated if the frequency of the
release from each stack is the same and the stack
configurations (e.g., stack height, diameter,
throughput) are the same. If you elect to
aggregate releases across facilities, be certain to
identify each source of the release from all of your
facilities. Also, note that if you aggregate your
releases, EPA may request clarifying information
about the releases from each of the individual
sources.
Identification of Sources
In Section II, you must identify (i.e., name) and
describe each continuous release source. There are
several ways to name release sources. The most
important points to remember are: (1) provide a
name that clearly identifies the source (e.g.,
centrifigal processor A, rather than Unit A), and
(2) avoid giving two or more sources the same
name. It is also important to remember when
naming your sources that EPA, at any time, may
contact you with questions regarding releases from
one of your named sources. It would be prudent,
therefore, to name the sources at your facility or
vessel in a manner that will be easy for you and
other employees to identify them. For example, if
your facility has four stacks, two wastepiles, and
twenty-four valves, you may name the sources as
follows: Stack #1; Stack #2; Stack #3, Stack #4;
Wastepile #1; Wastepile #2; and Valves in
Building #2. Note that the Valves in Building #2
are aggregated in this example and reported as a
single source.
Required Information
Section II contains three Parts: Part A, Part B,
and Part C. You must provide the information
required in each of these Parts for each continuous
release source. A summary of the type of
information required in each Part is provided
below.
Part A - Requests information on the
basis for asserting that the release from
each identified source is continuous and
stable in quantity and rate.
Part B - Requires information on the
environmental medium affected by the
hazardous substance release from each
identified source.
Part C - Requires information on the
hazardous substance(s) and mixture(s)
released from the identified source, such
as the upper bound of the normal range of
the hazardous substance.
The information required in Parts A, B, and C, as
described more fully below, will assist EPA and
other government authorities in evaluating the
risks associated with the continuous release. It is
important to remember when completing your
form to include all of the information required in
each Part of Section II for each source.
There is one exception to this rule. The exception
is for any source with hazardous substance releases
that affect more than one environmental medium
(e.g., gypsum stack releasing radon to air and
radionuclides or other hazardous substances to
ground water). Any source that affects two
different media should be treated as two separate
sources for purposes of reporting. This is desirable
because EPA must analyze each release pathway
21
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separately to properly evaluate the risks posed by
the continuous release. Because the hazardous
substance releases to each medium may differ in
frequency and quantity, it is useful to distinguish
the releases for purposes of risk evaluation.
Section II: Source Information
Part A. Basis for Asserting the Release
is Continuous and Stable in
Quantity and Rate
In Part A of Section II, you must briefly describe
the basis for stating that the release is continuous
and stable in quantity and rate. Your description
of the basis for stating that the hazardous
substance release is continuous and stable in
quantity and rate should include whether the
release is continuous without interruption or is a
routine, anticipated, intermittent release. It should
include information on when the release is
expected to occur (i.e., evidence of predictability of
the release). One example of a release that
may be predictable and regular is fugitive
emissions from valves that occur at different rates
over the course of a production cycle as the
pressure inside the system changes. Although the
rate of such fugitive emissions may not be strictly
uniform, it may be predictable in the sense that the
rate and amount of the release vary in a similar
manner each time the process is operated or
decompression occurs.
Your description should also identify the activity
that results in the release (e.g., batch process,
operating procedure, loading/unloading,
maintenance activity, filling of storage tanks). If
the release occurs because of a malfunction, this
should be explained fully. Note that not all
releases due to malfunctions can qualify as a
continuous release. Please refer to the discussion
in the preamble of the continuous release final
rule (55 FR 30171) or the discussion on p. 4 of
this Guide to determine whether a malfunction can
qualify as a continuous release. Finally, your
description should include information on how you
established the pattern of the release and
calculated release estimates (e.g., engineering
estimates, your best professional judgment, past
release data).
In sum, for each source identified, provide the
following information. When identifying your
sources, refer to the directions above on how to
name sources.
1. Indicate whether the release is continuous
without interruption or abatement or
routine, anticipated, and intermittent.
2. Identify the activity(ies) that causes the
release from the source.
3. If the release results from a malfunction,
describe the malfunction and explain why
the release should be considered
continuous and stable in quantity and rate.
4. Identify how you established the pattern of
the release and calculated releases
estimates.
Section II:
PartB.
Source Information
Specific Information
Source
on the
In Part B of Section II of your written report, you
must identify the environmental medium (i.e., air,
surface water, soil, or ground water) affected by
the hazardous substance release from each source
identified in Section II, Part A. In addition, you
must provide specific information on the source
and the affected environment. It is important to
remember that if you have a release from a single
source that affects two different media (e.g., a
wastepile releasing to air and ground water), you
should treat the source as two separate sources for
purposes of reporting. Another important point to
remember when completing Sections II and III of
the written report is to include the; appropriate
units, such as kilograms, meters, or curies, when
providing source or hazardous substance
information.
For each source identified, provide the following
information.
1. Identify the environmental medium (i.e.,
air, surface water, soil, or ground water)
that is affected by the release from the
identified source. An environmental
medium affected by the release is any
22
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medium that receives a significant quantity
of the release.
Air
If the medium affected is air, provide the
following information:
(a) Indicate whether the source is a
stack or ground-based area source.
(b) If the source is a stack, provide the
stack height in feet or meters. The
stack height is the vertical distance
from the ground to the top of the
stack.
(c) If the source is a waste pile, surface
impoundment, landfill, valve, pump
seal, storage tank vent, or some
other area source, provide an
estimate of the surface area or area
of the release source in square feet,
meters, or acres.
Surface Water
If the medium affected is surface water,
provide the following information:
(a) If the release affects any surface
water body, give the name of the
water body.
(b) If the release affects a stream, give
the stream order or average flow
rate (in cubic feet per second).
This information can be obtained
from your state water resource
division of USGS. If you cannot
' locate this information, use the
chart in Exhibit 10 to estimate the
flow rate according to the velocity
of the stream. If the velocity of the
stream fluctuates during the year,
use the average velocity when
calculating average flow rate.
(c) If the release affects a lake, give the
surface area of the lake (in acres)
and the average depth (in feet or
meters). Exhibit 11 includes
sources of information on how to
determine the average depth of a
lake.
EXHIBIT 10
ESTIMATED AVERAGE STREAM
Stream
Order
1
2
3
4
5
6
7
8
9
10
FLOW RATES
Mean Flow
CCFS1
0.65
3.1
15.0
71.0
340
1,600
7,600
56,000
171,000
810,000
Mean
Velocity
(feet/seel
1.0
1.3
1.5
1.8
2.3
2.7
3.3
3.9
5.6
5.9
EXHIBIT 11
SOURCES OF INFORMATION
FOR ESTIMATING AVERAGE
LAKE DEPTH
If the lake is large enough to be navigable, your
local Coast Guard office will have a navigation
chart that will provide the average depth of the
lake. For smaller lakes, you may estimate the
average depth of the lake by relying on your
knowledge of the use of the lake and the
surrounding area, and your best professional
judgment.
Soil or Ground Water
If the medium affected is soil or ground
water, provide the following information:
(a) If the release is on or under
ground, give the location of any
public water supply wells within a
two-mile radius of the site.
Information regarding the location
of public water supply wells may be
available through the county office
that issues permits for wells.
23
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The following information is not required
in the final rule; however, such information
will assist EPA in evaluating the risks
associated with a continuous release. If the
information below is not provided,
conservative values will be used to evaluate
the risks associated with the continuous
release.
(a) If the source is a stack and the
environmental medium affected is
air, provide the: (1) inside diameter
of the stack; (2) gas exit velocity;
and (3) gas temperature.
(b) If the release affects surface water,
provide the average velocity of the
surface water.
Section II: Source Information
Part C. Identity and Quantity of Each
Hazardous Substance or
Mixture Released
For each source, you must report information
about the identity and quantity of the hazardous
substances released from the source. In particular,
you must identify the normal range of each release
and the total annual quantity released during the
previous year from each source. Exhibit 12
provides the regulatory definition of the "normal
range" of a continuous release.
EXHIBIT 12
NORMAL RANGE
The normal range of a continuous release
includes all releases of a hazardous substance (in
pounds or kilograms) reported or occurring
during any 24-hour period under normal
operating conditions during the previous year.
Only releases that are both continuous and stable
in quantity and rate may be included in the
normal range.
You are not necessarily required to monitor
releases to determine the normal range of the
release. You may establish the normal range by
using engineering estimates of releases under
various operating conditions, knowledge of the
operating history of the facility or vessel,
experience with operating processes, professional
judgment, or any other method that has a sound
technical basis. EPA will use the upper bound of
the normal range to estimate the risks to human
health and the environment posed by the
hazardous substance release.
To provide the required information regarding the
quantity of the hazardous substance released from
each identified source, you should begin by
determining whether the release is a single
hazardous substance or a mixture of hazardous
substances. You may complete Part C by reporting
the release as a mixture and identifying the
hazardous substance components of the mixture
along with information on the weighted
contribution of each component in the mixture, or
you may report each hazardous substance as if it
were a discrete and separate release. To report a
release as a single hazardous substance, follow the
directions provided below in Example A. To
report the release as a mixture of hazardous
substances, follow the directions below in Example
B.
Example A; Single hazardous substance
For each source, follow the directions below to
report each hazardous substance released from the
source that is not a component of a mixture.
Table 1 provides an example of how to report a
single hazardous substance release.
1. Identify the hazardous substance released
by name and by Chemical Abstracts
Service Registry Number (CASRN).
2. Provide the upper and lower bounds of
the normal range of the release from the
identified source (i.e., quantity in pounds,
kilograms, or curies) during the previous
year.
3. Specify the frequency of the release per
year from the identified source.
4. Estimate the total annual amount (in
pounds, kilograms, or curies) of the
hazardous substance released from the
identified source during the previous year.
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TABLE 1: REPORTING A SINGLE HAZARDOUS SUBSTANCE
Your facility has an unpennitted release which you believe qualifies for reduced reporting as a continuous
release. The hazardous substance released is ammonia, and there are two sources of this release.
The sources of this release are tank vents and valves. The quantity of ammonia released in a 24-hour
period during the previous year is between 0 and 120 IDS for the tank vents (which occurs once per week in
January and June) and between 1 and 115 Ibs for the valves (which occurs ten times each month). (The RQ for
ammonia is 100 pounds.)
