&EPA
Solid Waste and
Emergency Response
EPA 540-R-96-039
OSWER 9360.3-04
PB96-963407
September 1996
SUPERFUND REMOVAL
PROCEDURES
RESPONSE MANAGEMENT:
REMOVAL ACTION START-UP
TO CLOSE-OUT
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OSWER Directive 9360.3-04
PB96-963407
EPA540/R-96/039
September 1996
SUPERFUND REMOVAL PROCEDURES
RESPONSE MANAGEMENT:
REMOVAL ACTION START-UP TO CLOSE-OUT
Office of Emergency and Remedial Response
U.S. Environmental Protection Agency
Washington, D.C. 20460
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NOTICE
The procedures set out 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. Environmental Protection Agency (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 Agency also reserves the right to
change this guidance at any time without public notice.
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TABLE OF CONTENTS
Notice ii
List of Exhibits iv
Overview 1
Removal Authority 1
Scope of Response 2
Response Start-Up 4
Roles and Responsibilities 9
Response Teams 9
Environmental Protection Agency 14
Contract Resources 16
Other Federal Agencies 18
State and Local Governments 28
Procedures for Managing a Removal Action 29
Access Agreements 29
Worker and Visitor Health and Safety 33
Contractor Procurement and Oversight 37
Cost Management 41
Enforcement 45
Public Participation 48
Identification and Compliance with ARARs 50
Off-Site Storage, Treatment, and Disposal Procedures 50
Reporting and Recordkeeping 51
Project Close-Out 55
Definition of Action Completion 55
Post-Removal Site Control 55
Appendix A. References A-l
Appendix B. Key Words Index B-l
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LIST OF EXHIBITS
Exhibit 1: Roles of Other Federal Agencies at Non-Federal
Facility Sites 20
Exhibit 2: Response Management Checklist 30
Exhibit 3: Information Required for a Removal Action Accident Report 34
Exhibit 4: Allowable Costs for Superfund Removal Actions 44
IV
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This document is part of a ten-volume series of guidance documents collectively titled the Superfund
Removal Procedures. These stand-alone volumes update and replace Office of Solid Waste and
Emergency Response (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
Response Management: Removal Action Start-Up to Close-Out
Removal Enforcement Guidance for On-Scene Coordinators
Public Participation Guidance for On-Scene Coordinators: Community Relations
and the Administrative Record
Removal Response Reporting
Special Circumstances
Guidance on the Consideration of ARARs During Removal Actions
State Participation.
In addition, the series includes an Overview volume, containing a comprehensive Table of Contents,
List of Exhibits, Key Words Index, List of Acronyms, and Glossary, for use as a quick reference.
This document summarizes the relevant guidance and statutory authorities for providing response
management during removal actions. Appendix A provides a comprehensive list of supporting
guidance documents that may be consulted for additional information on relevant topics. Bracketed
numbers [#] appear throughout the text to indicate specific references in Appendix A. Consult the
referenced documents for a more detailed explanation of removal management policies and
procedures. In addition, appropriate sections of statutes and regulations are also cited throughout the
text, with a full citation of each statute and regulation also appearing in Appendix A. Appendix B
contains the Key Words Index.
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EPA On-Scene Coordinators (OSCs) are the managers of Superfund removal actions. OSCs conduct
removal activities and coordinate the activities of EPA personnel, other Federal and State agencies,
potentially responsible parties (PRPs), and contractors. Major activities undertaken by OSCs include:
• Ensuring worker and visitor health and safety;
• Procuring contractors and monitoring contractor performance;
• Managing schedules and costs;
• Providing enforcement support;
• Ensuring that the public is aware of activities at the site; and
• Documenting all activities and complying with administrative record requirements.
OSCs must manage not only the overall removal action but also
the day-to-day response activities.
VI
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OVERVIEW
The Superfund Removal Procedures Response Management: Removal Action Start-Up to Close-Out
guidance document provides general guidance for those involved in managing Superfund removal
actions. The document clarifies terms and concepts in the removal management process and provides
guidelines for accomplishing the different steps of a removal action. The remainder of this
introductory section presents an overview of the removal authority, describes the scope of response,
and discusses the different steps involved in response start-up.
Removal Authority
Section 104 of the Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), as amended, authorizes EPA to conduct a removal action whenever there is a
release or threatened release of a hazardous substance into the environment, or a release or
threatened release of a pollutant or contaminant that may present an imminent and substantial
danger to the public health or welfare. CERCLA section 101(23) and §300.5 of the National
Oil and Hazardous Substances Pollution Contingency Plan (NCP, 40 CFR Part 300) define
a removal action as the cleanup or removal of released hazardous substances from the
environment. This definition includes:
• Actions taken in the event of a release or threatened release of hazardous substances
into the environment;
• Actions taken to monitor, assess, and evaluate the release or threatened release of
hazardous substances;
• Disposal of removed material; or
• Other actions to prevent, minimize, or mitigate damage to the public health or welfare
or to the environment.
