United States
Environmental Protection
Agency
Off ice of
Solid Waste and
Emergency Response
EPA 540-R-96-041
OSWER 9360.3-07
PB96-963409
December 1996
Superfund
&EPA Superfund Removal Procedures
State Participation in Federal-Lead
Removal Actions
-------
Publication 9360.3-07
PB96-963409
EPA-540/R-96/041
December 1996
SUPERFUND REMOVAL PROCEDURES
State Participation in Federal-Lead Removal Actions
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, II 60604-3590
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, D.C. 20460
-------
NOTICE
The procedures set forth in this document are intended solely for the guidance of government
personnel. They are not intended, nor can they be relied upon, to create any rights enforceable
by any party in litigation with the United States. EPA officials may decide to follow the
guidance provided in this document, or to act at variance with the guidance, based on an analysis
of site circumstances. The Agenc., also reserves the right to change this guidance at any time
without public notice.
Additional copies of this document may be obtained from:
National Technical Information Service (NTIS)
Department of Commerce
5285 Port Royal Road
Springfield, VA 22161
Phone: (703) 487-4650
Order No. 96-963409
-------
This document is part of a ten-volume series of guidance documents collectively titled the
Super-fund Removal Procedures. These stand-alone volumes update and replace OSWER
Directive 9360.0-3B, the single volume Superfund Removal Procedures manual, issued in
February 1988.
Each volume in the series is dedicated to a particular aspect of the removal process and includes
a volume-specific Table of Contents, Reference List, and Key Words Index. The series
comprises the following nine procedural volumes:
The Removal Response Decision: Site Discovery to Response Decision
Action Memorandum Guidance (Dir. 9360.3-01)
Response Management: Removal Start-up to Close-out
Removal Enforcement Guidance for On-Scene Coordinators (Dir. 9360.3-06)
Public Participation Guidance for On-Scene Coordinators: Community Relations
and the Administrative Record (Dir. 9360.3-05)
Removal Response Reporting (Dir. 9360.3-03)
Special Circumstances
Guidance on the Consideration of ARARs During Removal Actions (Dir. 9360.3-02)
State Participation in Federal-lead Removal Actions
In addition, the series includes an Overview volume, containing a compreuensive Table of
Contents, List of Exhibits, Key Words Index, List of Acronyms, and Glossary, for use as a quick
reference.
in
-------
The purpose of this document is to provide information to On-Scene Coordinators and site
managers on State participation in Federal-lead Superfund removal actions; it does not cover
removal actions conducted under the Oil Pollution Act of 1990. This document is one of ten
volumes included in the Superfund Removal Procedures manual, which provides information on
implementing various aspects of the removal program.
Historically, the Superfund removal program has emphasized surface cleanup to mitigate
"imminent and substantial threats" to the public health and welfare and the environment posed
by hazardous substances, pollutants, or contaminants. Broadened authority under the current
National Oil and Hazardous Substances Pollution Contingency Plan (NCP) and mandates set forth
in the Management Review of the Superfund Program widen the scope of the removal program
in accomplishing early actions to achieve more efficient and effective response at hazardous
waste sites, EPA encourages State involvement in all aspects of the removal program, through
the increased use of the technical and managerial capabilities of States.
EPA's intent is to foster an effective and cooperative relationship with States in implementing
the goals of the Superfund program. CERCLA §104(d)(l) authorizes EPA to enter into
cooperative agreements and Superfund contracts with States; the NCP authorizes EPA to enter
into Superfund Memoranda of Agreements (SMOAs) with States. Although these agreements
are beyond the scope of this document, they are examples of EPA's intent to provide States with
the opportunity for substantial and meaningful involvement in the Superfund program.
The EPA/State alliance is important to the Superfund removal process.
IV
-------
TABLE OF CONTENTS
List of Exhibits viii
Key to Symbols viii
EPA/State Coordination in Federal-Lead Removal Actions 1
Program Organization 1
Scope 1
Authorization for State Involvement 2
Removal Program Coordination with the State 3
Anticipated or Newly Initiated Site Activities 4
Identification of Applicable or Relevant and
Appropriate Requirements (ARARs) 5
Ongoing Site Activities 5
Institutional Controls 5
State Support in Federal-Lead Removal Actions 6
Types of State Activities 6
ARARs 6
Evacuation 7
Post-Removal Site Control 8
Other State Activities 8
Suggested State Activities 9
Community Relations 9
Site Security 10
Analytical Support 10
PRP Searches, Enforcement, and Oversight Activities 10
Specialized Response and Monitoring Equipment 10
Other Suggested State Activities 10
Resources for Increasing State Response Capabilities 13
Core Program 13
Peer Match Program 13
Funding 14
Non-Allowable Costs 14
-------
TABLE OF CONTENTS (continued)
Training to Increase States' Capabilities in the Removal Program 14
State Role Documentation 16
Appendix A: References
Appendix B: Key Words Index
LIST OF EXHIBITS
Exhibit
Number
1 State Support in Federal-Lead Removal Actions 12
2 State Participation Checklist 17
KEY TO SYMBOLS
Bracketed numbers [#] appearing in the text correspond to specific references in Appendix A.