For these releases you must provide the following information:
Normal Range
Name of (specify Ibs. or kg)* Total Annual
Hazardous Lower Upper Amount Released*
Substance CASRN # Bound Bound (specify Ibs. or kg')
Specify Months
Frequency During Which
of Release the Release
fper month') Occurs
Source 1: Tank Vents in Building #1
Ammonia 7664417 0 Ibs. 120 Ibs. 960 Ibs.
Source 2: Valves in Building #5
Ammonia 7664417 1 Ibs. 115 Ibs. 13,800 Ibs.
* If the release is a radionuclide, units of curies are appropriate.
4/month January; June
10/month All 12 months
5. If the release does not occur year round,
specify the month(s) during which the
release takes place. If the release does
occur year round, indicate accordingly.
Example B; Mixture
For each source, follow the directions below to
report each mixture released from the source.
Table 2 provides an example on how to report a
mixture.
1. Identify the mixture by name (e.g., Blue
Pigment #25).
2. Provide the upper and lower bounds (i.e.,
quantity in pounds, kilograms, or curies) of
the normal range of the mixture that was
released from the identified source during
the previous year.
Specify the frequency of the release per
year from the identified source.
Estimate the total annual quantity (in
pounds, kilograms, or curies) of the
mixture that was released from the
identified source during the previous year.
If the release does not occur year round,
specify the month(s) during which the
release occurs. If the release occurs year
round, indicate accordingly.
Identify each hazardous substance
component of the mixture by name and
CASRN. The CASRN for a hazardous
substance can be located in any material
safety data sheet or in most chemical
supplier company catalogues.
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TABLE 2: REPORTING A MIXTURE
If you report the release of a mixture of
hazardous substances, you must list each
hazardous substance and the percentage by
weight of each component of the mixture. For
the release of mixture Z, you must provide the
following information:
Mixture Name: Mixture Z
Upper Bound of the Normal Range of
Mixture Z: 100 Ibs.
Upper
Bound
Specify
Component CASRN Weight % (Ibs or kg")*
ethylene oxide 75218
acrolein 107028
2,3,5-tri-
chlorophenol 933788
10% 10 Ibs.
15% 15 Ibs.
20% 20 Ibs.
* If the release is a radionuclide, units
of curies are appropriate.
Estimate the percentage by weight of each
hazardous substance component of the
mixture.
Provide the upper and lower bounds (i.e.,
quantity in pounds, kilograms, or curies) of
the normal range of each hazardous
substance component of the mixture that
was released from this source. To calculate
the upper bound of the normal range of
each hazardous substance component,
multiply the weight percentage of each
component by the upper bound quantity of
the mixture.
Section III: Hazardous Substance
Information
After you have provided the required information
for all sources of continuous releases from your
facility or vessel, you must aggregate information
from all sources of a hazardous substance release
to determine the SSI trigger (upper bound of the
normal range) for each hazardous substance
released at your facility.
The SSI trigger of a particular hazardpus substance
is calculated by summing the upper bound of the
hazardous substance release across all sources at a
facility. If you are aggregating hazardous substance
releases from separate, contiguous, or adjacent
facilities and reporting them in a single
notification, aggregate the upper bound of the
normal range of the hazardous substance released
from all sources at the site to determine the SSI
trigger. If you aggregate your releases, the SSI
trigger must be site-specific not facility-specific.
Aggregating releases across facilities at the same
site may reduce your reporting burden; however,
EPA will evaluate the risks associated with the
releases as if the releases were from one facility.
To calculate the SSI trigger for each hazardous
substance:
1. List the source name and enter the upper
bound of the normal range of the release
from that source. If the identified
hazardous substance is a component of a
mixture, enter the upper bound of the
normal range for that component of the
mixture (as determined in Section II, Part
C).
2. Aggregate the upper bound quantities
from each source of the release. Report
these totals as the SSI trigger for the
hazardous substance. The example
provided in Table 3 illustrates the
calculation of the SSI trigger for a release
of ammonia.
The above method for calculating the SSI trigger
of a hazardous substance assumes that all releases
of the same hazardous substance occur
simultaneously (i.e., over the same 24-hour
period). To the extent that the frequency of the
release differs, you may adjust the SSI trigger so
that it more accurately reflects the frequency and
quantity of the hazardous substance released from
all sources over a 24-hour period. The SSI trigger
in the final analysis must reflect the upper bound
of the normal range of the release, taking into
consideration all sources of the release at the
facility. The normal range of the release includes
all releases previously reported or occurring over
a 24-hour period during the previous year.
26
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TABLE 3: CALCULATION OF THE SSI
TRIGGER FOR A
HAZARDOUS SUBSTANCE
Hazardous
Substance
Ammonia
Source
Tank Vents
in Building
#1
Valves in
Building #5
Upper
Bound
120 Ibs.
115 Ibs.
Upper Bound for Ammonia 235 Ibs.*
* For purposes of this example, it is assumed
that the only sources of the ammonia release
at the facility are the Tank Vents in Building
#1 and the Valves in Building #5.
Signed statement
After you have provided the information required
in Sections I through III, as described above, the
person in charge of the facility or vessel must sign
a statement similar to the following on both the
initial written notification and the one-time follow-
up report. In addition, the person in charge of the
facility or vessel must print clearly his/her name
and position and date the certification statement.
"I certify that the hazardous substance releases
described herein are continuous and stable in
quantity and rate under the definitions in 40 CFR
302.8(a) or 355.4(a)(2)(iii) and that all submitted
information is accurate and current to the best of
my knowledge."
2.4 Notifications of Statistically
Significant Increases
Who must be notified
If you are the person in charge of the facility or
vessel from which a statistically significant increase
(SSI) in a continuous release occurs, you must
telephone the following government organizations:
• NRC. Toll-free telephone no.: (800)424-
8802; Washington, DC area: (202) 267-
2675;
• SERC of any state likely to be affected by
the release; and
• LEPC of any area likely to be affected by
the release.
In addition to these notifications, under the
requirements of SARA Title III section 304, you
must submit a written follow-up notice to the
SERC and LEPC within 30 days of the telephone
notification. For information on the addresses and
telephone numbers of SERCs and LEPCs, contact
the Emergency Planning and Community Right-to-
Know information hotline toll free at (800) 535-
0202.
When to submit SSI reports
An SSI in a continuous release of a hazardous
substance must be reported whenever the release
exceeds the SSI trigger (i.e., the upper bound of
the normal range of the release) within a 24-hour
period. The determination of whether a.release is
an SSI should be based upon calculations or
estimation procedures that will identify releases
that exceed the upper bound of the reported
normal range of the hazardous substance release.
The person in charge of a facility or vessel must
report an SSI to the NRC, SERC, and LEPC as
soon as he/she is aware that the release has
occurred.
Type of information required in SSI reports
In the telephone notification, the release should be
identified as an SSI. The person in charge of the
facility or vessel should also provide the original
CR-ERNS number assigned by the NRC. This will
ensure that the SSI report is recorded correctly
and evaluated properly. In addition, the person in
charge will be asked to provide all of the
information required in an episodic release report
under CERCLA section 103(a). An SSI is a type
of episodic release. It represents a release of a
hazardous substance above an RQ that has never
been evaluated or considered.
The written follow-up notice to the SERC and
LEPC must also include the CR-ERNS number
27
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assigned by the NRG This report should include
all information required in 40 CFR 355.40(b).
Requirements for modifying the SSI trigger
In the event that a particular continuous release at
a facility or vessel frequently exceeds the upper
bound of the normal range, the person in charge
may want to modify the previously established
upper bound(s) of the relevant hazardous
substances as an alternative to reporting successive
SSIs.
To modify the SSI trigger, you must report at least
one release as an SSI (to facilitate immediate
evaluation). During such a report, you may also
notify the NRC, SERC, and LEPC of the new
upper bound of the release. Within 30 days of the
telephone notification, you must submit a letter to
the EPA Regional Office in your geographical
area, describing the new normal range, the reason
for the change, and the basis for certifying that the
release is continuous and stable at the higher
amount.
2.5 Notifications of Changed
Releases
When to submit these reports
The person in charge of the facility or vessel must
notify EPA if there are any changes in a
continuous release.
Change in Source or Composition
If there is a change in the source(s) or composition
of a continuous release, the release is considered
a "new" release. A change in the composition or
source(s) of a release may be caused by factors
such as equipment modifications or process
changes. The new release may pose a hazard that
warrants timely evaluation and, therefore, to report
this new release under CERCLA section 103(f)(2),
you must establish the new release as continuous
and stable in quantity and rate (i.e., call the NRC,
SERC, and LEPC and submit a new initial written
notification and follow-up report).
When you make the initial telephone call to the
NRC, provide your original CR-ERNS number.
When submitting your new written initial report to
the EPA Regional Office, SERC, and LEPC, be
certain to specify whether you are adding a new
source(s), deleting a source(s), or modifying the
list of hazardous substances previously reported.
In addition, if your change notification includes
information that has already been submitted to the
EPA Regional Office, please clearly differentiate
between the new or changed information and the
previously reported information by either placing
a check mark in the left hand margin, highlighting
the information, or using any other means to
identify the changed or new information. It is
important to clearly identify new or changed
information.
Each time you submit a written notification of a
change in the source or composition of a release,
you must recalculate the upper bound of the
normal range for each affected hazardous
substance. For example, if you add a source from
which two single hazardous substances (i.e., HS#1
and HS#2) are released and you have previously
reported releases of these same substances from
other sources, you must recalculate, in Section III
of the reporting format, the upper bound of the
normal range for both HS#1 and HS#2. To
obtain the new upper bound for HS#1, you must
add the upper bound of HS#1 released from the
new source to the upper bound of HS#1 released
from all other sources at your facility. The new
upper bound for HS#2 should be calculated in a
similar manner.
Other Changes
If there is a change in the information submitted
in the initial written or follow-up. notification,
other than a change in the source or composition
of the release, the person in charge must notify the
EPA Regional Office in writing within 30 days of
determining that the information submitted
previously is no longer valid. One example of a
change in the information submitted previously,
other than a change in the source or composition
of the release, is a change in the frequency of the
release.
All notifications of changes in releases must
include the CR-ERNS number assigned by the
NRC in your initial telephone notification that
identifies the facility or vessel. You must also
include a signed statement (see p. 27 of this
Guide) certifying that the release is continuous and
stable in quantity and rate, and that all the
28
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reported information on the release is accurate and
current.
2.6 Summary
Prior to sending your report to the appropriate
government authorities, ensure that you have:
(1) Included the CR-ERNS number
identifying your facility or vessel on
each page of the report;
(2) Completed all information
requested in Sections I, II, and III;
(3) Included supplementary pages, if
needed. (It would be helpful to
number the additional pages of
information submitted sequentially
in accordance with .the sections
and subsections "of the reporting
format (e.g., Section II, Part A,
page 2).)