Removal actions are usually relatively short-term responses that may take place at sites on the
National Priorities List (NPL) as well as at sites not on the NPL. The specific situations in
which CERCLA-funded (also called Fund-financed) removal actions may occur are guided
by the criteria in §300.415(b)(2) of the NCP.
The EPA Regional On-Scene Coordinator (OSC) is the key manager at a removal action site.
The OSC directs response efforts and coordinates all other efforts at the scene of a release
or threatened release. The OSC directs and reviews the work of other Federal and State
agencies, responsible parties, and contractors to ensure compliance with the NCP; reviews and
approves all decision documents, enforcement orders, and lead-agency approved plans
applicable to the response; and ensures that all staff working on-site are adequately trained
and know all site operating and safety guidelines.
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OVERVIEW
Scope of Response
Amendments to CERCLA and revisions to the NCP have provided Superfund response
personnel with the flexibility to expeditiously address threats at both NPL and non-NPL sites.
The urgency of the situation determines the type of removal action ultimately taken; because
removal actions vary according to their urgency, OSCs may manage a wide range of technical
activities under removal authority.
Categories of Removal Actions
At the outset of a potential removal action, OSCs must estimate the urgency of a situation
(i.e., the maximum time that may elapse between the site evaluation and the initial response
without posing additional significant risks to human health, welfare, and the environment).
This estimate is essential for determining the extent of activities conducted prior to starting
cleanup work (e.g., PRP search and negotiations, preparing an engineering evaluation/cost
analysis (EE/CA), determining compliance with other environmental statutes).
Not all actions classified as removal actions under the NCP are equally urgent. For example,
situations involving fire/explosion or imminent, catastrophic contamination of a reservoir may
require more prompt and expeditious action than certain removals of drums or cleanups of
surface impoundments. The three categories of removal actions, based upon the urgency of
the situation, are:
• Emergency — Those removal actions where the release or threat of release requires
that response activities begin on-site within hours of the lead agency's determination
that a removal action is appropriate.
• Time-critical — Those removal actions where, based on a site evaluation, the lead
agency determines that a removal action is appropriate and that on-site activities must
be initiated within six months.
• Non-time-critical — Those removal actions where, based on a site evaluation, the lead
agency determines that a removal action is appropriate and that there is a planning
period of at least six months available before on-site activities must begin. The lead
agency for non-time-critical removal actions will undertake an EE/CA or its
equivalent.
Because removal program resources are limited, the Office of Emergency and Remedial
Response (OERR) has established priorities for removal actions based upon these
classifications. The highest priority for removal resources is given to emergencies.
Time-critical removal actions at NPL sites are second in priority, followed by time-critical
removal actions at non-NPL sites posing major health and environmental threats that cannot
be addressed by other authorities. As resources permit, non-time-critical removal actions at
NPL sites may be conducted [1].
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OVERVIEW
Special Circumstances During Emergency Situations
Certain emergency situations may require an OSC to immediately initiate response activities
by invoking the OSC's $200,000 authority.1 Emergencies that may require such immediate
response include transportation accidents, releases at active or operating facilities, deliberate
dumps, or when there is a risk of death, injury, or catastrophic environmental damage from
releases at inactive/abandoned facilities or sites. If OSCs use their $200,000 authority, they
must prepare an Action Memorandum within one week of the start of the removal action,
depending on the extent of mitigation efforts. OSCs should send copies of these Action
Memoranda to their appropriate Regional management representative and Regional
Coordinators, and place a copy in the site file. More detailed information can be found in the
Superfund Removal Procedures Action Memorandum Guidance [2].
Statutory and Other Limits on Removal Actions
CERCLA section 104(c)(l) stipulates that Fund-financed removal actions (other than those
studies and investigations authorized by section 104(b)) cannot continue after $2 million have
been obligated for the action or after twelve months2 have elapsed from the date of initial
response, unless the lead agency grants an exemption to these statutory limits. The OSC
should determine at the earliest possible time if an exemption will be needed. The Agency
has defined the start of the twelve-month limit to be the date on which on-site cleanup
activities commence. Investigating and planning activities are not included in the time
limitations.
In addition to the limitations on cost and duration, CERCLA section 104(a)(3) states that a
removal action may not be taken in response to a release or threatened release:
• Of a naturally occurring substance in its unaltered form, or in a form altered solely
through naturally occurring processes or phenomena, that are also from a location
where it is naturally found;
• From products that are part of the structure of residential buildings or business or
community structures and result in exposure within such structures; or
• Into public or private drinking water supplies due to deterioration of the system
through ordinary use.
Section 104(a)(4) of CERCLA, however, provides that EPA may respond to any release or
threatened release, including those situations listed above, if it is determined that the incident
1 Where applicable; the redelegation of the "$200,000 authority" to OSCs varies by Region. A revision to this authority
has increased the ceiling from $50,000 to $200,000 for emergencies only.
2 This twelve-month period is calculated starting from the date of initial response. Even if the work is conducted
intermittently, Fund-financed removal actions cannot continue for more than twelve months after the date of initial response.
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OVERVIEW
constitutes a public health or environmental emergency and no other person with the authority
and capability to respond to the emergency will do so in a timely manner.