This appendix provides a comprehensive list of supporting guidance documents that may be
consulted for more detailed explanations of removal program procedures or policies on State
participation in the removal program.
VI
-------
EPA/State Coordination
STATE PARTICIPATION IN
FEDERAL-LEAD REMOVAL ACTIONS
EPA/State Coordination in Federal-Lead Removal Actions
Program Organization
The National Oil and Hazardous Substances Pollution Contingency Plan (NCP) establishes
an organizational framework, known as the National Response System, for planning and
conducting all Superfund response activities, including removal actions. This framework
defines the roles, responsibilities, and interrelationships among EPA, all other Federal
agencies, specialized government response teams, the States, and local governments.
EPA's intent is to promote a continuing meaningful communication between EPA Regions
and States in order to ensure the highest priority sites are being addressed and to avoid
unnecessary duplication of effort.
Responsibility for providing overall policy guidance, resource planning and allocating, and
programmatic direction for EPA's removal program rests with the EPA Headquarters'
Office of Emergency and Remedial Response. EPA regional offices are responsible for
day-to-day operations of the removal program. They are primarily responsible for
evaluating releases of hazardous substances, conducting removal response activities, and
obtaining approval from Headquarters for removal actions when necessary.
Scope
The scope of the CERCLA portion of the removal program can be defined in terms of:
(1) the incidents and threats it addresses; (2) the range of hazardous substances.
pollutants, and contaminants it addresses; and (3) the types of response actions taken.
The program addresses over 7,000 substances that contaminate national priorities list
(NPL) and non-NPL sites, and covers a variety of incidents ranging from transportation
accidents to releases at inactive facilities or hazardous waste sites. The program addresses
diverse types of threats such as drinking water contammauon. fire and explosion, and
direct contact with hazardous substances.
For non-time-critical removal actions costing over $2 million. Regions should request
State participation (e.g., funding or in-Kind services). Although a State cost share is not
required under the Comprehensive Environmental Response Compensation and Liability
Act (CERCLA) §l()4(c)(3) for a removal action, EPA's capacity to fully fund certain
costly non-time-critical removal actions may be limited without State assistance. The
Regional Decision Team (RDT) must evaluate whether the urgency of response is great
enough to justify the absence of the State contribution [12].
-------
EPA/State Coordination
Early actions under the Supertund Accelerated Cleanup Model (SACM) must meet all of
the statutory and regulatory requirements of whichever authority is used (including time
and dollar limitations for removal actions, and State assurances for remedial actions) and
generally should not be started before the possibilities for enforcement are pursued,
depending on the urgency of the situation. Where post-removal site control (PRSC) or
other insurances are important considerations, it may be preferable to undertake early
actions with remedial rather than removal authority.
EPA Headquarters may support non-time-critical removal actions costing more than $2
million and less than $5 million even if the State is unable to participate. Headquarters
will also consider projects costing over $5 million, but the Region will need to make a
compelling case for undertaking the work without receiving a contribution from the State.
Authorization for State Involvement
State and local governments play an important role in removal activities. They are often
the first responders at the scene of a release. In many cases, State, local and/or
Potentially Responsible Party (PRP) resources may adequately address the situation. State
authority beyond the first response for federally funded actions is outlined in CERCLA.
as amended by the Supertund Amendments and Reauthorization Act (SARA), and the
NCP, 40 CFR Part 300, Subpart F [2].
Under CERCLA, States with the capability to carry out a response action may be
authorized to lead certain cleanup efforts at a Supertund site. In 1986, Congress amended
CERCLA and passed SARA, strengthening the partnership between the Federal and State
governments by allowing more State involvement in Superfund activities. The NCP
outlines the requirements for State involvement as the lead in non-time-critical removals
or as the support agency in all phases of Superfund response actions. If the Stale and
Region are in agreement, the Region may designate the State to lead a response action
at a site, provided that the State has the capability and authority under State law to
undertake the action. In any case, States as well as EPA regional offices must follow the
NCP (§3(X).415) lor conducting removal actions.
The NCP, 40 CFR Part 35, Subpart O describes requirements for entering into cooperative
agreements1 with States to lead or support response actions and implement the Superfund
program [1]. A response-specific cooperative agreement (CA) may specify the State as
the lead or as the support agency to EPA.
A cooperative agreement documents the transfer of Federal funds to a State, political subdivision
or federally-recogni/.ed Indian Tribal government to undertake the lead for site-specific response.
or to defray the costs associated with participation in Federal-lead or political subdivision-lead
responses or other CERCLA implementation activities.