(4) Indicated the appropriate units
(e.g., meters, kilograms, or curies),
where requested;
(5) Provided a unique name for
each source identified;
(6) Included the certification
statement and signed the report;
and
(7) Made sufficient copies of the
report for your files.
29
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APPENDIX A
ACRONYMS
CASRN - Chemical Abstracts Service Registry Number
CERCLA - Comprehensive Environmental Response, Compensation, and Liability Act of 1980
CFR - Code of Federal Regulations
CR-ERNS - Continuous Release Emergency Response Notification System
EHS - Extremely hazardous substance
EPA - Environmental Protection Agency
ERNS - Emergency Response Notification System
LEPC - Local Emergency Planning Committee
NRC . - National Response Center
RQ - Reportable quantity
SARA - Superfund Amendments and Reauthorization Act of 1986
SERC - State Emergency Response Commission
SSI - Statistically significant increase
TRI - Toxic Release Inventory
31
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APPENDIX B
SAMPLE REPORTING FORMAT
FOR THE
INITIAL WRITTEN AND
FOLLOW-UP REPORTS
33
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SECTION I: GENERAL INFORMATION CR-ERNS Number*:
Type Of Reportl Indicate below the type of report you are submitting.
| | Initial Written Notification | | Written Notification of a Change in the Source or
Follow-up Report
Composition of a Release
If this report is a written notification of a change in the source or composition of a release, indicate below the type of change.
Q Adding a source Q Deleting a source previously Q Modifying the list of hazardous substances or mixtures
reported released from a previously reported source
Signed Statement: I certify that the hazardous substance releases described herein are continuous and stable in
quantity and rate under the definitions in 40 CFR 302.8(a) or 355.4(a)(2)(iii) and that all submitted information is accurate
and current to the best of my knowledge.
Name and Position
Date
Signature
Part A. Facility or Vessel Information
Name of Facility or Vessel j
Person
in Charge
of Facility
or Vessel
Facility
Address
Name of Person in Charge (last name, first name)
Position
Telephone No. ( )
Alternate Telephone No. ( ).
Street
City
County
State
Zip Code
Dun and Bradstreet Number for Facility J
Vessel Port of Registration I
Facility/
Vessel
Location
Part B. Population Information
Population
Density
Sensitive
Populations
and
Ecosystems
Choose the range that describes the population density within a one-mile radius of your facility or vessel
(indicate by placing an "X" in the appropriate blank below).
0-50 persons 101 - 500 persons
51 - 100 persons 501 -1000 persons
more than 1000 persons
Identify and describe the location of any sensitive populations (e.g., elementary schools, hospitals,
retirement communities) or ecosystems (e.g., wetlands, wildlife preserves) within a one-mile radius
of your facility or vessel.
Latitude
Longitude
Deg
Dec:
Min
Min
Sec
Sec
Vessel Loran Coordinates
* If hazardous substance releases from separate, contiguous, or adjacent facilities are Included tn this report, one unique
CR-ERNS number will represent the entird&te report. In this situation, however, released of the sarne hazardous
substance from different facilities on the site will be evaluated by EPA as If they were released from a single facility.
34
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SECTION H: SOURCE
INFORMATION
CR-ERNS Number
Fart At Basis for Asserting the Release is Continuous and Stable In Quantity and Rate
For each source of a release of a hazardous substance or mixture from your facility or vessel.
provide the following information: ' . , " ,,.„,;-
Name of Source:
1. Indicate whether the release from this source is either: continuous without interruption
or
routine, anticipated, intermittent
2a. Identify the activity(ies) that results in the release from this source (e.g., batch process, filling of a storage tank).
2b. If the release results from a malfunction, describe the malfunction and explain why the release from the
malfunction should be considered continuous and stable in quantity and rate. *
3. Identify below how you established the pattern of the release and calculated release estimates.
Past release data Your knowledge of the facility/vessel's other (explain)
operations and release history
Engineering estimates
Your best professional judgment
* Hate that unanticipated events, such as spiffs, pipe ruptures, equipment failures, emergency shutdowns, or
accidents, do not qualify for reduced reporting under CERCLA section 103(f)(2), Unanticipated events arenot
InctdentaHo normal operations and, by definition areftot continuous or anticipated, and are not sufficiently
, predictable or regular to be considered stable in quantity and rate.
35
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SECTION n: SOURCE
INFORMATION
(continued)
;j'
CR-ERNS Number
•
' • • :;'•:"• •/-:•/ -~_;:-f !;.!_£::"', \-w'.&.':.' •isx-rtf^y*:*:;^^^
Name of Source:
Rart B! Specific Information on the Source
For the source identified above, provide the following information. If the information requested below is not applicable to
the identified source, please write "NA " in the blanks provided.
AFFECTED MEDIUM. Identify the environmental medium (i.e., air, surface water, soil, or ground water) that is affected
by the release from this source. If the medium affected is air, please also specify whether the source is a stack or a
ground-based area source. If your source releases hazardous substances to more than one medium (e.g., a wastepile
releasing to air and ground water), complete Section II, Parts A, 8, and C, of this format for each medium affected.
® Air (stack
Identified Source
• Stack
• Area (e.g., Waste Pi
Valves, Tank Vents,
area )
Required Information
Stack heiaht: feet or meters
e Landfill Surface area or area of release source: square feet or square meters
Pump Seals)
® Surface Water
• If the release affects
• If the release affects
stream order:
• If the release affects
surface area of lake
® Soil or Ground Water
any surface water body, give the name of the water body.
a stream, give the stream order or average flow rate, in cubic feet per second.
or average flow rate: cubic feet/second
a lake, give the surface area of the lake in acres and the average depth in meters.
: acres and averaqe depth of lake: meters
* If the release is on or under ground, give the location of any water wells within a two-mile radius of the site. |
Optional Information
The following information is not required in the final rule; however, such information will assist EPA in evaluating
the risks associated with the continuous release. If this information is not provided, EPA will make conservative
assumptions about the appropriate values. Please note that the units specified below are suggested units.
You may use other units; however, be certain that the units are clearly identified.
For a stack release to air, provide the following
information, if available:
Inside Diameter
Gas Exit Velocity
Gas Temperature
feet or meters
meters/second or
feet/second
degrees Kelvin, Celsius,
or Farenheit
For a release to surface water, provide the
following information, if available:
Average Velocity
of Surface Water
feet/second
36
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SECTION H: SOURCE INFORMATION
(continued)
CR-ERNS Number
Part C. Identity and Quantity of Each Hazardous Substance or Mixture Released
From Each Sourie Identified in Part B of Section II
Name of Source:
List each hazardous substance released from the source identified above and provide the following information. (For an example, see Table 1 of the Guide.)
Normal Range Number Total Annual
(in Ibs. or kg)*
Name of Hazardous Substance GASRN # Upper Bound Lower Bound
of Releases Quantity Released Months During Which
(per year) (in Ibs. or kg)* the Release Occurs
List each mixture released from the source identified above and provide the following information. (For an example, see Table 2 of the Guide.)
Normal Range of Mixture Total Annual
(in Ibs. or kg)* Number Quantity of Mixture Months During
Upper Lower of Releases Released Which the
Name of Mixture Bound Bound (per year) (in Ibs. or kg)* Re|ease occurs
Name of
Hazardous
Substance
Components
Normal Range of
Hazardous Substance
Components (in Ibs. or kg)*
Weight Upper Lower
CASRN # Percentage Bound Bound
Please be sure to Include units where appropriate. Also, If the release Is & radionucHte, units of eyries (Ci) are appropriate.
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SECTION HI: HAZARDOUS
SUBSTANCE
INFORMATION
CR-ERNS Number
Calculation of the SSI Trigger
List each hazardous substance or hazardous substance component of a mixture from each
source for which you report release quantities in Section II, Part C. For an example of how
to complete this section, refer to Table 3 of the Guide.
Name of Hazardous Substance:
To calculate the SSI trigger (i.e.. the upper bound of the normal range of a release) for the hazardous substance
Identified above, aggregate the upper bounds of the normal range of the identified hazardous substance across all
sources identified in Section II, Part C. If the hazardous substance is also a component of a mixture, be certain to
include the upper bound of the component as calculated in Section II, Part C, in your calculation of the SSI trigger.
Name of Source(s)
SSI Trigger (specify Ibs, kg, or Ci)
SSI trigger for this hazardous substance release:
This method for calculating the SSI trigger for the hazardous substance assumes that all releases of
the same hazardous substance or mixture occur simultaneously. To the extent that a hazardous
substance is released from your facility from different sources and at different frequencies, you
may adjust the SSI trigger, as appropriate, so that it more accurately reflects the frequency and
quantity of the release. The SSI trigger in the final analysis must reflect the upperlbound of the
normal range of the release, taking into consideration all sources of the release at the facility or
vessel. The normal range of the release includes all releases previously reported or occurring over
a 24-hour period during the previous year.
38
•frll.S. GOVERNMENT PRINTING OFFICE: 1991 - 548-187/20560
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Environmental Protection
Agency
Information
Cincinnati OH 45268
BULK RATE
POSTAGE & FEES PAID
EPA
PERMIT No. G-35
Official Business
Penalty for Private Use, $300
MR ROBERT RETTIG1HRARY
26 W^AMARTIN LUTHER KING DRIVE
CINCINNATI OH 45268
Please make all necessary changes on the above label.
detach or copy, and return to the address in the upper
left-hand corner.
If you do not wish to receive these reports CHECK HERE D;
.detach, or copy this cover, and return to the address in the
upper left-hand corner.
EPA/540/G-91/003
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United States
Environmental Protection
Agency
Office of Research and
Development
Washington, DC 20460
EPA/540/P-91/013
August 1991
EPA
Guidance on
Site Assessment
Cooperative Agreements
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EPA/540/P-91/013
Publication 9246.0-05
August 1991
Guidance On Site Assessment
Cooperative Agreements
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, DC 20460
Printed on Recycled Paper
-------
To obtain additional copies of this document contact:
National Technical Information Service (NTIS)
U.S. Department of,Commerce
5285 Port Royal Road
Springfield, VA 22161
(703) 487-4600
NOTICE
The policies and procedures set forth here are intended as guidance to Agency and other
government employees. They do not constitute rulemaking by the Agency, and may not
be relied on to create a substantive or procedural right enforceable by any other person.
The government may take action that is at variance with the policies and procedures in
this manual.