In addition, the concurrence of the Director ofOERR must be obtained prior to the initiation
of removal actions taken at non-NPL sites where the proposed action is nationally significant
or precedent-setting. Because the assessment of the potential long-term implications of
initiating certain removal actions is largely interpretive, OSCs and Regional personnel should
consult the Guidance on Non-NPL Removal Actions Involving Nationally Significant or
Precedent-Setting Issues [3] whenever considering a removal action at a non-NPL site.
To minimize the possibility of lengthy disruptions once the twelve-month period has started,
OSCs are encouraged to anticipate and obtain as much of the needed expertise, technical
personnel, and equipment prior to the start date of the removal action as is practicable.
Resources available to the OSC include:
• Superfund removal program contractors;
• Interagency Agreements (lAGs); and
• Superfund State Contracts (SSCs) and cooperative agreements (CAs).
OSCs should decide, in consultation with Regional contract management staff, the Office of
Regional Counsel (ORC), and the Environmental Response Team (ERT), as appropriate, how
to best use the above services to minimize disruptions and respond to the release
expeditiously.
Response Start-Up
The response start-up phase of a removal action consists of four primary components: (1)
discovery/notification; (2) removal site evaluation; (3) coordination with the State and other
agencies; and (4) decision documentation. Depending on the urgency of the situation and the
type of removal action to be taken, the OSC should conduct these activities prior to and
during a response to a release or a threat of a release.
Discovery/Notification
According to §300.405 of the NCP, a release may be discovered through six different
mechanisms: (1) notification in accordance with section 103(a) of CERCLA; (2) notification
in accordance with section 103(c) if CERCLA; (3) investigation by governmental authorities;
(4) notification of a release by a Federal or State permittee when required by the permit; (5)
inventory or survey activities, or random or incidental observation by government agencies,
PRPs, or the public; or (6) submission of a citizen petition to EPA or the appropriate Federal
facility requesting a preliminary assessment, in accordance with section 105(d) of CERCLA.
When necessary, notification must also be made in accordance with other environmental
statutes and regulations, including: Clean Water Act (CWA) section 311; Resource
Conservation and Recovery Act (RCRA) Subtitle C; Toxic Substances Control Act (TSCA)
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OVERVIEW
section 8(e); reporting requirements established under the Hazardous Materials Transportation
Act; and requirements established by the Nuclear Regulatory Commission for reporting
releases of certain radioactive substances. In addition to the mechanisms outlined above,
section 304 of the Emergency Planning and Community Right-to-Know Act of 1986 (EPCRA)
requires notification of releases involving hazardous substances and extremely hazardous
substances (EHSs), as defined under section 302(a), from facilities at which hazardous
chemicals are produced, used, or stored.
Following notification of a release, the OSC must determine whether the incident may require
a removal action pursuant to §300.415(b) of the NCP. If the release meets the NCP criteria,
the OSC should begin a removal site evaluation; otherwise, the OSC should refer the release
to either EPA remedial response staff to conduct a site evaluation pursuant to §300.420 of the
NCP or another appropriate Federal or State authority.
Removal Site Evaluation
Section 300.410 of the NCP directs EPA to conduct, as promptly as possible, a removal site
evaluation of a release or threatened release that has been identified for a possible removal
action. The removal site evaluation consists of a removal preliminary assessment (PA) and
a removal site inspection (SI). During a removal site evaluation, the OSC should consider
the types and concentrations of contaminants, cleanup action levels, and mitigation options.
The OSC has the responsibility for conducting this evaluation for EPA-lead removal actions.
Depending upon the characteristics of the release and urgency of the situation, the removal
PA may require anywhere from an hour to several weeks to complete. The OSC may
undertake a variety of activities to collect the necessary information. For example, a removal
PA may include the collection or review of data such as site management practices,
information from generators, photographs, analysis of historical photographs, literature
searches, and personal interviews. In general, the removal PA for emergencies will rely
primarily on readily available, existing information and on any available sample data. When
the incident allows for longer evaluation, the removal PA may include more analytical and
monitoring efforts.
If additional information is needed, the OSC can perform a removal SI that may include an
on- or off-site (perimeter) inspection, taking safety into consideration. Moreover, OSCs may
conduct further studies or investigations as part of the removal site evaluation under CERCLA
section 104(b). The results of the removal site evaluation must be documented and included
in the administrative record.
The OSC is also responsible for initiating a PRP search during the removal PA to identify and
compel/negotiate with legally responsible parties to take corrective action. OSCs have several
resources for assistance with the PRP search, including Regional enforcement staff, ORC,
and contractor resources. In addition, OSCs or other enforcement personnel must notify the
appropriate National Enforcement Investigations Center (NEIC) immediately when criminal
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OVERVIEW
activity is suspected [4]. Enforcement activities are ongoing throughout the course of a
removal action.