-------
EPA/State Coordination
The NCP (§300.525) and the regulations for removal response cooperative agreements
(§35.6205), specify that CAs may be used in the removal program in two areas:
(1) Site-specific State-lead non-time-critical removal actions (where the State is
fully responsible for the action, hires and manages cleanup contractors, and takes
enforcement actions); and
(2) Management support to site-specific EPA-lead non-time-critical removal
actions (on a case-by-case basis, and with EPA Headquarters' concurrence).
Under this provision, States may take the lead for Federally-funded removals only for
non-time-critical actions. However, site cleanup need not be delayed if fulfilling the
requirements of the NCP, including preparation of the engineering evaluation/cost analysis
(EE/CA) or equivalent (NCP §300.415(b)(4)(i)) and public participation (NCP
§300.4l5(n)(4)) actually takes less than six months. In other words, just because an
action has been determined to be non-time-critical, does not mean that the planning period
must take six months. As long as the requirements of the NCP are met, a non-time-
critical removal action may begin, if the parties are ready.
Removal Program Coordination with the State
The EPA Regions should involve States as often as possible in an appropriate manner.
Having a representative of each State in the RDT will facilitate regional discussions and
establish a process for State involvement during SACM decision-making [12]. The NCP
states that "the basic framework for the response management structure is a system (e.g.,
a unified command system) that brings together the functions of the Federal Government,
the state government, and the responsible party to achieve an effective and efficient
response, where the OSC maintains authority." (NCP § 300.105(d))
EPA should consult with a State on all removal actions to be conducted in that State.
EPA should also consider State concerns when conducting removal actions in that State.
The areas for State concern include, but are not limited to:
• Anticipated or newly initiated site activities:
• Identification of Applicable or Relevant and Appropriate Requirements
(ARARs); and
• Onuoinc site activities.
-------
EPA/State Coordination
Anticipated or Newly Initiated Site Activities
Effective communication between EPA and the State begins when they exchange lists of
appropriate contacts for a particular site or type of response. All parties should be notified
of anticipated, initial, and ongoing site activities. In discussions with the State, the Region
may wish to suggest that t^ Slate designate a person to be the primary coordinator or
contact person with the On-Scene Coordinator (OSC) for Federal-lead removal actions.
This will help improve communication with the different programs within a particular
State. This individual could be the Regional Response Team (RRT) member, Superfund
contact person, or other multi-media official within the State agency who is generally
familiar with the removal program and the NCP requirements.
When practicable, considering the immediacy of the threat, EPA should notify the
appropriate State agency before beginning a removal action. Federal action may be
inappropriate if the State has an enforcement action pending which would address the
situation at the site withou: Federal involvement. EPA should also notify the appropriate
State contact when there is actual or potential injury to, destruction of, loss of, or threat
to natural resources (NCP §300.615). States should be kept informed of negotiations
concerning site assessment activities and early actions [12].
Open lines of communication between EPA and State staff are important, regardless of
who the lead agency is in a removal action. They are particularly important when the lead
is transferred from one agency to another. Open communication will ensure that the
highest priority sites are handled without unnecessary duplication of effort. The EPA
Regions and the States should develop two-way communication concerning Federal and
State response actions. Regions are responsible for working out the appropriate
arrangement with each of their States. Coordination among removal, remedial and State
agency personnel is critical to the success of SACM; the RDT should foster that
coordination by encouraging cooperation and communication.
The contact person in the EPA Region as well as in the State should be designated well
in advance, so that members of the public with concerns about a removal action in their
community can call either EPA or the State and receive appropriate answers. In many
instances, State and local personnel arc familiar with the history of the site and are better
able to provide information on present and past ownership of the site and often on past
practices as well. Local and State personnel are more knowledgeable on the local
availability of equipment, material and services which can greatly assist the OSC in
carrying out a successful and less costly response. All Federal news releases or statements
by participating agencies though, should be cleared through the OSC at Federal-lead
response actions (NCP §3(X).155(b)).
The Association of State and Territorial Solid Waste Management Officials encourages
its member States to enter into Superfund Memoranda of Agreements (SMOA) with EPA
Regions. The non-legally-binding SMOA documents the agreed-upon relationship between
-------
EPA/State Coordination
EPA and the State as regards Superfund activities. It can cover issues such as review
times, sharing of documents, and site-lead responsibilities. SMOA terms range from very
broad to very specific.
Identification of ARARs
Activities performed at CERCLA removal sites may be subject to ARARs, which must
be identified on a site-specific basis. As additional information is obtained about the site
and the responses being considered, other ARARs may be identified. OSCs are
responsible for requesting State identification of ARARs; States are responsible for
providing the OSC with potential State ARARs in a timely manner [6]. (See "Types of
State Activities" on page 6.)
