United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
EPA 540-F-96-023
OSWER 9360.3-07FS
PB96 - 963414
December 1996
EPA State Participation in Federal-Lead
Removal Actions
Office of Emergency and Remedial Response (5202G)
Quick Reference Fact Sheet
This fact sheet, based on OSWER Directive 9360.3-07, entitled "State Participation in Federal-Lead Removal
Actions," provides information to On-Scene Coordinators, Remedial Project Managers, and other Superfund personnel
to encourage State participation in Federal-lead Superfund removal actions. The Directive is one of a 10-part series
of volumes replacing the Superfund Removal Procedures (SRP) manual (OSWER Directive 9360.0-03B, February
1988). For further information on the SRP series, refer to the SRP Manual Bulletin (Publication 9360.3-111).
INTRODUCTION
EPA's intent is to foster an effective and cooperative
relationship with States in implementing the goals of
the Superfund program and to provide the States with
the opportunity for substantial and meaningful
involvement in the Superfund program. Broadened
authority under the current National Oil and
Hazardous Substances Pollution Contingency Plan
(NCP) and recent management mandates widen the
scope of the removal program.
AUTHORIZATION/LEGAL BASIS
The NCP (§300.525) outlines the requirements for
State involvement as the lead or support agency for
Superfund removal actions. 40 CFR Part 35, Subpart
O (§35.6205) describes requirements for entering into
Cooperative Agreements with States to lead or support
response actions under Superfund. Cooperative
Agreements may be used in the removal program in
two areas:
1. Site-specific State-lead non-time-critical removal
actions. In such cases, the State is fully
responsible for the action, hires and manages
cleanup contractors, and takes enforcement
actions.
2. Management support to site-specific EPA-lead
non-time-critical removal actions. Management
support is given on a case-by-case basis, and with
EPA Headquarters concurrence.
REMOVAL PROGRAM COORDINATION WITH
THE STATES
EPA Regions should involve States as often as
possible in an appropriate manner. An EPA Region
should consult with a State and consider its concerns
when conducting removal actions in that State.
Regions should consult with States especially on
anticipated or newly initiated site activities,
institutional controls, and post-removal site control.
STATE SUPPORT IN FEDERAL-LEAD
REMOVAL ACTIONS
States may become involved in any type of removal
action: emergency, time-critical, and non-time-
critical. States may only provide voluntary support 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 engineering evaluation/cost analysis
(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. The role of the State in Federal-lead removal
actions should be documented by the OSC in the
Action Memorandum, the Pollution Reports, and/or
the OSC Report, if prepared.
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
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TYPES OF STATE ACTIVITIES
States are required to identify applicable or relevant
and appropriate requirements (ARARs) in a timely
manner (NCP §300.400(g) and §300.525(d)). In
addition, States are expected to initiate public safety
measures, direct evacuation, if necessary (NCP
§300.180(0), and conduct post-removal site control
(NCP §300.415(1) and §300.525).
• ARARs: The NCP requires States to identify
and provide any potential State ARARs to the
lead agency in a timely manner, to ensure that
State ARARs are considered during the removal
planning process. However, for removal actions,
compliance is not mandatory, because the scope
of the removal or the urgency of the situation
may make it impractical for OSCs 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)).
• 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. State and
local authorities are responsible for coordinating
all State and local evacuation measures, and
temporarily relocating the affected persons after
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 a Fund-
financed response.
• Post-Removal Site Control: Post-removal site
control (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 is more appropriately
conducted by the State, local government,
potentially responsible party (PRP), or in some
cases, by the remedial program. Therefore, EPA
will request that the State, local government, or
the PRP provide PRSC.
Other State Activities
Each State government is encouraged to:
• Assign an office or agency to represent the State
on the appropriate Regional Response Team
(RRT);
• 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 and Regional
Contingency Plans, in all emergency and disaster
planning;
• Support enforcement actions by providing PRP
information to the EPA and/or the Regional
Decision Team; and
• Undertake response actions, if necessary, or use
State authorities to compel PRPs to undertake
response actions.
Suggested State Activities
States may provide voluntary support to EPA in other
areas. Such support includes, but is not limited to:
• Community Relations: While States are not
required to provide community relations support
for removal actions, they are usually more
familiar with local communities and therefore
may be better suited for communicating directly
with local citizens about their concerns.
Community relations assistance may include:
responding to questions about the removal
action; holding meetings and drafting press
releases; interviewing local officials, community
residents, public interest groups, about the
PRP(s) and the site; assisting in the preparation
of community relations plans; and establishing
local information repositories.
• Site Security: Some sites need barriers to
trespassers, vandals, children, or stray animals
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
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support at Federal-lead removal sites. States
may provide the services of State laboratories at
a Federal-lead response. State laboratories
generally charge for their services. Agreements
for exchanging services between EPA and the
States would be required to use State
laboratories.
• PRP Seaiches, 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.
• 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 •"(
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 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-sharing between Federal
removal personnel and industry experts;
• Identifying off-site treatment, storage, and
disposal facilities;
• Assisting in the identification of sensitive areas
and ecosystems;
• Performing a complete phase of the Superfund
process, for example, an engineering
evaluation/cost analysis or even a remedial
investigation, under a Cooperative Agreement
with EPA;
• Performing contractor or PRP oversight;
• Performing a cleanup, or mitigative, or
enforcement action at sites at which no further
remedial action is planned; and
Responding (under State authority) to NPL-caliber
sites under EPA's new State deferral policy.
RESOURCES FOR INCREASING
RESPONSE CAPABILITIES
STATE
1. 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. States can
receive Federal funding under the Core Program,
to implement all types of CERCLA activities,
after they enter into a Core Program Cooperative
Agreement with EPA.
2. The Peer Match Program is funded by EPA's
Office of Emergency and Remedial Response
and implemented by the Association of State and
Territorial Solid Waste Management Officials.
The Peer Match program offers State-to-State
technology transfer, which allows States to share
their expertise with other States having less
developed Superfund programs.
3. Funding is provided by EPA to States through
Cooperative Agreements that may be used for
cleanup, enforcement, and support functions at
non-time-critical removal actions. For
information on requirements for Cooperative
Agreements, refer to 40 CFR Part 35, Subpart 0.
Use of these funds carries specific regulatory
requirements regarding involvement of
Disadvantaged Business Enterprises. EPA will
not fund State support costs which are not
specifically authorized by the OSC or outlined in
a Cooperative Agreement.
4. Training is offered by EPA for personnel who
respond to emergencies or investigate and
cleanup hazardous waste sites. The training
program is a compilation of several training
courses for EPA and other Federal, State, and
local personnel. There is no tuition cost for
State or local government response personnel.
U.S. Environmental Protection Agency
Region 5, Library (PL-12J)
77 West Jackson Boulevard, 12th Floor
Chicago, IL 60604-3590
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FURTHER INFORMATION
For a copy of "State Participation in Federal-Lead
Removal Actions" or any other volume of the SRP
manual, contact:
National Technical Information Service
5285 Port Royal Road
Springfield, VA 22161
Phone: (703) 487-4650
EPA employees can order a copy by calling the
Superfund Document Center at (703) 603-8917.
Notice: The policies set out in this fact sheet
are not find Agency action, but are intended
solely as guidance. 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 fact sheet.
or to act at variance with the guidance, based
on an analysis of site-specific circumstances.
The Agency also reserves the right to change
this guidance at any time without public notice.
EPA
United States Environmental Protection Agency (5202G)
Washington, DC 20460
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