OSCs are strongly encouraged to submit Pollution Reports (POLREPs) to Regional
management, Headquarters Regional Coordinators, the appropriate Regional Response Team
(RRT), and other appropriate agencies, documenting those situations where removal PAs were
initiated, but no removal actions were conducted. More detailed information on drafting and
submitting POLREPs can be found in the Superfund Removal Procedures Removal Response
Reporting: POLREPs and OSC Reports [5].
Coordination with the State and Other Agencies
In addition to the potential PRP response, the OSC must evaluate the potential for a response
by other Federal, State, or local agencies. The Department of Defense (DOD) and the
Department of Energy (DOE) have the lead responsibility for undertaking and financing
removal actions at their own facilities. EPA will respond to emergencies at all other Federal
agencies. Factors to consider when evaluating the potential for State and local response are
the urgency of the situation and the ability and willingness of relevant agencies to take action.
If a Fund-financed removal action is appropriate, the OSC should consult with the State
before initiating action and request a list of applicable or relevant and appropriate
requirements (ARARs) from the appropriate State agency. In addition, the OSC must notify
State and Federal natural resource trustees of potential injuries to natural resources. For
emergency removal actions, however, the OSC should not delay response in order to identify
potential ARARs. More detailed information on ARARs can be found in the Superfund
Removal Procedures Guidance on Consideration of ARARs During Removal Actions [6].
Decision Documentation
An Action Memorandum is the primary decision document for a removal response, providing
a concise written record of the decision for selecting a specific removal action. The Action
Memorandum describes the site history, current activities, and health and environmental
threats; outlines the proposed actions and costs; and documents approval of the proposed
action by the proper Headquarters' or Regional authority. More detailed information on
Action Memoranda can be found in the Superfund Removal Procedures Action Memorandum
Guidance [2].
Engineering Evaluations/Cost Analyses (EE/CAs) are required for non-time-critical removal
actions. An EE/CA should contain information on site characteristics, identification of
removal action objectives, and identification and analysis of removal action alternatives. A
completed EE/CA must be placed in the administrative record. At the same time, a notice
of EE/CA availability must be published in a local newspaper with a brief summary of the
EE/CA and an announcement of a public comment period of at least 30 days. Upon
conclusion of the public comment period, a written response to significant comments must
be prepared and placed in the administrative record. More detailed information on EE/CAs
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OVERVIEW
can be found in the Guidance on Conducting Non-Time-Critical Removal Actions Under
CERCLA [7].
A more detailed discussion of the removal response start-up phase can be found in the
Super/and Removal Procedures Removal Response Decision: Site Discovery to Response
Decision [8].
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ROLES AND RESPONSIBILITIES
OSCs are responsible for directing removal response operations. This responsibility includes
ensuring that all on-site activities are consistent with CERCLA, the NCP, and Superfund
program policies and procedures; that all expenditures of funds are appropriate and
reasonable; and that subsequent cost-recovery actions will be supportable. In fulfilling these
and other responsibilities, OSCs have a variety of resources available to them. These include
national, Regional, and specialized response teams; EPA personnel; contract resources; other
Federal agencies; and State and local governments.
Response Teams
The NCP established two teams to assist in Superfund responses: the National Response Team
(NRT) and the Regional Response Team (RRT). These teams provide the OSC with
important technical, coordination, and communication resources that can be used to develop
emergency preparedness plans and to respond to specific releases. In addition to these two
teams, the ERT, and the Radiological Emergency Response Teams (RERTs) serve as EPA's
in-house consultants. The ERT specializes in treatment technology, with specialists in
biology, chemistry, hydrology, geology, and engineering available to assist during removal
actions. The RERTs specialize in radiation monitoring, radionuclide analysis, radiation health
physics, and risk assessment.
National Response Team
Under §300.110 of the NCP, national planning and coordination is accomplished through the
NRT. As defined by §300.110(a), the NRT consists of representatives from EPA, the United
States Coast Guard (USCG), and the following Federal agencies:
• Department of Agriculture;
• Department of Commerce;
• Department of Defense;
• Department of Energy;
• Department of Health and Human Services;
• Department of the Interior;
• Department of Justice;
• Department of Labor;
• Department of State;
• Department of Transportation;
• Department of Treasury
• Federal Emergency Management Agency;
• General Services Administration; and
• Nuclear Regulatory Commission.
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ROLES AND RESPONSIBILITIES
Each agency names a member to the team and designates sufficient numbers of alternates to
ensure representation, as agency resources permit. Other agencies may request membership
through the Chairman of the NRT. The EPA representative serves as the Chairman, and the
USCG representative serves as Vice Chairman, except during periods of activation for
response. When the NRT is activated, the EPA representative serves as Chairman for inland
responses; the USCG representative for responses to incidents in the coastal zone.
According to §300.110(j) of the NCP, the NRT should be activated as an emergency response
team if requested by any NRT member or when an oil discharge or hazardous substance
release:
• Exceeds the response capability of the Region in which it occurs;
• Transects Regional boundaries; or
• Involves a significant threat to public health or welfare, the environment, substantial
amounts of property, or natural resources.