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CONTENTS
PAGE
1.0 INTRODUCTION . . . . . . 1
1.1 Generic SMOA Language Pertaining to Site
Assessment Activities . , 1
2.0 GENERIC QUARTERLY REPORT FORMAT . . 3
2.1 Cover Letter 3
2.2 Summary of Quarterly Progress 3
2.3 Summary of Cumulative Effort . . 3
2.4 Summary of Remaining Effort 3
2.5 Sites Added or Deleted . 3
2.6 Anticipated Activity . 3
3.0 GENERIC SITE ASSESSMENT COOPERATIVE
AGREEMENT APPLICATION PACKAGE ... 4
3.1 Cover Letter ....'.- 4
3.2 Table of Contents 4
3.3 Intergovernmental Review . 4
3.4 Substantive Provisions 4
3.5 Health and Safety Plan . . 8
3.6 Quality Assurance Plan 8
APPENDICES
Appendix A: Supplementary Material for Generic Language
Pertaining to Site Assessment Activities 9
in
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CONTENTS
(Continued)
PAGE
Appendix B: Supplementary Material for Generic Site
Assessment Cooperative Agreement Application 10
Package
Sample Letter for Initiation of Intergovernmental Review 10
Sample "Application for Federal Assistance" (SF 424) . . 12
Sample Budget Sheets (SF 424A) 13
Sample Background Discussion 15
Sample Schedule of Deliverables ; 16
Sample Preliminary Assessment Description 17
Sample Average Preliminary Assessment Costs Per Site by
Object Class Category 19
Sample Total Preliminary Assessment Costs by
Object Class Category 20
Sample Budget Summary for All Site Assessment Activities by
Object Class Category . . . • 21
Sample Overall Budget Summary by Site Assessment Activity .......... 22
Sample Preliminary Assessment Work Plan 23
Sample Screening Site Inspection Work Plan 24
Sample Form 5700-49 .! 26
Sample Form 5700-48 27
iv
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CONTENTS
(Continued)
PAGE
Sample Provisions Required for Site Assessment
Cooperative Agreements 28
Sample General Provisions and Assurances 29
Sample Special Conditions . 32
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1.0 INTRODUCTION
The guidance on site assessment cooperative
agreement presents generic SMOA language
pertaining to Site Assessment activities, a generic
quarterly report format, and generic site assessment
cooperative agreement application package. In
addition, the appendices provide additional sample
schedules, forms, and letters for developing a site
assessment cooperative agreement.
1.1 Generic SMOA Language Pertaining to Site
Assessment Activities
The [state department or agency] will conduct
site assessment activities that will include [list the
specific site assessment activities that the state will
perform]. The [state department or agency] will be
the lead agency for these activities, except where
agreed otherwise for specific sites.
At the annual planning meeting, the [state
department or agency] and EPA will determine and
mutually agree upon the number of site assessment
activities that will be completed utilizing state
resources. The determination of these numbers
should occur prior to the Regional Office's receipt of
final Superfund Comprehensive Accomplishments
Plan (SCAP) targets from EPA Headquarters. In
addition, funding for site assessment activities will be
provided by EPA to the [state department or agency]
through a Site Assessment Cooperative Agreement
(SACA). In order for the [state department or
agency] to receive this funding, the [state department
or agency] must prepare a SACA application package
and have it reviewed and approved by EPA.
The [state department or agency] will, complete
site assessment activities at sites identified in the
SACA and will submit the appropriate reports (e.g.,
a Preliminary Assessment (PA) report, a Screening
Site Inspection (SSI) report, etc.) to EPA for review
and approval. A list of EPA review times for these
reports is presented below in Table 1.
Site assessment activities will be performed in
accordance with the Scope of Work (SOW) contained
in the SACA. The identification of new sites or
changes to the list of sites designated for site
assessment activities that is included in the original
SACA must be approved by EPA.
The [state department or agency] will submit
quarterly reports to EPA in accordance with the
provisions contained in the SACA and EPA's PA/SI
State Cooperative Agreement Guidance. These
quarterly reports should include a summary of
activities performed and expenses incurred during the
reporting period and an estimate of the time and funds
needed to complete the work required. See Table 1
for timeframes for EPA review.
The [state department or agency] and EPA agree
to work together to ensure that sites requiring site
assessment activities are addressed as expeditiously as
possible. If the [state department or agency] falls
behind in its accomplishments as established under
the SACA, EPA, in consultation with the state, may
initiate site assessment activities at state-lead sites to
assist the [state department or agency] in
accomplishing the site assessment activities.
The [state department or agency] will be provided
an opportunity to supply written comments on all
completed EPA-lead Sis and Hazard Ranking System
(HRS) scoring packages. While EPA will determine
whether to list or delete a site from the National
Priorities List (NPL), the Agency will consult with
the [state department or agency] prior to the
nomination of sites for the NPL and the [state
department or agency] must concur on each deletion
from the NPL.
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Table 1
Documents Provided by State
Documents Provided by State
PA Reports
Draft SSI & ESI Workplans
SSI/ESI Reports
HRS Scoring Packages
Type of EPA Review
Review/Comment
Review/Comment
Review/Comment
Review/Consultation
Timeframe (Working Days)
10 Days
20 Days
30 Days
20 Days
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2.0 GENERIC QUARTERLY REPORT
FORMAT
2.1 Cover Letter
The cover letter should include a brief summary
of the tasks and activities performed during the
current reporting period. A general discussion
concerning an estimate of the time and funds needed
to complete the work required in the CA should also
be provided. If this is greater than the amount of
time and funds remaining, there must be a
justification for any increase.
2.2 Summary of Quarterly Progress
This section should provide a narrative describing
the progress made during the current reporting period.
This discussion should include a description of the
work accomplished during the reporting period, an
explanation of delays or other problems, if any, and
a description of the corrective measures that are
planned. This section should also include a list of
site-specific products completed during the reporting
period, with an estimate of the technical hours
required to complete each product. A sample format
for the presentation of this site-specific product
information is presented in Appendix A. Appendix A
includes information for Preliminary Assessments and
Site Inspections; if additional site assessment activities
were conducted, information on these activities should
also be provided. (Required by 40 CFR Part 35 -
Subpart O, §35.6650(b)(l))
2.3 Summary of Cumulative Effort
This section should include information that
provides a comparison of the percentage of the project
completed to the project schedule contained in the
CA. An explanation of any significant discrepancies
should be provided. This section should also provide
a comparison of the estimated funds spent to date to
the planned expenditures for these activities. Again,
an explanation of any significant discrepancies should
be included. (Required by 40 CFR Part 35 -
Subpart O, §35.6650(b)(2), (3))
2.4 Summary of Remaining Effort
In this section, the state should provide an
estimate of the time and funds needed to complete the
remaining site assessment activities required by the
CA. This estimate should be compared to an estimate
of the time and funds remaining, and a justification
for any necessary increases should be provided.
(Required by 40 CFR Part 35 - Subpart O,
§35.6650(b)(4))
2.5 Sites Added or Deleted
This section should list any sites that may have
been added to or deleted from the list of sites
contained in the CA during the current reporting
period, and should explain the reasons for their
addition or deletion in a footnote at the bottom of the
page.
2.6 Anticipated Activity
This final narrative section should provide
projected activity and report completion dates for
pending site assessment activities during the next two
quarters, if these dates have changed from those
indicated in the CA.
See Appendix A for supplementary materials to
this section.
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3.0 GENERIC SITE ASSESSMENT
COOPERATIVE AGREEMENT
APPLICATION PACKAGE
The following documents, form,s, and information
should be included as part of the Cooperative
Agreement (CA) application package for site
assessment activities under the Comprehensive
Environmental Response, Compensation, and Liability
Act (CERCLA). All site assessment CA application
packages submitted by states and Indian Tribes must
comply with the applicable requirements of 40 CFR
Part .31 ("Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and
Local Governments"), 40 CFR Part 35 -Subpart O
("Cooperative Agreements and Superfund State
Contracts for Superfund Response Actions"), Office
of Management and Budget (OMB) Circular A-102,
and any other applicable federal regulation or
requirements.
3.1 Cover Letter
The cover letter for the CA package should
provide the name of the state, the date upon which
the application was submitted, and the name,
telephone number, and address of the contact
person(s) for the state. The cover letter should also
indicate whether the application is for the approval of
a new CA, the renewal of an existing CA, or the
revision of an existing CA. The cover letter for the
CA package should be directed to the appropriate
Regional Administrator.
'3.2 Table of Contents
The table of contents should provide, in outline
format, the subject and page number for the various
provisions and other documents that comprise the CA
application package.
3.3 Intergovernmental Review
A state shall seek approval for site assessment
work before completing an "Application for Federal
Assistance" (Standard Form (SF) 424) by using the
intergovernmental review procedure. This procedure,
conducted between the designated state agency and
local governments, serves to ensure both the
responsiveness of federal, state, and local government
agencies to one another and to facilitate site
assessment work once a CA has been approved. On
April 8, 1985, EPA published a notice in the Federal
Register (50 FR 13873) announcing the revised
intergovernmental review procedure for site
assessment activities ("Procedures for Implementing
Intergovernmental Review"). The state should notify
the state intergovernmental review point of contact by
letter to explain the nature of the proposed site
assessment activities and the scope of the program.
The state should notify the state intergovernmental
review point of contact at least one quarter prior to
the anticipated initiation of the planned site
assessment activities. A copy of this communication
and any other corresponding intergovernmental review
comments should be included in the subsequent CA
application package. Indian Tribes are exempt from
having to meet these intergovernmental review
requirements. Appendix B provides a sample letter
for a state to initiate intergovernmental review.
3.4 Substantive Provisions
3.4.1. .Application for Federal Assistance
The state must include an "Application for
Federal Assistance" (SF 424) for non-construction
programs in the CA application package. This form
requires information such as the legal name and
address of the applicant, the estimated funding
requirements for the activities proposed by the
applicant, and other administrative information.
General instructions for completing. the SF 424 are
included with the application. See Appendix B for a
sample "Application for Federal Assistance."