Ongoing Site Activities
OSCs are encouraged to meet with States on a periodic basis (e.g., monthly, quarterly) to
discuss ongoing site activities. In the event of a Federal-lead removal, early and
continuous involvement with the State may help avoid the difficulties that can arise when
the Federal removal program is unaware of the State's concerns.
Institutional Controls
Institutional controls generally limit human activities at or near sites where hazardous
substances remain. Types of institutional controls include land and reso-'.rce use or deed
restrictions, well-drilling prohibitions, building permits, and well use advisories. EPA will
inform States of any decision or recommendation concerning the use of institutional
controls following removal actions where waste is left on site and may obtain a State
commitment for part or all (PRSC) measures, prior to or after the initiation of a response
[2, 4].
-------
State Support
State Support in Federal-Lead Removal Actions
In an emergency, on-site activity should begin as soon as possible after verification of a
release or threat of a release. A removal action is time-critical when EPA determines that
on-site removal activity must begin within six months. Though State and local
organizations may be the first government representatives at the scene, their ability to fully
mitigate the release may be limited. Therefore, the role of the State representative
becomes supplementary to that of the Federal OSC in emergency and time-critical removal
actions after EPA takes the lead.
States may become involved in any type of removal action: emergency, time-critical, and
non-time-critica!. States may provide voluntary support only at emergency and time-
critical removal actions, but may become involved as a lead or support agency in non-
time-critical removal actions. However, when at least six months is available before an
on-site response action must be initiated, the NCP requires that the lead agency conduct
an EE/CA (NCP §300.415(b)(4)(i)) and expanded public participation (NCP
§300.415(n)(4)). Site cleanup need not be delayed if fulfilling the requirements of the
NCP, including the EE/CA and public participation, actually takes less than six months.
This section describes activities in which State participation is required or suggested.
Many activities are not specific to one type of removal action and may be conducted
under different types of removal actions. Exhibit 1 provides a summary of the major State
support activities.
Types of State Activities
States are required to identify ARARs in a timely manner (NCP §300.4()0(g) and
§300.525(d)). In addition, States are expected tu initiate public safety measures, direct
evacuation, if necessary (NCP §300.180(0), and conduct PRSC meayires (NCP
§300.415(1) and §300.525).
ARARs
According to the NCP, Subpart F §3()().525(d), States should identify and provide to the
lead agency in a timely manner any potential State ARARs, to ensure that State ARARs
are considered during the removal planning process [2, 3, 6|. (See "Removal Program
Coordination with the State" on page 3.)
-------
State Support
There are three types of ARARs which may be identified at Superfund sites:
• Location-specific ARARs regulate actions based on the characteristics or
location of the site (e.g., presence of wetlands, habitat of endangered
species);
• Ambient or chemical-specific ARARs place limitations on the concentrations
and/or amount of hazardous substances, pollutants or contaminants released
into the environment; and
• Performance, design, or other action-specific ARARs specify established
standards for the design or performance of an activity.
Removal and remedial actions do not have the same requirements for meeting ARARs.
Under Section 121 of SARA, remedial actions must attain or exceed ARARs for wastes
that remain on site, unless waived pursuant to 40 CFR 300.430(0(1 )(ii)(C). For removal
actions, however, compliance is not mandatory because the scope of the removal or the
urgency of the situation may make it impractical for OSCs or lead agency personnel to
identify and meet all ARARs. Although CERCLA does not require the removal program
to comply with ARARs, the NCP and current EPA policy have established that ARARs
will be attained to the extent practicable considering the exigencies of the situation (NCP
§300.415(j)).
In cases of Tnergency removal actions or emergency actions taken during remedial actions
under CERCLA. where the release poses an immediate and significant threat to human
health and 'he environment, 40 CFR §30().44()(a)(2) states that the OSC mav determine
that it is necessary to transfer CERCLA waste off site without following the requirements
of 40 CFR *n(M).440. ;For more information on the off-site disposal rule, refer to the
NCP at 40 CFR $300.440, "Procedures for planning and implementing off-site response
actions.")
Evacuation
State and local agencies have the authority and are expected to initiate and direct public
safety measures that are necessary to protect public health and welfare. These agencies
are also usually the first to respond to an emergency. Following the initial discovery of
the release of a hazardous substance, pollutant, or contaminant, and prior to the arrival of
the OSC and the start of Fund-financed response. State and local authorities are
responsible for coordinating all State and local evacuation measures, and temporarily
relocating the affected persons. During a Federal removal action, the OSC will
temporarily relocate the affected community, if necessary.
-------
State Support
PRSC
PRSC refers to those activities that are necessary to sustain the integrity of a Fund-
financed removal action following its conclusion. These activities, such as relighting gas
flares, replacing filters, and collecting leachate, are necessary for assuring the continuing
effectiveness of a removal action after the completion of the Fund-financed removal
activities. PRSC continues until such time as:
• The State, local government, potentially responsible party (PRP), or
remedial program implements a permanent remedy; or
• No further site control is necessary.