When activated for a response action, the NRT, upon request of the Chairman, may:
• Monitor/evaluate reports from the OSC and recommend, through the RRTs, specific
response actions;
• Request resources from other Federal, State, or local governments or private agencies
under their existing authorities to combat a discharge or release, or to monitor
response operations; and
• Coordinate the supply of equipment, personnel, or technical advice to the affected
Region from other Regions.
Regional Response Team
RRTs are the appropriate Regional mechanism for pre-response planning and preparedness
activities as well as for coordination and advice during response actions. RRT membership
parallels that of the NRT, but also includes State and local representatives. The two principal
components of the RRT are:
• Twelve standing teams consisting of designated representatives from each
participating Federal agency, and State and local governments. The jurisdiction of
each standing team corresponds to the standard Federal Regions, except for Alaska
and the Caribbean area, which also have standing RRTs. The role of the standing
RRT includes Region-wide communications, planning, coordination, training,
evaluation, and preparedness.
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ROLES AND RESPONSIBILITIES
• Incident-specific teams for which participation depends on the technical nature and
location of the incident. The RRT chairman for the incident determines the
appropriate levels of activation, including participation by State and local
governments.
Specific functions the RRTs may perform under §300.115(j)(4) of the NCP include:
• Monitoring and evaluating reports from the OSC, advising the OSC on the extent and
duration of response, and recommending specific response actions to respond to the
discharge or release;
• Requesting resources for response or monitoring operations from other Federal, State,
or local governments, or private agencies;
• Assisting the OSC with preparing public information releases and communicating with
the NRT;
• Recommending designation of another OSC, if circumstances warrant; and
• Submitting POLREPs to the National Response Center.
Pursuant to §300.115(j)(l) of the NCP, an RRT may be activated by the chairman as an
incident-specific response team when a discharge or release:
• Exceeds the response capability available to the OSC at the location of the discharge
or release;
• Transects State boundaries; or
• May pose a substantial threat to either the public health, welfare, or the environment,
or to regionally significant amounts of property. Regional contingency plans (RCPs)
specify detailed criteria for activation of RRTs.
An RRT may also be activated during any discharge or release by an oral request from either
the OSC or an RRT representative to the chairman of the team. This request must
subsequently be confirmed in writing. During a prolonged removal action, the RRT may not
need to be activated or may need to be activated only in a limited sense, or may need to have
available only those member agencies of the RRT that are directly affected or can provide
direct response assistance. When an RRT is activated, affected States may participate in all
RRT deliberations. State government representatives on the RRT have the same status as any
Federal member of the RRT. The RRT can be deactivated when the incident-specific RRT
chairman determines that the OSC no longer requires RRT assistance. A complete description
of the RRT appears in §300.115 of the NCP.
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ROLES AND RESPONSIBILITIES
Environmental Response Team
The ERT is a component of the Office of Emergency and Remedial Response (OERR) and
maintains a 24-hour response capability consisting of support personnel specializing in all
aspects of hazardous substance response. ERT personnel can advise and provide support to
OSCs regarding:
• Hazard evaluation;
• Risk assessment;
• Multimedia sampling and analysis;
• On-site health and safety plans;
• Cleanup techniques and priorities;
• Water supply decontamination and protection;
• Application of dispersants;
• Environmental assessment;
• Degree of cleanup required; and
• Disposal of contaminated material.
In addition, the ERT developed the Computer Assisted Response Technology Selector
(CARTS), an expert system that assists OSCs in determining the best treatment technology
for a given type of hazardous waste. The system guides the user through a series of questions
designed to elicit the specific chemical characteristics of the waste to be treated. Based on
these data, CARTS provides information on the types of treatment technologies that are
appropriate for the waste to be treated.
The authority to activate the ERT rests with the appropriate Regional Coordinator. When an
OSC determines that ERT assistance is necessary, the OSC should call the Regional
Coordinator during duty hours or, during non-duty hours, the ERT representative at the
24-hour response number ((908) 321-6660). Upon activation, the appropriate ERT personnel
and resources will be dispatched to operate under the direct operational control of the OSC.
Radiological Emergency Response Teams
RERTs have been established to provide response and support for incidents or sites containing
radiological hazards. These teams can provide on-site support, including mobile monitoring
laboratories for field analysis of samples and fixed laboratories for radiochemical sampling
and analysis. Requests for support from the RERTs may be made 24 hours a day via the
National Response Center or directly to the Radiological Response Coordinator in EPA's
Office of Radiation and Indoor Air (ORIA) at (202) 233-9360.
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ROLES AND RESPONSIBILITIES
Special Teams
The NCP identifies the following additional Federal resources for response:
• The National Strike Force (NSF) is a special team established by the USCG, including
the three USCG Strike Teams, the Public Information Assist Team (PIAT), and the
National Strike Force Coordination Center (NSFCC). The NSF is available to assist
OSCs/RPMs in their preparedness and response duties. The three USCG Strike
Teams (located on the Atlantic, Pacific, and Gulf coasts) provide trained personnel
and specialized equipment to assist the OSC in training for spill response, stabilizing
and containing the spill, and in monitoring or directing the response actions of the
responsible parties and/or contractors. The OSC has a specific team designated for
initial contact and may contact that team directly for any assistance. OSCs may
request Strike Team assistance from the Commanding Officer of the appropriate team,
the USCG member of the RRT, the appropriate USCG Area Commander, or the
Commandant of the USCG through the NRC.