(Required by 40 CFR Part 35 - Subpart O,
§35.6055(a))
3.4.2. Budget Sheets
A standardized budget summary, entitled "Budget
Information--Non-Construction Programs" (SF 424A),
should immediately follow SF 424 in the CA
application package. SF 424A requires information
on the state's plans for allocating the authorized funds
among the various site assessment activities. These
site assessment activities may include Preliminary
Assessments (PAs), Screening Site Inspections (SSIs),
Expanded Site Inspections (ESIs), preparation of
Hazard Ranking System (HRS) scoring packages,
training, and management assistance review of
contractor documents (i.e., state review of contractor
-------
documents). This budget information should be
broken down by site assessment activity and object
class category (e.g., personnel, fringe benefits, travel,
equipment). A sample SF 424A is included in
Appendix B. (Required by 40 CFR Part 35 -
Subpart O, §35.6055(a)(l))
3.4.3. Project Narrative Statement
The project narrative statement is the core of the
CA application package, and should include a
background section, a schedule of deliverables, a list
of sites at which site assessment activities are
planned, and a Statement of Work (SOW), which
includes detailed budget information. (Required by
40 CFR Part 35 -Subpart O, §35.6055(a)(2))
a) Background
The state should briefly discuss the status and
structure of its site assessment program. This
discussion should include the number of PAs,
SSIs, ESIs, and other site assessment activities
completed by the state. The discussion should
also include an estimate of the total number of
sites within the state that are listed on the
CERCLA Information System (CERCLIS) and'
still need to be assessed or inspected. A sample
background discussion is provided in Appendix
B.
b) Schedule of Deliverables
A schedule designating the number of PAs, SSIs,
ESIs, and other site assessment activities that will
be submitted to the EPA Regional Office during
each quarter of the fiscal year should be included
by the state. Site assessment activities that are
carried over from a previous fiscal-year should be
clearly noted. Quarterly reports will provide the
state an opportunity to confirm the number of
submissions to the Region and to request changes
to the schedule if necessary. A sample schedule
of deliverables is presented in Appendix B.
(Required by 40 CFR Part 35 - Subpart O,
§35.6055(a)(2)(iii))
c) List of Sites
A list of the names of sites at which site
assessment activities are planned should be
included in the project narrative statement. If the
state proposes to revise the list, the state may not
incur costs at a new site until the EPA Regional
Project Officer has approved the site. The list of
sites should be categorized by the type of site
assessment activity to be undertaken at a site and
should indicate the estimated quarter of the fiscal
year in which the activity at a site will be
completed. In the event that all sites are not
identified at the time an application is submitted,
the state should provide the number of
unidentified sites and should make a commitment
to submit the names of these sites as they are
identified. (Required by 40 CFR Part 35 -
Subpart O, §35.6055(a)(2)(ii))
d) Statement of Work
The SOW for proposed site assessment activities
should include the following: (Required by 40
CFR Part 35 - Subpart O, §35.6055(a)(2)(ii))
(i) A detailed description of each of the site
assessment activities to be conducted
under the CA, including lists of the
information to be provided by each site
assessment activity, lists of tasks
necessary for the completion of each
activity, lists of what final site
assessment activity reports will include,
and other documentation, as the state
deems necessary. Exhibit 6 provides a
sample activity description for a PA;
similar activity descriptions should be
provided for other site assessment
activities to be performed. The
guidance materials listed below should
assist states in preparing these site
assessment activity descriptions for each
of the site assessment activities to be
performed.
e) Guidance Materials
Guidance materials for performing PAs, Sis, and
HRS scoring packages are currently being
developed. These guidance materials will be
listed here as they are finalized and distributed.
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(i) Detailed budget and cost information
presented in several different ways in a
series of tables. The budget information
that is required by the first two tables
(see Appendix B) can be used to
generate the summary information
required by the following two tables
(see Appendix B). This budget
information should include the
following:
(A) A budget for each of the site
assessment activities to be
performed, itemized by object class
category. This information should
be presented first by average cost
per site and second by total costs
across all sites. A sample of this
itemized budget information for
PAs is provided in Appendix B;
similar cost information must be
provided for all other proposed site
assessment activities.
(B) A summary budget table that lists
the* total costs associated with each
object class category for all site
assessment activities to be
performed across all sites. A
sample of this budget information is
included in Appendix B.
Attachments should be included in
cases where the state deems it
necessary to justify in writing
certain expenses (e.g., the purchase
of equipment or certain expenses in
the "contractual" category). Such
attachments should explain how the
particular expense will be useful in
the attainment of site assessment
program goals.
(C) A summary budget table included
as a means of summarizing the
overall cost information. This
budget table should list the planned
site assessment activities, the
number of sites planned for each
activity, the approximate hours
required for the completion of each
activity per site, the approximate
cost per site, and the total costs per
site assessment activity. Appendix
B provides a sample of this budget
summary table.
(D) A statement concerning indirect
cost rate negotiation agreements.
This statement should include a
copy of any indirect cost rate
agreement negotiated between the
state and the federal government for
use under grants and contracts with
the federal government.
(ii) A work plan for each of the various
types of site assessment activities to be
performed .under the CA. The work
plan should provide a breakdown of the
process necessary to perform a
particular site assessment activity,
itemizing each task and listing the
estimated hours associated with the
completion of each task. One of the
primary purposes of a work plan is to
allow the state to efficiently schedule
such resources as manpower, equipment,
and laboratory services in advance of an
activity. Sample work plans for a PA
and an SSI are included in Appendix B.
Work plans should be provided by the
state for all site assessment activities
that are to be undertaken.
3.4.4. Drug-Free Workplace Certification
The state must certify (40 CFR Part 32 - Subpart
F) that it is in compliance with the Drug-Free
Workplace Act of 1988 (Pub. L. 100-690, title V,
subtitle D), which requires applicants for CAs to
certify in writing that they will provide a drug-free
workplace. The state must follow the requirements
contained in the OMB notice entitled "Government-
Wide Implementation of the Drug-Free Workplace
Act of 1988" (54 FR 4946, January 31, 1989).
(Required by 40 CFR Part 35 - Subpart O,
§35.6055(a)(3))
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3.4.5. Certification Regarding Debarment,
Suspension, and Other Responsibility Matters
The appropriate state official must sign the
"Certification Regarding Debarment, Suspension, and
Other Responsibility Matters" (EPA Form 5700-49)
and certify that the state is in compliance with
Executive Order 12549 and 40 CFR Part 32. A
sample form 5700-49 is provided in Appendix B.
(Required by 40 CFR Part 35 - Subpart O,
§35.6055(a)(4))
3.4.6. Procurement Certification
The state must evaluate its own procurement
system to determine if the system meets the
requirements of 40 CFR Parts 31 and 35. After
evaluating its procurement system, the state must
certify that its procurement system meets these
requirements and submit this certification with the CA
application package. Citations should be provided for
those sections of state regulations that are relevant to
procurement. It is recommended that states provide
this procurement certification by completing the
"Procurement System Certification" (EPA Form 5700-
48). A sample form 5700-48 is provided in Appendix
B. If the state's procurement system does not meet
these requirements and, consequently, a procurement
certification is not provided, the state must instead
comply with the procurement requirements of 40 CFR
Part 35 - Subpart O. (Required by 40 CFR Part 35
- Subpart O, §35.6055(a)(5))
3.4.7. Anti-Lobbying Certification
The state must certify (40 CFR Part 34, Appendix
A) that no appropriated funds will be expended to pay
any person for influencing or attempting to influence
an officer or employee of any agency, a member of
Congress, an officer or employee of Congress, or an
employee of a member of Congress, in connection
with any federal award in excess of $100,000, in
accordance with section 319 of Pub. L. 101-121. The
state must follow the requirements in the Interim
Final Rule entitled, "New Restrictions on Lobbying"
(55 FR 6736, February 26, 1990). (Required by 40
CFR Part 35 - Subpart O, §35.6055(a)(6))
3.4.8. Provisions
Conditions
and Assurances/Special
CAs awarded under CERCLA are subject to a
number of terms and conditions. These terms and
conditions must be defined in the CA either as
provisions and assurances, if developed and
incorporated into the application package by the state,
or as special conditions, if developed and incorporated
by EPA. The state should attempt to ensure that
these terms and conditions are addressed in the CA
application package as provisions and assurances.
Requirements not adequately covered in the state's
application package will be included as special
conditions in EPA's offer of award for the CA. The
EPA Regional Office and the state may also negotiate
provisions specific to a particular situation or need at
the time the application package is prepared.
Some provisions are specific to the EPA site
assessment program and must be included in a CA for
site assessment activities by either the state or EPA as
a provision or condition of the award. Provisions
specific to CAs for site assessment activities are:
1) sample splits and analyses; 2) sampling plans;
3) addition of new sites; 4) joint PA/SI efforts;
5) quarterly reports; and 6) release of HRS scoring
information. Failure to comply with these provisions
is sufficient cause for EPA to terminate a CA. Sample
language for the six required provisions discussed
above is included in Appendix B. Sample language
for other provisions and assurances that may apply to
a site assessment CA can also be found in Appendix
B. It should be noted that these sample provisions
and assurances are not exhaustive and that individual
states should consider whether additional provisions
are necessary to address the unique situations
surrounding their proposed site assessment activities.
As discussed above, requirements concerning site
assessment activities that are not adequately covered
in a state's CA application package will be included
as special conditions in EPA's offer of award. These
special conditions would include issues of special
concern to the EPA Regional Office and requirements
that wduld apply to the unique conditions of sites
within the Region. Some examples of special
conditions that may be included in offers of CA
awards by EPA are presented in Appendix B.
7
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The following plans do not have to be developed
and included as part of the site assessment CA
application package. However, these plans must be
developed and in place before field work may be
commenced by the state.
3.5 Health and Safety Plan
The state, as recipient of a CA award, must
prepare a health and safety plan providing for the
protection of on-site personnel and area residents.
This plan must be made available to EPA upon
request. This health and safety plan must comply
with Occupational Safety and Health Administration
(OSHA) regulations 29 CFR 1910.120, "Hazardous
Waste Operations and Emergency Response," unless
the recipient of the CA award is an Indian Tribe,
which are exempt from OSHA requirements.
(Required by 40 CFR Part 35 - Subpart O,
§35.6055(b)(l))
3.6 Quality Assurance Plan
The state, as a recipient of a CA award, must
abide by the quality assurance requirements described
in 40 CFR 31.45 and develop a non-site-specific
quality assurance plan. The recipient must submit
this plan to EPA in adequate time (generally 45 days)
for approval to be granted before beginning field
work. These plans must comply with the
requirements regarding split sampling described in
section 104(e)(4)(B) of CERCLA. (Required by 40
CFR Part 35 - Subpart O, §35.6055(b)(2))
8
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Appendix A:
Supplementary Materials for Generic
SMOA Language Pertaining to Site
Assessment Activities
SAMPLE FORMAT FOR SUMMARY OF QUARTERLY PROGRESS
QUARTERLY REPORT - FOURTH QUARTER
July 1 - September 30, 1990
^ Site Name
(including)
Project Officer)
TOTAL
AVERAGE HOURS
PER SITE^
Direct Personnel
Hours Per Site
PA
SSI
ESI
HRS
Scoring .