PRSC is more appropriately conducted by the affected State, local government, PRP, or,
in some cases, by the remedial program; therefore, EPA will request that the State, local
government, or the PRP provide PRSC.
If no commitment is made to provide for PRSC, EPA should avoid taking any action that
requires continuing site control activities if other reasonable response actions exist. Where
there are no other reasonable actions, EPA will respond to the initial threat, ensuring that
the emergency has been mitigated and then terminate its involvement in the action [4].
Other State Activities*
Under §300.180 of the NCP, each State government is encouraged to:
• Designate an office or agency to represent the State on the appropriate
RRT. This representative may participate fully in all RRT activities;
• Designate the lead State agency that will direct State-supervised response
operations when the State has been designated as the lead agency at
Superfund sites;
• Include contingency planning for responses, consistent with the NCP,
regional contingency plans, and area contingency plans in all emergency
and disaster planning;
• Support enforcement actions by providing PRP information to the RDT
112]; and
Under the SACM initiative, the State government is encouraged to designate the State representative
on the RDT who will be involved in the RDT's decision-making process 112|.
8
-------
State Support
Undertake response actions themselves, or use State authorities to compel
PRPs to undertake response actions.
Suggested State Activities
States may provide voluntary support to EPA in other areas. Voluntary support includes,
but is not limited to:
• Community relations;
• Site security;
• Analytical support;
• PRP searches, enforcement, and oversight; and
• Specialized response and monitoring equipment.
Any support provided by State or local government at Federal sites needs to be
coordinated with the Federal OSC.
Community Relations
States are not required to provide community relations support for removal actions;
however, States are usually more familiar with local communities and consequently may
be better suited for communicating directly with local citizens about their concerns [13].
States may provide community relations assistance in the following areas:
• Responding to inquiries concerning the removal action:
• Holding meetings and drafting press releases to inform communities and
public and private interests of the actions taken:
• Interviewing local officials, community residents, public interest groups, or
other interested parties, for information about the PRP and the site:
• Assisting in the preparation of community relations plans [14]; and
• Establishing local information repositories.
-------
State Support
Site Security
Some sites need barriers to trespassers, vandals, children, or stray animals as a means of
protection until the site is rendered safe. When police protection or security services are
warranted, States may provide the Federal removal program with these services until the
removal has been completed or the immediate threat has been mitigated.
Analytical Support
Many States have efficient and reliable analytical laboratories and have occasionally
provided analytical laboratory support at Federal-lead removal sites. States may provide
the services of State laboratories at Federal-lead responses. State laboratories generally
charge for their services; however, agreements for exchanging services between EPA and
the States could be made.
PRP Searches, Enforcement, and Oversight Activities
State capabilities and authorities to conduct enforcement activities vary. Most States have
the capability and authority to conduct a PRP search and issue notice letters, where
applicable. Each Region should work with its States to develop a general strategy for
enforcement and State participation. State enforcement-lead actions must be planned
under documents enforceable by State law and overseen by the States [12].
Specialized Response and Monitoring Equipment
Some States have specialized response and monitoring equipment which could be very
useful during a Federal-lead response. Such support includes provision of weather
stations, technical references, air monitoring and drum sampling equipment, flow-meters,
hazard categorization supplies, overpack drums, and related items.
Other Suggested State Activities
There are numerous support activities where States can be involved, particularly where
States have their own programs that deal with hazardous waste sites. These activities may
be outlined in a SMOA, specified in a site-specific CA, or performed with State funds.
Other suggested activities include, but are not limited to:
• Providing site background information, permit and compliance histories,
prior analytical results, and potential information on hazards to the OSC.
• Facilitating technology transfer - encouraging the involvement and sharing
of technology by industry and other experts with Federal removal
personnel.
10
-------
State Support
Identifying off-site facilities -- locating permitted off-site treatment, storage,
and disposal facilities.
Identifying sensitive areas and ecosystems — identifying and assisting in
determining the impact of a removal action on sensitive areas and
ecosystems.
Performing a complete phase of the Superfund process e.g., an EE/CA or
a remedial investigation. On completion of the preliminary assessment and
site inspection, or after the expanded site inspection under SACM, if the
site is likely to score 28.5 or more on the Hazard Ranking System, a State
may conduct a remedial investigation under a CA with EPA [12, 15].
Performing contractor/PRP oversight through a CA. (Oversight requirements
are usually defined in the agreement.)
Performing cleanup/mitigative/enforcement action -- conducting a cleanup
or mitigative or enforcement action at sites at which 'no further remedial
action [is] planned' (NFRAP). (Such sites, at which no further Federal
cleanup work will be performed, were previously designated 'site evaluation
accomplished' or SEA [12].)