• Scientific Support Coordinators (SSCs) are available at the request of the OSC to
assist with responses to releases of hazardous substances, pollutants, or contaminants,
as well as with the development of Regional and local contingency plans. Generally,
the National Oceanic and Atmospheric Administration (NOAA) provides SSCs in
coastal and marine areas, while EPA's Environmental Response Team provides them
in inland regions. To receive scientific support, the OSC should contact the SSC
directly. If an OSC does not know the name of the SSC assigned to his or her
Region for coastal waters, the OSC should contact NOAA by writing to
NOAA/HMRD, 7600 Sand Point Way NE, Seattle, Washington 98115 or by calling
(206) 526-6317.
During a response action, the SSC serves under the direction of the OSC and is
responsible for providing scientific support for operational decisions and for
coordinating on-scene scientific activity. Depending upon the nature of the incident,
the SSC can provide certain specialized expertise; work as a liaison to government
agencies, universities, community representatives, and industry; and compile
information pertinent both to assessing the potential hazards of releases and to
developing response strategies. At the OSC's request, the SSC will serve as the
principal liaison for scientific information and will attempt to reach a consensus on
scientific issues while ensuring that differing opinions are communicated to the OSC.
• The USCG Public Information Assistance Team and the EPA Public Affairs Assistance
Team are made available through the NRC to assist OSCs and Regional Offices in
meeting demands for public information and participation.
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ROLES AND RESPONSIBILITIES
Environmental Protection Agency
Enforcement Staff
All EPA Regions have technical enforcement staff to undertake or assist with enforcement
activities. Regional technical enforcement staff consist of personnel with scientific,
accounting, document management, and legal expertise who work with OSCs to ensure that
Fund-financed responses meet both program objectives and legal requirements. Regional
technical enforcement staff are generally organized in one of two ways:
• As a comprehensive enforcement section that manages all enforcement activities for
both the removal and remedial programs; or
• As separate enforcement units specializing in certain tasks such as PRP searches, civil
investigations, and cost documentation.
OSCs need to coordinate with Regional technical enforcement staff to ensure that enforcement
issues have been thoroughly investigated, documented, and resolved.
The Regional Administrator (RA) issues the Administrative Orders that compel/negotiate with
PRP response. In addition, the RA or the RA's designee must indicate approval of all
Fund-financed removal actions up to $6 million by signing the Action Memorandum (this may
occur after-the-fact for removal actions initiated under the OSC's $200,000 authority). The
Action Memorandum authorizes the use of CERCLA funds for the proposed removal action,
statutory exemption request, or a change in the scope of work. The Action Memorandum also
has an addendum to record enforcement activities and may be used for enforcement purposes
without obligating funds. Upon approval, Action Memoranda are placed in the administrative
record file.
The ORC has on staff attorneys for each Region who provide litigation support, usually for
both the removal and remedial programs. ORC attorneys are particularly involved in the
following activities:
• Negotiating and reaching settlements;
• Drafting Administrative Orders; and
• Reviewing site documents for sufficiency of enforcement information.
The OSC should involve ORC in removal enforcement activities as soon as possible. This
involvement is important because ORC can assist in developing enforceable Administrative
Orders and EPA's cost-recovery case. ORC may also be able to assist in the identification
of PRPs and facilitate other aspects of the removal enforcement process. If a removal action
is to be conducted at a site with a remedial action already underway, the OSC should consult
ORC before beginning a PRP search in order to avoid duplication of effort. More detailed
information on enforcement activities can be found in the Superfund Removal Procedures
Removal Enforcement Guidance for On-Scene Coordinators [4].
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ROLES AND RESPONSIBILITIES
Public Participation Staff
The OSC works with the Community Relations Coordinator (CRC) and the Administrative
Record Coordinator (ARC), when possible, to design and implement public participation
activities during a removal action. Additional resources, including other EPA Regional
personnel, State or local government representatives, and contractor support, are available to
assist the OSC with public participation activities:
• CRCs serve as the OSC's primary resource for coordinating and monitoring contractor
support. The CRC may conduct or oversee support activities such as preparing a
community relations plan and fact sheets, conducting community interviews, and
maintaining an information repository for the site.
• ARCs organize information for the administrative record file according to the Regional
file structure. The ARC may provide site file materials from which to compile the
record file, assist in compiling the record file to meet the timing requirements
established by the NCP, and help identify materials for the information repository.
• Regional public affairs staff provide support to the OSC in media relations tasks, such
as processing information requests from the media or acting as an Agency
spokesperson.
• State or local governments may assist or, in some situations, take the lead for public
participation activities and are particularly helpful in situations where immediate
support is necessary and Regional staff are not available.