Packages
Total
Site
Disposition^
Date of
Submission
of Report
_!/ "Personnel" refers to only those staff persons who were directly involved in performing the site assessment activity.
2/ The following codes may be used to indicate the disposition of a site:
NFA - No further action SSI - Screening Site Inspection recommended
ESI - Expanded Site Inspection recommended ER - Emergency Removal recommended
- REF - Site referred to another program/ HRS/NPL - Site recommended for HRS
agency for response scoring/NPL listing
OTHER - Other recommendations (explain briefly)
3/ Average hours per site should be calculated only for complete deliverables.
-------
Appendix B: Supplementary Materials for Generic Site
Assessment Cooperative Agreement
Application Package
Sample Letter for Initiation of Intergovernmental Review
This letter may be revised, as necessary, for use when notifying directly affected governmental
entities where a state intergovernmental review process does not cover the activity under consideration.
Revision is also necessary in cases where other site assessment activities are to be performed under the
Cooperative Agreement.
Dear [Designated Single Point of Contact for State Process]:
This letter notifies you of on-going and anticipated Superfund activities to be funded by the U.S. Environmental
Protection Agency. These activities are subject to the State intergovernmental review process. The 60-day comment
period on these proposed actions will begin five days after the date this letter is sent. Please address any comments
on the proposed actions to [ ]. The activities are described below.
1. Description of Proposed Activities: [EPA or name of state department or agency] will conduct Preliminary
Assessments (PAs) on [number of] sites and site inspections on [number of] sites.1
The PA/SI program will be conducted in accordance with the National Oil and Hazardous Substances
Pollution Contingency Plan (NCP) (40 CFR Part 300) and all other applicable EPA directives.
A PA is a review of available information about a site with the purpose of determining whether further
action, such as an SI, or no further action is needed. The PA should involve an off-site survey but does
.not include on-site work. A PA includes the gathering of data on the magnitude of the hazard, routes of
exposure, nature of the materials present, possible targets, and the existence of easily identifiable, potentially
responsible parties.
The SI builds upon the information gathered during the PA and includes collecting and developing data from
the field. Unlike the PA, the SI always involves an on-site visit. It routinely includes sampling and can
include more sophisticated tasks such as monitoring, remote sensing, and other data gathering techniques.
The purpose of an SI is to determine whether further action is needed and, if so, to gather data sufficient
to score the site for consideration for the National Priorities List, which is the list of sites that are eligible
to receive funds to clean up the site.
2. Estimated Cost: $[ ], to be 100 percent funded by the U.S. EPA. (Give a range of costs
based on $ /PA and $ /SI or other, better estimates.)
If the exact number of PAs and Sis is not known, a range may be given; i.e., "will conduct PAs on
between [low estimate] and [high estimate] sites.
10
-------
Sample Letter for Initiation of Intergovernmental Review (continued)
3. List of Sites: [attached]
4. Projected Start Dates: [_
J
5. State Project Officer: [name, address, telephone number]
6. EPA Regional Project Officer: [name, address, telephone number]
As I have indicated above, you will have 60 days after receipt of this letter to submit your comments. However,
I would very much appreciate hearing from you at the earliest possible time so that we can proceed with the program
without any delays. If you have any questions on this project or if you need further information, please contact
[name, telephone number] of .my staff who is available to assist you in any way during your review.
Sincerely yours,
11
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Sample "Application for Federal Assistance" (SF 424)
APPLICATION FOR
FEDERAL ASSISTANCE
2 SATE SUBMITTED
•^•6 OP SUBMISSION
loaeaoen
C3 Con* net on
3 SATE RECEIVED BY STATE
Sui» »co««oon ie»nan«r
Qcoraaucoon
•""I Non-Ccnsirueson
4 CATA RECEIVED BY FEDERAL AGENCY
5 APPLICANT 'NFCP.MA7:CN
AoafMi igrv« ..iy. county,
. anc no eoe»i
Organzaoanai unit
Nam* «oa t*t«onone nume*r o( m« o*rson to o« conuctM en mantra
>nvoiving Bin aoeiicaien
7 TYPE OF APPLICANT (MUM aecreenM «ur m eoi> I I
I TYPE OF APPLICATION
Q Naw Q Cantnuaoon Q R*v«on
M Ravttion. ama* aeeroonaH Mdtft*) in eoiiaa): I I LJ
A incrtaM Award B. OarraaM Award C. ineraaa* Ouraoon
D OacraaM Ouaeon
A SUM
8 County
C Muracioal
0 Townsnie
E. inunta*
F inttfimneoai
G. SOKM Ofctiet
H ioa»o«no»m Seftow Ofera
i SIM C«n«a«M i
J PnvaM Urw*miy
< inoun Tnta
M. PreM OrgwMua
N. Off»f (Se«ci4y> •
9. NAME OF FEDERAL AGENCY:
10 CATALOG OF FIDEJUL DOMESTIC
ASSISTANCE NUUUft
TlTti
11. OESCWFTTVE TTTLE OF APPLICANTS PROJECT
if ARIAS AWICTtO tY PROJECT (CIOM. COUHM*. *(•••.
13 PROPOMO FROJICT:
14 CONGRESSIONAL DISTRICTS OF-
S§nMAT6& FbNOING
a.
C SUI
a ontr
00.
00
00
00
00
1C. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?
a. YES. THIS PREAPPUCATION/APPUCATION WAS MADE AVAILABLE TO THE STATE
EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON:
DATE____ ,„_____«______ -
0. NO. Q PROGRAM IS NOT COVERED BY E.O. 12372
O OR PROGRAM HAS NOT BUN SELECTED BY STATE FOR REVIEW
t Program meorn*
00
TOTAL
00
17 IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
Q Y«
anon an
O NO
TO THE MST OF MY KNOWLEDGE AND SEUEF ALL DATA IN THE APPUCATION/PReAPPUCATION ARE TRUE AND CORRECT. THE
UUENT HAS BEEN ONLY AUTHORIZED BY THE OOVSFW
ATTACHED ASSURANCE IF THE ASSISTANCE IS AWARDED
*. Typ*d Nam* oi AUK
b.Tid«
C.TI
-------
Sample Budget Sheets (SF 424A)
OMB ApatOMil Ma. Mii ttU<
BUDGET INFORMATION — Non-Construction Programs
Gf «nt Program
function
or ActivKy
(*)
1.
J.
3.
4.
S. TOTALS
SfCTtOMA-IUOGiTSUMMAMV
CitftlogoMtdtr*)
DoHMMkAnittMK*
NumlMt
(b)
[(timtlcd UnoMigMtd Fundi
FMtafCl
(0
f
s
Non-f«kr*l
(d)
$
t
N«w M NtvlMd ludgtt
Fctfwal
(t)
S
$
Non-M*c*l
<«)
S
$
Totil
(g>
f
$
SiCTION I - lUOCf T CAT! CODIES
« Ofa)«ta*!iOttgortM
». FWOOJWl
b. Frine«l«Mfiti
c Tuwel
A l^uipmwt
«. Su^pliM
I. ContfMtwl
g. Cambuctlan
h. Othw
1. ToUl «r«t ChMfH (turn at 6* - 6h)
J. mdkcdOwfftt
h. TOTAIJ (uimo(Ciandi))
OJIAMT MWOIUM FUNCnON OB ACTIVITY
(1)
$
S
(2)
t
S
(3)
S
S
(«)
t
S
ToUl
(S)
$
S
Authodztd for Loc»l Rtproductkm
Stmtoid Foim 424A <<-Ȥ)
PrMcnOMl by OMB CiiculM «•«<•>
-------
Sample Budget Sheets (SF 424A) (continued)
SECTIONC- NON-FEDERAL RESOURCES
JCJJ
it.
it.
12. TOTALS (uwnofkntldM*II)
SECTION D • FORECASTED CASH NEEDS
13.
T««»H»f lit Y»n
14.
IS. TOTAL (turn oflin*(13 end 14)
SECTION E - IUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE NOJEa
(•) OWN Program
U.
17.
It.
It.
2t. TOTALS (lum of lines If -19)
SECTION F - OTHER BUDGET INFORMATION
(AttMh idditioiul Sh««U if Nccciury)
IQuigit:
22. ln«.t(tCtui|«i:
AuthorUcd lor Local Rmmxluction
SF 424A
PlMCiAod by OMB daJto A-102
-------
Sample Background Discussion
The [state department's or agency's] Preliminary Assessment (PA) and Site Inspection (SI) Program is
administered by the . In the past years, the [state
department or agency] has conducted _ PAs and_ Sis under EPA grants (RCRA 3012 and CERCLA 104(c) and
(d)). During this same time period EPA conducted approximately PAs and Sis within the State. The [state
department or agency] is currently conducting PAs and Sis under an existing Cooperative Agreement (CA)
with EPA.
The Site Investigation and Response (SIR) Section consists of six full-time persons responsible for conducting
PAs, Sis, and other assessment activities, and administrative activities. Secretarial and clerical support is available
within the Division. The [state department or agency] has recently been awarded a Core Program Cooperative
Agreement to provide services, training, personnel, and funds to help support CERCLA implementation activities.
In addition to these resources, the SIR Section has access to the resources of the Division of Wastes Management
and the Department of Natural Resources.
It is anticipated that by [date], CERCLIS will contain at least sites in [state] for which PAs need to be
performed. Approximately sites in the state require Sis. It is anticipated that as many as sites will be added
to CERCLIS during the calendar year via routine site discovery procedures.
The [state department or agency] proposes to conduct PAs and Sis. All work will be approved by EPA
prior to initiation of site work by the state. In addition, _ weeks of Superfund training is proposed here for each
staff member and personnel hours for management assistance activities are required. The grant period would
extend from [date] through [date].
15
-------
Sample Schedule of Deliverables
Activity
Preliminary Assessment
Screening Site Inspection
Expanded Site Inspection
Management Assistant Review of
Contractor Documents
HRS Scoring Packages
Quarterly Reports
October-
December
January-
March
April-
June
July-
September
Total
16
-------
Sample Preliminary Assessment Description
Preliminary Assessments (PA)
A PA will consist of those activities that are necessary to characterize, in a preliminary fashion, the hazardous
substances present, potential pollutant dispersal pathways, the population and resources that might be affected, and
facility management practices.