Responding (under State authority) to NPL-caliber sites under EPA's new
State deferral policy [17j.
11
-------
State Support
EXHIBIT 1: STATE SUPPORT IN FEDERAL-LEAD REMOVAL ACTIONS
STATE ACTIVITIES
ARARs
Evacuation
PRSC
States are responsible for identifying State ARARs
in a timely manner, NCP §300.400(g) and
§300.525(d).
State and local agencies are expected to direct
evacuations according to existing State (or local)
authorities and procedures, NCP §300.180(0.
Unless a removal action is extended, States are
encouraged to assume any necessary PRSC, NCP
§300.415(1) and §300.525(c).
SUGGESTED STATE ACTIVITIES
Community Relations
Site Security
Analytical Support
PRP Searches, Enforcement, and
Oversight
Specialized Response and
Monitoring Equipment
Possible activities include: responding to public
inquiries; conducting public meetings; interviewing
interested parties; assisting in community relations
activities; establishing an information repository, as
described in the NCP §300.4 1 5(n).
Possible activities include providing police
protection or security services until the site is
rendered safe.
States can provide analytical laboratory services
when necessary. An exchange of services between
EPA and States can be made for this assistance.
States can conduct a PRP search, issue notice
letters, and perform oversight activities.
Some States have speciali/cd response and
monitoring equipment, such as flow-meters, hazard
categori/ation supplies, overpack drums, drum
sampling and air monitoring equipment, weather
stations, etc., which are very useful during a
Federal-lead response.
12
-------
Resources
Resources for Incasing State Response Capabilities
Core Program
The Core program (authorized in CERCLA and referenced in 40 CFR Part 35, Subpart
O), is available to States to begin or continue to participate in the Superfund program.
All States can receive Core program funding and are encouraged to enter into Core
program CAs3 to establish a Superfund program that allows them to implement CERCLA
and comply with EPA's regulations. Regulatory language in Subpart O encompasses all
"CERCLA implementation activities," including both remedial and removal activities [7,
8].
Peer Match Program
The Peer Match program offers State-to-State technology transfer, which allows States to
share their expertise with other States having lesser developed Superfund programs. This
program is funded by the EPA Headquarters' Office of Emergency and Remedial
Response and is implemented by the Association of State and Territorial Solid Waste
Management Officials.
CONTACTS FOR STATE FUNDING
CORE PROGRAM
PEER MATCH PROGRAM
State and Regional Coordination Branch
U.S. EPA
OSWER (5203-G)
401 M Street, S.W.
Washington, DC 20460
Phone: (703) 603-8797
Fax: (703) 603-8885
Contact: Dave Evans
Association of State and Territorial Solid
Waste Management Officials
444 North Capitol Street, N.W.
Suite 388
Washington, DC 20001
Phone: (202) 624-5828
Fax: (202) 624-7875
Contact: Kris Hoellcn
States or Indian Tribes may apply to EPA tor Core program CAs to conduct CERCLA
implementation activities that are not directly assignable to specific sites, but are intended to support
a State's or Indian Tribe's ability to participate in the CERCLA response program. Reter to 40
CFR §35.6215 for more details.
13
-------
Resources
Funding
EPA provides financial assistance to States through CAs that may be used for cleanup,
enforcement, and support functions at non-time-critical removal actions. Requirements
for CAs are included in 40 CFR Part 35, Subpart O, "Cooperative Agreements and
Superfund State Contracts for Superfund Response Actions." The CA outlines roles and
responsibilities, and transfers cleanup funds from EPA to the State. Subpart O describes
the mechanism for prescribing the fiscal, administrative, and management responsibilities
associated with accepting Federal monies for Superfund response actions.
Use of these funds carries specific regulatory requirements regarding involvement of
disadvantaged business enterprises (DBEs). Recipients of Fund monies, both States and
private firms, are required to take specific affirmative steps to ensure that DBEs are used
whenever possible as sources of supplies, construction, and services [10].
Non-Allowable Costs
The removal program will not fund State support costs which are not specifically
authorized by the OSC, or outlined in a CA. Additionally, the removal program will not
fund any on-scene task conducted by the State that was not specifically requested by the
OSC, except under extraordinary circumstances.
Training to Increase States' Capabilities in the Removal Program
EPA offers a training program entitled "Environmental Response Training Program (165
Series)" for personnel who respond to emergencies or investigate and clean up hazardous
waste sites. This program is a compilation of several training courses for EPA and other
Federal, State, and local personnel.