• Regional removal enforcement staff support the establishment or maintenance of the
information repository and have many of the site documents necessary for inclusion
in the repository. ORC must consult with the OSC regarding the contents of the
administrative record file prior to documents being made publicly available. The
USCG Public Information Assist Team is available to assist OSCs in the demand for
public information; i.e., the preparation of public information materials and press
releases. Contractor support may be used to assist in developing the community
relations plans, establishing the information repository, and preparing written
responses to comments.
The OSC coordinates the use of these public participation resources and is responsible for
identifying the roles and responsibilities of each staff member and for communicating
information about the community and public participation strategy to the staff. More detailed
information can be found in the Superfund Removal Procedures Public Participation
Guidance for On-Scene Coordinators: Community Relations and the Administrative Record
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ROLES AND RESPONSIBILITIES
Remedial Project Managers (RPMs)
In certain situations (e.g., when a removal action is required during a remedial response at an
NPL site), the RPM may assume some or all of the responsibilities of the OSC. In all
instances, however, the removal action must be in compliance with all statutory and regulatory
provisions that guide removal actions. The OSC and RPM must coordinate with each other
so that the removal action that is chosen is consistent, to the extent practicable, with long-term
actions at those sites. The OSC and RPM should work together to identify potential
near-term threats and to determine the extent to which the removal action will address all
surface hazardous substances at the site. With the increased emphasis on using alternative
technologies and the current restrictions on land disposal, remedial actions may often include
on-site treatment if surface contamination is extensive. The Region is responsible for
establishing the appropriate coordination procedures between the removal and remedial
programs. Regional Decision Teams (RDTs), a concept developed under the Superfund
Accelerated Cleanup Model (SACM), are designed to ensure effective coordination and
integration of the different Superfund program authorities, expertise, and resources, and may
be useful to OSCs in their efforts to coordinate with RPMs and the remedial program [10].
The only situation where it may not be feasible to consider how a proposed removal action
relates to the long-term remedy is in an emergency. In such cases, response personnel may
need to take whatever immediate measures necessary to protect public health, welfare, and
the environment [11].
Contract Resources
OSCs have a variety of contracts available to assist them in conducting removal actions, such
as:
• Emergency and Rapid Response Services (ERRS) contracts;
• Site-specific contracts;
• Superfund Technical Assessment and Response Team (START) contracts;
• National Contract Laboratory Program (NCLP); and
• Technical Enforcement Services (TES) contracts.
Each of these contract resources is described briefly below. Methods of procuring these
services are described later in this guidance.
Emergency and Rapid Response Services
The ERRS contracts, which are the next generation of the Emergency Response Cleanup
Services (ERCS) contracts, are EPA's primary contract mechanism for conducting emergency,
time-critical, and non-time-critical removal actions. ERRS contracts provide rapid cleanup
support to the Superfund program in containing, recovering, or disposing of hazardous
substances (e.g., drum removal and lagoon drawdowns) and in sample analysis and site
restoration. ERRS contracts provide expeditious response (i.e., within hours or days) and
should be used at NPL and non-NPL sites requiring rapid response. These contracts provide
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ROLES AND RESPONSIBILITIES
the necessary personnel, equipment, and cleanup services. Unlike ERCS contracts and
consistent with the implementation of SACM, ERRS contracts have the flexibility to also be
used for rapid remedial response activities [12].
Site-Specific Contracts
A key component of the removal response strategy is site-specific contracting. Site-specific
contracts are desirable because they promote competition and should always be considered
in non-emergency situations. The following four factors should be weighed when
contemplating the use of a site-specific contract:
• Lead time. Generally, a site-specific contract will take about four months to compete
and is, therefore, not appropriate for many time-critical actions. However, a
significant proportion of removal actions, including most of those involving an
alternative technology, have sufficient lead time or will last long enough so that some
portion of the work can be performed through a site-specific contract.
• Cost. The larger the action, the greater the potential for savings if a site-specific
contract is used. Actions costing more than $2 million should generally have some
component of the work done on a site-specific basis.
• Complexity. Removal actions or their components that are relatively straightforward
and uncomplicated are the best candidates for site-specific contracting. Sites that
involve variable conditions or poorly-defined situations generally require more
flexibility in their approach than is allowed for in the statement of work of a
site-specific contract.
• Management. A response action performed with a site-specific contract requires
significantly more preparation and management than the same action using an existing
ERRS contract. Consideration must be given to the tradeoff between the dollar
savings realized by the site-specific contract and the staff time involved in its
preparation and management.
The OSC is responsible for writing the scope of work, organizing any necessary technical
evaluation of offerers, and serving as Project Officer for the site-specific contract. The
Contract Officer is responsible for managing the advertisement, bid review, negotiations, and
actual award of the contract. To help expedite the process of soliciting and reviewing bids
for site-specific contracts, EPA is beginning to create bidding pools of contractors qualified
to use specific available and innovative alternative technologies. Technologies classified as
emerging alternative technologies are not included in this program. This program is known
as the Pre-Qualified Offerers Procurement Strategy (PQOPS). The two pools that have been
established are: (1) Transportable Incineration System; and (2) Fixation/Solidification System.