A Preliminary Assessment is conducted to determine whether a site listed in CERCLIS should be considered
for further study. A PA will be conducted according to the guidance issued by U.S. EPA in the Preliminary
Assessment and Site Inspection State Cooperative Agreement Guidance, on September 28, 1984 and Preliminary
Assessment Guidance Fiscal Year 1988 OSWER Directive 9345.0-01. PAs at federal facilities will be conducted
by the appropriate federal agency. The state will provide management assistance in reviewing PAs, as requested,
and charge such assistance as a fundable task against this Cooperative Agreement.
An assessment provides the following information:
Site identification;
Name, location, and ownership of the site;
Brief site description, including size and operations;
Type(s) of hazardous substances present and type of containers;
Characteristics of the relevant hydrogeological and meteorological factors;
Population density of surrounding area;
Location of other environmentally sensitive receptors (e.g., water supplies, wildlife habitat);
Conclusions and recommendations; and
CERCLIS Input
corrections to current data
alias names '
Some of the activities that may be necessary for the completion of the PA are:
interviews with federal, state, and local government personnel and private citizens;
reviews of federal, state, and local government files, reports, and archival documents;
limited title searches to determine property ownership;
review of U.S. Geological Survey, Soil Conservation Service, and hydrogeological and topographic
data;
1.
2.
3.
4.
5.
6.
7.
8.
9.
17
-------
Sample Preliminary Assessment Description (continued)
review of appropriate private and public well logs;
review of appropriate meteorological data;
review of appropriate land use data;
review of available aerial imagery;
off-site reconnaissance of site (windshield survey) as required to complete the site report and PA
forms; and
other off-site and on-site activities as appropriate to complete PA forms.
A total of PAs will be completed by [state]. It is assumed that the completion and quality assurance
review of each PA will require approximately hours. This will include the completion of Site Identification and
Preliminary Assessment Tasks, and the review of these tasks on forms currently used by EPA for these purposes.
This will also include a conceptual sampling plan recommendation.
A PA will be considered complete when the site information and the appropriate forms are approved and
accepted by the EPA Regional Project Officer (RPO). Deliverables must be submitted to the Regional Office with
sufficient time to allow for a week review period by the RPO, and a week response period for the state. (The
quality of the deliverables will be judged upon adherence to the specific performance criteria negotiated with the
state.)
18
-------
Sample Average Preliminary Assessment Costs Per Site
by Object Class Category
CATEGORY
Personnel
ESIII
( hrslPAx$ Ihr)
SEC/I
( hrs/PAx$ Ihr)
Fringe % of personnel cost
Personnel Subtotal
Travel - Off-site reconnaissance
Assumes:
sites require off-site reconnaissance
and off-site reconnaissance conducted per
trip ( persons/trip x $ per diem x '
day/trip x )
($_lmile x average miles/trip x )
Travel Subtotal
Equipment
Supplies
Contractual
Other
TOTAL DIRECT CHARGES PER SITE
INDIRECT CHARGE -@ _ % OF DIRECT CHARGES
TOTAL
COST
- -
-• .
19
-------
Sample Total Preliminary Assessment Costs
by Object Class Category*
CATEGORY
Personnel
Personnel cost
($_lsite x sites)
Training ( days)
( firs/person x persons x$ Ihr -
ES/II)
Fringe % of personnel cost
Personnel Subtotal
Travel
Training
($ per diem x days x persons)
($ /flight x. persons)
Travel Subtotal
Equipment
Supplies ($ /site x sites)
Contractual
OTHER TOTAL DIRECT CHARGES
INDIRECT CHARGE % OF DIRECT CHARGES
TOTAL
COST
*Budget for one year. (Includes additional non-site-specific costs associated with training.)
20
-------
Sample Budget Summary for All Site Assessment Activities
by Object Class Category
CATEGORY
Personnel
Program Manager I
Environmental Scientist HI
Environmental Scientist I
Secretary
Seasonal Environmental Engineer
Fringes ( % of personnel cost)
Personnel Subtotal
Travel
EPA Seminars and Training
Travel Subtotal
Equipment
Supplies
Contractual
Medical Monitoring
Training Courses (Training for new staff)
Information and Education Services
(Public affairs for program activities)
Geophysical Tasks . -
Audit Costs
Federal Express (Sample shipment if necessary)
Contractual Subtotal
TOTAL DIRECT COSTS
INDIRECT CHARGE _ % OF DIRECT CHARGES
TOTAL
COST
-, . .
21
-------
Sample Overall Budget Summary by Site Assessment Activity
FEDERAL SUPERFUND PROGRAM
(October 1, 1989 - September 30, 1990)
Site Assessment Activity
Preliminary Assessment
Screening Site Inspection
Expanded Site Inspection
HRS Scoring Package
Management Assistance of
Contractor Documents
Training (In House)
TOTAL
Total Number
of Sites
Estimated
Duration
Hrs/Site
Approximate
Cost/Site
-
Total
v
22
-------
Sample Preliminary Assessment Work Plan
TASK
1. Gather site information
Natural/quantity of hazardous materials
Possibility of exposure
Possible affected target populations and
environments
2. Review and evaluate data
3. Draft PA report
Document findings
Recommend disposition of site and provide
justification for disposition
4. Type, copy, and file
5. Program Manager review and concurrence
TOTAL PER SITE
TIME REQUIRED
PER SITE
(person-hours)
120 hrs
Tasks 1-3 account for hours and will be conducted by:
Environmental Scientist/Level II (ESIII) — $_Jyr ($ lhr)_
Task 4 accounts for hours and will be conducted by:
Secretary/Level I (SEC/I) - $__lyr ($ Ihr)
Task 5 accounts for hours and will be conducted by:
Supervisory Environmental Engineer/Level III (SEE/III) -
$_/yr ($_/hr)
23
-------
Sample Screening Site Inspection Work Plan
TASK
1. Perform background search
PA file review
Literature!reference search on chemicals and wastes
review USGS, meteorological, land use records, etc.
research/evaluate potential community interest
2. Prepare sampling plan and safety plan
perform site recon
5. Coordinate site visit
obtain site access
prepare equipment, obtain field supplies,
coordinate other logistics
schedule sample analysis
notify appropriate community contacts
4, Conduct field work
perform field audit (1 of every 4 sites)
site mobilization
interview employees/owners
assess geology/topography
identify potential receptors
document site layout/site activities
collect package, ship samples
5. Perform sample analysis
6. Review analytical data (QA)
7. Compile, evaluate data, write report, prepare
pre-projected HRS score
8. Perform (oncological review
TIME REQUIRED
PER SITE
(person-hours)
24
-------
Sampie Screening Site Inspection Work Plan (continued)
TASK
9. Type, copy, and file
10. Review of SSI by Program Manager, Concurrence,
Recommendations, Cover Letter
TOTAL PER SITE
TIME REQUIRED
PER SITE
(person-hours)
500 hrs
Tasks 1-3 account for hours and will be conducted by: Environmental Analyst II or Engineering Technician
II - $_/yr. ($_/hr) :
Task 4 accounts for hours and will be conducted by: Environmental Analyst III, Environmental Analyst II,
Engineering Technician II, Water Resources Inspector - $ lyr. ($ Ihr)
Task 5 will be performed by EPA for DNR
Task 6 accounts for hours and will be performed by: Chemist II or III — $ 'lyr. ($ Ihr)
Task 7 accounts for hours and will be conducted by: Environmental Analyst II, Engineering Technician II,
Environmental Analyst HI - $__lyr. ($ Ihr)
Task 8 accounts for hours and will be conducted by: Secretary I — $ lyr. ($ Ihr)
Task 9 accounts for hours and will be conducted by Environmental
Analyst HI - $_lyr. ($_lhr)
25
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Sample Form 5700-49
& EPA
Pnnct Canirei
Unitao Slat** Envirenmentai Protection Agsncy
Wasnington. DC 20A6O
Certification Regarding
Debarment, Suspension, and Cihfcr Responsibility Matters
The oresoacwe oaniODam earufias to ma oast of its knowteega ano oaiwf that it ana its onnapais:
U) Ar« not orssaraty dabarrad. susoandad. preposad for dabarmem. daeiarad ineligible, or voluntary «xciudad from
cevarao transacoona oy any Federal daparanant or agency:
ictad of er had a curt judgement rendered
(b) Have net within a three year penod preceding mia proposal been <
agamat them for ccmmwswn at fraud or a cnrronal offense in eonnecoon w«n obtamng, aaempang to obtain, or
psrformmga pubtie (Federal. State, or local) tranaactsner contract under a pubic transactan: voiaoon of
Fsdarai or State anotruat atatuaa or cemmason of emoezzlemem. theft fonjen/. bnbery. falsrfieaaon or deemie*
tton records, making false statamema. or receiving swan property;
(e)
(oeai) with commnuMon at any of tna effansaa anumaratad m paragrapn (1 )(b) of this earafieaoon: and
id) Htva not wnnin a tnraa-yaar pared pracadinq tnia aopticaoon/prbpoaal had ena or mora puote transactions
(Ftdsrai. Stata. or local) taonmatao for causa or dafaut.
1 unesrstand that a falsa statement en this csrufieaaen may be graunda for raieeaen of this proposal er tsrmmaaon of
:n» awtra. In addition, under It USC See. 1001. a false stnament may rasut n a fine** up to $10.000 or tmpnson-
m«m for UP to 5 years, or botft.
Typ«o Name 4 TrtJe ot Autnonzed Aapresemaove
Signnurs at Autnonzed Representative
Data
LJ I am unade to cairty to the soove statements. My exptanaoen « aaaened.
26
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Sample Form 5700-4S
&EPA
APPLICANTS NAME
WASHINGTON. OC 20MO
PROCUREMENT SYSTEM CERTIFICATION
;orm«onia»»
zut up. aaoaotM
ASSISTANCE APPLICATION NUMBER
SECTION I - INSTRUCTIONS
Tha applicant must complete and suomit a copy of this form with aacn application for EPA Assistance. If the applicant
has certified its procurement system to EPA within the past 2 yaars and tna system has not been suostanttally revised.
complete part A in Seenan II. then sign and date tna form. If the system has-not been certified witnm ma past 2 years!
comoiata Pan 8. then sign and date the form.
SECTION II - CERTIFICATION
A. I affirm mat the applicant has within the past 2 years canrf ied to EPA that its procurement system
compties wan 40 CFR Part 33 and that the system meets the requirements in 4O CFR Pan 33.