Most of the courses are taught by the Environmental Response Team (ERT) in Federal
regional offices, through the U.S. EPA Environmental Response Training Program
(ERTP). Training involves problem-solving, review of case studies, and demonstrations,
as well ;is exercises using response equipment and instruments. Each Region offers 10
to 15 courses each fiscal year, with approximately half of the vacancies allotted to State
personnel. Course topics include:
• Hazardous Materials Incident Response Operations
• Hazardous Materials Treatment Technologies
• Personal Protection and Safety
• Emergency Response to Hazardous Material Incidents
14
-------
Resources
• Ground-water Investigations
• Air Surveillance for Hazardous Materials
• Risk Assessment Guidance for Superfund
These courses offer a variety of skills to individuals and provide States with a sound
foundation for participating in response activities. There is no tuition cost for State or
local government response personnel.
For more information on ERTP training courses, contact:
The Environmental Response Training Program
U.S. Environmental Protection Agency
26 W. Martin Luther King Drive (B-3)
Cincinnati. OH 45268
(513) 569-7537
These courses are offered in each EPA Region and at the Environmental Response
Training Centers located in Cincinnati, OH and Edison, NJ. For more information or to
obtain an application form, contact :
The Training Registrar
U.S. EPA Environmental Response Training Program
3280 River Road
Cincinnati, OH 45204
(513) 251-7776 or (513) 251-7669
Fax: (513) 251-4137
15
-------
Documentation
State Role Documentation
The role of the State in Federal-lead removal actions should be documented by the OSC.
State requests, assistance, first-responder actions, or any response activity should be
recorded in the Action Memorandum as described in the Superfund Removal
Procedures—Action Memorandum Guidance [9], and in Pollution Reports (POLREPs) as
described in Superfund Removal Procedures—Removal Response Reporting [5].
Once the removal action is completed, actions by State and local agencies should be
recorded in the final POLREP and the OSC Report, if prepared. The Report should
describe all State and local activities (including PRSC) which helped or hindered the
response action. It is recommended that the OSC document in the OSC Report the terms
of the CA/SMOA signed by EPA and the State/political subdivision. Guidelines for
documenting State actions in an OSC Report are found in the Superfund Removal
Procedures—Removal Response Reporting [5].
State Participation Checklist
The following checklist (Exhibit 2) will assist the OSC in ensuring appropriate State
involvement in all aspects of a removal action.
16
-------
Documentation
EXHIBIT 2: STATE PARTICIPATION CHECKLIST
The OSC is primarily responsible for directing response actions and coordinating the
efforts of State, local, and private agencies during a Federal-lead removal. This suggested
checklist will assist the OSC in ensuring appropriate State involvement when a State is
involved in a Federal-lead removal action. The checklist is meant to be used as a guide;
depending on site conditions and the required response activities, some of the steps
provided below may not be applicable to every removal action.
Discovery and Notification
Determine whether an immediate response is necessary upon notification of a
release or potential release from the National Response Center (NRC), State, or
local authorities.
Contact the State if release information was received from another source.
Determine if State, local response personnel (e.g., police, fire or public health
departments), and/or PRPs are able to adequately respond to the release or
threatened release.
Initiate a Federal response when it is apparent that the State, local agencies, and/or
PRP lack the resources or expertise to respond.
Keep a record of oral and/or written communication from the State indicating their
inability to adequately respond to the site.
Pre-Removal Activities
Determine the urgency of the threat.
Inform tb ^ State Project Officer (if the release notification \ ...s not originally
received from the State).
Notify the State Project Officer and the EPA Headquarters' Regional Coordinator
for situations of congressional and/or high media interest.
17
-------
Documentation
EXHIBIT 2: STATE PARTICIPATION CHECKLIST (CONTINUED)
Removal Site Evaluation
Conduct the following with the State's assistance, when available:
Identify the source and nature of the release or threat of release;
Identify the pathways of human and environmental exposure; and
Evaluate the magnitude of the threat.
Consult with the Agency for Toxic Substances and Disease Registry.
Contact State public health facilities, if necessary.
Notify the appropriate State contact of potential injury/damage to natural resources.
Collect and review, if available, the following information from the State and other
sources, where applicable:
Current and previous site management practices;
Information from generators;
Historical and current photographs;
Literature searches; and
Personal interviews of workers, local officials, and local residents.
Identify and contact PRPs in coordination with the State and the regional
enforcement staff.
Ask the State to identify all State ARARs.
Determine the need for a removal action, and submit an Action Memorandum to the
Regional Administrator or appropriate authority for approval. Include any relevant
State information in the Action Memorandum.
18
-------
Documentation
EXHIBIT 2: STATE PARTICIPATION CHECKLIST (CONTINUED)
If no action is required, then:
Prepare a report that indicates the site does not warrant action; and
Forward a copy of the report to the State Project Officer.
Evaluation Results
Inform the State Project Officer of PRP notifications, and of any subsequent PRP
activities.
Establish the potential for State PRSC.
Removal Action
Define State participation activities with the assistance of the State Project Officer
before the removal action begins:
Community relations
Site security
Analytical support
ARARs
Evacuation
PRSC
Specialized response and monitoring equipment
Other
Document State participation and provide funding, if appropriate, through a CA.