The date of the applicant's latest certification is:
MONTH/YEAR
B.Based upon my aveJuatcn of the applicant's procurement system. I. as authorized reofaMntatn/a at th« .prtitrinr"
(Check one of the fotewtng:) «
O 1 .CEflTTFVthat tha applicant's procurement system wttt meet aU of the requirements of 40 CFR Pan 33 before
undertaking any procurement acaon with EPA assatance
Please furnish citations to applicable procurement ordinances and regulations
D 2.00 NOT CERTIFY THE APPLICANTS PROCUREMENT SYSTEM. The aooiicant agre«s to follow tna
roquiremems of 4O CFR Pan 33. including tna procedures in Appendix A, and allow EPA praawaro raview
of proposed procurement actions mat will use EPA assistance. ____
•YPED NAME AND TITLE
SIGNATURE
OATS
27
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Sample Provisions Required for Site Assessment Cooperative Agreements
1. Sample Splits and Analyses
In accordance with CERCLA section 104(e), state employees, officers, or representatives will provide the
owner, operator, or individual in charge of a site the opportunity to promptly receive a split of each sample collected
at the site, a receipt describing the samples collected, and a copy of analytical results.
2. Sampling Plans
Prior to commencing sampling activities under a Screening Site Inspection (SSI) or Expanded Site Inspection
(ESI) at a site, a sampling plan will be submitted by the [state department or agency] to the Region for review and
approval. The sampling plan shall be submitted to the EPA Regional Office at least two weeks prior to the
commencement of sampling activities to allow sufficient time for review and comment.
3. Addition of New Sites
The [state department or agency] will notify the Region in writing of any changes to the list of sites, submitted
in the CA application package, designated for site assessment activities. Written approval of these changes must be
received by the state before site assessment work may begin at these sites. (In practice, the state may notify the
Region by telephone first, and use the Region's written approval as a follow-up to this notification.)
4. Joint PA/SI Efforts
The [state department or agency] and EPA agree to work together to ensure that sites requiring PAs and Sis
are addressed as expeditiously as possible. If the [state department or agency] falls behind in its accomplishments
as established under this CA, EPA, in consultation with the state, may initiate PAs and Sis at state-lead sites to assist
the state in meeting its site assessment goals, and this Agreement may be modified accordingly.
5. Quarterly Reports
The [state department or agency] will submit progress reports to the Regional Project Manager within thirty
days of the end of each federal fiscal quarter. Such quarterly reports shall include: a description of the work
'accomplished during the reporting period, an explanation of delays or other problems, if any, and a description of
the corrective measures that are planned; a list of site-specific products completed during the reporting period, with
an estimate of the technical hours required to complete each product; a comparison of the percentage of the project
completed to the project schedule, and an explanation of discrepancies; a comparison of the estimated funds spent
to date to planned expenditures and an explanation of significant discrepancies; and an estimate of the time and funds
needed to complete the work required in the CA, a comparison of that estimate to the time and funds remaining, and
a justification of any increase. (Required by 40 CFR Part 35 - Subpart O, §35.6650)
6. Release of HRS Scoring Information
The [state department or agency] will not release HRS scoring information to the public without the approval
of EPA.
28
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Sample Genera! Provisions and Assurances
General Provisions
A. Authority
EPA awards this Cooperative Agreement in accordance with the Federal Grant and Cooperative Agreement
Act of 1977. This Agreement is subject to all applicable EPA assistance regulations.
B. Procurement Standards
This Cooperative Agreement is subject to the procurement standards of 40 CFR Part 35 Subpart O.
C. Prompt Payment Act Provisions
In accordance with Section 2(d) of the Prompt Payment Act, federal funds may not be used by the recipient
for the payment of interest penalties to contractors when bills are paid late, nor may interest penalties be used
to satisfy cost sharing requirements.' Obligations to pay such interest penalties will not be obligations of the
United States. •
Special Conditions
1.
2.
3.
4.
5.
The Cooperative Agreement recipient will adhere to all accounting standards and guidelines outlined in
40 CFR Subpart O.
Payment for activities contained in this Cooperative Agreement shall be on an actual cost basis, not the
fixed prices included in the assistance application for budget purposes. The application and supporting
documentation or subsequent amendments are for planning purposes.
No portion of this award may be used for lobbying or propaganda purposes as prohibited by 18 U.S.C.
Section 1913 Section 607(a) of Public Law 96-74.
AH activities conducted under this Cooperative Agreement shall be consistent with the revised National
Contingency Plan (NCP), 40 CFR Part 300, dated March 8, 1990, (55 FR 8666).
The [state department or agency] agrees to satisfy all federal, state, and local requirements, including
permits and approvals, necessary for implementing activities addressed in this Cooperative Agreement.
To the extent allowable under state law, the [state department or agency] will provide access to the sites,
as well as all rights-of-way and easements necessary to complete the response actions. The [state
department or agency] will provide access to EPA employees and contractors at all reasonable times to
the extent allowable under state law.
29
-------
Sample General Provisions and Assurances (continued)
6. The [state department or agency] shall prepare its own site safety plan for its own employees or
representatives for any on-site activities performed pursuant to this Cooperative Agreement in which the
[state department or agency] does not accompany the Field Investigation Team (FIT) contractor. The
[state department or agency] employees and representatives will comply with the EPA/FIT site safety
plan applicable to each site. The [state department or agency] reserves the right to act in a more
restrictive manner than the FIT plan requires.
7. The [state department or agency] will allow public access to its records in accordance with applicable
state law. EPA will allow public access to its records in accordance with the procedures established
under the Freedom of Information Act, regulations promulgated pursuant thereto, and agency guidance.
To the extent allowable under state and federal law, parties agree to protect each other's claims for
confidentiality, particularly with regard to documents related to pending or ongoing enforcement actions,
generated by either the state or EPA.
8. Nothing contained in this Agreement shall be construed to create, either expressly or by implication, the
relationship of agency between EPA and the [state department or agency]. Any standards or procedures
prescribed in this Agreement to be followed by the [state department or agency] during the performance
of its obligations under this Agreement do not constitute a right to control the actions of the [state
department or agency]. EPA (including its employees and contractors) is not authorized to represent or
act on behalf of the [state department or agency] in any matter relating to the subject matter of this
Agreement, and the [state department or agency] (including its employees and contractors) is not
authorized to represent or act on behalf of EPA in any matter related to the subject matter of this
Agreement. Neither EPA nor the [state department or agency] shall be liable for the contract acts, errors,
or omissions of the agents, employees, or contractors of the other party entered into, committed to, or
performed with respect to this Agreement.
9. The [state department or agency] will assist EPA by making available its records and employees, if EPA
litigates against responsible parties associated with a site where work is performed under the Cooperative
Agreement, to the extent allowable by state law.
10. All Preliminary Assessment and Site Inspection reports, as well as Screening Site Inspection and
Expanded Site Inspection work plans, are subject to review and approval by the EPA Project Officer to
ensure their completeness and consistency with EPA criteria. Deliverables must be submitted to the
Regional Office with sufficient time to allow for a week review period by the Regional Project
Officer, and a week response period for the state. (The quality of the deliverables will be judged
upon adherence to the specific performance criteria negotiated with the state.)
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Sample General Provisions and Assurances (continued)
a.
11. The [state department or agency] proposes to accompany EPA's contractor on EPA-Lead Screening Site
Inspections and Expanded Site Inspections based on the following understanding:
Once the Site Inspection plan has been finalized, the [state department or agency] and the EPA
contractor shall provide the other party with no less than two weeks notice prior to
commencement of any on-site activities unless the parties mutually agree otherwise. The [state
department or agency] shall be provided such notice via a schedule of the EPA contractor
activities (location and time) for each site where the EPA contractor is involved in Site
Inspection activities. Inability of the [state department or agency] to provide representation
at a site shall not be cause for the EPA contractor to deviate from the activity schedule.
The EPA contractor is accountable to EPA only. The [state department or agency] functions
in an advisory capacity. EPA issues all contractor work assignments and amendments, and
is responsible for directing and evaluating the work of contractors.
b.
c.
d.
e.
The [state department or agency] is solely responsible for ensuring that its employees and
representatives are properly outfitted with the appropriate protective clothing arid/or equipment.
[state department or agency] employees and representatives will comply with the EPA
contractor's site safety plan applicable to each site. The [State Department or Agency] may
act in a more restrictive manner than the EPA contractor's plan.
The extent to which [state department or agency] employees perform site tasks will depend
upon the capacity of [state department or agency] employees to perform work safely and
correctly and will be agreed upon between EPA and the [state department or agency] prior to
the actual site work. During the site activity, the [state department or agency], EPA, or EPA
contractor may suspend this Agreement if an employee acts in a manner that may threaten the
safety of him/herself or other site personnel.
12. Projected HRS score sheets shall accompany all PAs, SSIs, and ESI work plans submitted to EPA. The
score sheets are necessary to substantiate the recommended course of action.
13. EPA will provide instructional courses on the proper completion of Preliminary Assessments, Site
Inspections, and HRS scoring. EPA expects that [state department or agency] personnel involved in
completing Preliminary Assessments, Site Inspections, or HRS scoring will attend the courses, [state
department or agency] personnel costs incurred while the course is being given plus necessary travel
expense for the appropriate individuals is allowable for funding under this Cooperative Agreement.
14. EPA and the [state department or agency] are responsible for periodically reviewing the role functions
described in this Agreement for their applicability and effectiveness and negotiate the necessary revisions.
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Sample Special Conditions
The following special conditions apply only to that part of the [state department's or agency's] .site assessment
program for which EPA will reimburse the state. This grant shall not inhibit the [state department or agency] from
performing additional work at sites at which the [state department or agency] believes it is appropriate, using the
state's own funding sources.
1.
3.
4.
All Preliminary Assessment and Site Inspection reports, as well as Screening Site Inspection and Expanded
Site Inspection work plans, are subject to review and approval by the EPA Project Officer to ensure their
completeness and consistency with EPA criteria. Deliverables must be submitted to the Regional Office with
sufficient time to allow for a week review period by the Regional Project Officer, and a week response
period for the state. (The quality of the deliverables will be judged upon adherence to the specific performance
criteria negotiated with the state.)
EPA comments on state-generated reports shall be incorporated or rebutted in writing. If a dispute arises
concerning the validity/technical accuracy of the comments, an attempt will be made to mutually resolve all
issues before a final decision is made regarding the comments.
The [state department or agency] agrees to submit a copy of the sampling plan for any SSI or ESI to EPA for
review and comment at least two weeks prior to the commencement of sampling activities.
Well drilling and geo-physical techniques shall not be used routinely during a screening site inspection. Only
in justified special cases will EPA approve these activities during a screening site inspection.
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•&U.S. GOVERNMENT PRINTING OFFICE: 1992 - S48-003/4W79
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