Cooperate with the State representative in assessing damages to natural resources.
19
-------
Documentation
EXHIBIT 2: STATE PARTICIPATION CHECKUST (CONTINUED)
Removal Closure
Ensure PRSC is in place upon site closure where necessary.
Notify the State Project Officer of demobilization and site closure.
20
-------
APPENDIX A: REFERENCES4
[1] Administrative Regulation on Cooperative Agreements and Superfund State Contracts, 40
CFR Part 35 Subpart O.
[2] The National Oil and Hazardous Substances Pollution Contingency Plan (NCP), 40 CFR
Part 300.
[3] Environmental Review Requirements for Removal Actions, OSWER Directive #9318.0-05
(April 1987).
[4] Policy on Management of Post-Removal Site Control, OSWER Directive #9360.2-02,
PB91-921326 (December 1990).
[5] Superfund Removal Procedures—Removal Response Reporting, OSWER Directive
#9360.3-03, PB93-963421 (July 1994).
[6] Guidance in the Consideration of ARARs During Removal Actions, OSWER Directive
#9360.3-02 (August 1991).
[7] Final Guidance on State Core Program Funding Cooperative Agreements, OSWER
Directive #9375.2-01 (December 1987).
[8] Funding for State Core Program Cooperative Agreement for State-Specific Additional
Functions, OSWER Directive #9375.2-03 (August 1988).
[9] Superfund Removal Procedures—Action Memorandum Guidance, EP.V540/P-90/004,
Control #9360.3-01, PB90-274-473 (December 1990).
[10] Superfund: Qualified Disadvantaged Business Utilization in State Response, OSWER
Directive #9375.5-13FS, PB92-963283 (April 1992).
[11] Guidance on Implementation of the Superfund Accelerated Cleanup Model Under
CERCLA and the NCP, OSWER Directive #9203.1-03, PB93-963252 (July 7,
1992).
[12] Five fact sheets on the Superfund Accelerated Cleanup Model (SACM). OSWER
Directive #9203.1-051. PB93-963262 - 266, Volume 1, Number:, 1 - 5 (December
31, 1992).
[13] Public Participation Guidance for On-Scene Coordinators: Community Relations and the
Administrative Record, OSWER Directive #9360.3-05, PB92-963416 (July 1992).
Bracketed numbers appear throughout the text and correspond to the references listed in this
appendix. Consult these references for additional information.
A-l
-------
[14] Community Relations in Superfund: A Handbook, OERR #9230.0-03C, EPA/540/R-
92/009, PB92-963341 (January 1992).
[15] Integrating Removal and Remedial Site Assessment Investigations, OSWER Directive
#9345.1-16FS, EPA 540-F-93-038, PB93-963341 (September 1993).
[16] Guidance on Deferral of NPL Listing Determinations While States Oversee Response
Actions, OSWER Directive #9375.6-11, PB95-963223 (May 1995).
Other Useful References
Superfund Removal Procedures manual, OSWER Directive #9360.0-038 (February 1988).
State and Local Involvement in the Superfund Program, OSWER Directive #9375.5-01/Fact Sheet
(Fall 1989).
Enhancing State Superfund Capabilities: Nine-State Study—A Report by the Environmental Law
Institute to the Office of Policy, Planning and Evaluation, U.S. EPA, OSWER Directive
9375.6-09, PB91-242363 (December 1990).
Analysis of State Superfund Programs: 50-State Study, 1991 Update, OSWER Directive #9375.6-
08B, PB92-963418, (December 1991).
A-2
-------
APPENDIX B: KEY WORDS INDEX
Agency for Toxic Substances and Disease Registry (ATSDR) 18
Applicable or Relevant and Appropriate Requirements (ARARs) 3, 5-7, 12, 18, 19
Association of State and Territorial Solid Waste Management Officials 4, 13
Cooperative Agreements (CA) 2, 3, 10, 11, 13, 14, 16, 19
Core Program 13
Disadvantaged Business Enterprises (DBE) 14
Emergency 6-8, 14, 15
Engineering Evaluation/Cost Analysis (EE/CA) 3, 6, 11
Funds/Funding 1, 10, 13, 14, 19
National Oil and Hazardous Substances Pollution Contingency Plan (NCP) .... 1-4, 6-8, 12
National Priorities List (NPL), Non-NPL 1,11
Non-Time-Critical Removal 1-3, 6, 14
Peer Match Program 13
Post-Removal Si'- Control (PRSC) 2, 5-8, 12 16, 19, 20
Regional Decision Team (RDT) 1, 3, 4, 8
Remedial Investigation (RI) 11
Regional Response Team (RRT) 4, 8
Superfund Accelerated Cleanup Model (SACM) 2-4, 8, 11
Superfund Memorandum of Agreement (SMOA) 4, 5, 10, 16
Time-Critical Removal 6
B-l
------- |