_Under PQOPS, contractors will be able to submit their technical qualifications for any of the
pools every three months.
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ROLES AND RESPONSIBILITIES
Superfund Technical Assessment and Response Team
In 1990, EPA issued its long-term contracting strategy for the Superfund program [13]. One
of the contracts developed under this strategy was the joint Field Investigation
Team/Technical Assistance Team (FIT/TAT) contract, now referred to as the Superfund
Technical Assessment and Response Team contract. The START contract provides technical
support capabilities for both the removal and site assessment programs. Tasks typically
performed under these contracts include sampling, sample analyses, process audits/inspections,
and contingency planning. Under the START contracts, technical support is provided by fully
trained, multi-disciplinary teams that may include personnel such as engineers, technicians,
geologists, toxicologists, biologists, and chemists.
National Contract Laboratory Program
The NCLP provides a national system of chemical analytical laboratories to augment EPA
in-house support for response actions. The program includes routine analytical services for
organic and inorganic compounds in standard matrices; routine analytical services for dioxin;
high-hazard sample preparation prior to laboratory analysis; and special analytical services
consisting of non-standardized analyses for organic and inorganic compounds in a variety of
matrices. The OSC can access the NCLP through the Regional Sample Control Center
(RSCC) official designated by each Regional Office.
The NCLP has also developed an analytical service designed to provide rapid turnaround of
data from the analysis of water, soil/solid, oil/oily, and wipe samples. This quick turnaround
method (QTM) analytical service, with a turnaround requirement of 48 hours (72 if more than
three fractional analyses are requested), produces data of known and documented quality.
Data produced from these analytical methods can be used whenever decisions do not require
that the identity of target compounds be confirmed or that quantitative measures be precise.
Access to the QTM CLP analytical service is typically accomplished through an authorized
requestor, such as the RSCC coordinator, or through a Regional emergency response
authorized requestor.
Technical Enforcement Services
Technical Enforcement Services contracts provide technical and management support to EPA
Headquarters and Regional Offices in the enforcement of CERCLA and the NCR Tasks
under these contracts include conducting PRP searches, assisting in field oversight, and
compiling the administrative record and cost documentation. The use of open-ended TES
work assignments allows for limited PRP research to be conducted while the official
paperwork is being processed.
Other Federal Agencies
Section 300.175 of the NCP describes the participation of Federal agencies other than EPA
in Superfund response actions. These roles and responsibilities are summarized in Exhibit 1.
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ROLES AND RESPONSIBILITIES
The USCG and the Agency for Toxic Substances and Disease Registry (ATSDR) have special
responsibilities at non-Federal facilities. EPA has negotiated Memoranda of Understanding
(MOUs) with both the USCG and ATSDR. Each MOU sets forth the role each agency will
play in Fund-financed removal actions and outlines the administrative procedures for
participation and compensation of these agencies.
The OSC is responsible for identifying whether technical assistance is needed from another
agency and for making arrangements for that assistance. OSCs may contact appropriate
Regional Coordinators for assistance in making initial contact with and arranging for the
involvement of the pertinent Federal agency. In addition, OSCs are responsible for initiating
and processing any site-specific interagency agreements necessary for reimbursing Federal
agency participation.
For agencies that have executed an MOU with EPA, OSCs should implement the
administrative procedures set forth in the MOU. In other cases, OSCs should understand the
two general mechanisms for funding the response-related activities of other Federal agencies:
the agency's Superfund budget and an LAG. The nature of the agency's involvement will
determine the compensation mechanism. For example, if the service provided is defined as
an ongoing activity for which the other agency has received a Superfund budget, no further
transfer of funds will occur. However, if the service involves site-specific response actions,
the agency typically will receive reimbursement through an IAG.
USCG
An MOU between EPA and USCG establishes policies and procedures for USCG use of the
CERCLA Trust Fund for costs incurred as part of Superfund response actions. There are two
categories of costs that may be incurred under the Trust Fund: vendor costs and non-vendor
costs. Vendor costs are contractor costs incurred during the course of a response. Contractor
support is arranged through existing USCG and/or EPA contractual mechanisms as described
in the MOU. All processing of obligating documents and payment of invoices is handled by
EPA. Such documents should be sent to Research Triangle Park at: U.S. EPA, Office of
Administration and Resources Management (MD-32), Attn: Financial Management Officer,
Research Triangle Park, NC 27711.
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EXHIBIT 1.
Roles of Other Federal Agencies at Non-Federal Facility Sites
Department of Agriculture
(USDA)
Department of Commerce
(DOC)
Department of Defense
(DOD)
Provides expertise in managing agricultural, forest, and wilderness areas.
The Forest Service has personnel, laboratory, and field capability to measure, evaluate, monitor,
and control as needed, releases of pesticides and other hazardous substances on lands under its
jurisdiction.
The Soil Conservation Service (SCS) estimates effects of pollutants on soil and their movements
over and through soil.
The Agriculture Research Service (ARS) has the capabilities to regulate and provide training for
employees exposed to biological, chemical, radiological, and industrial hazards.
The Animal and Plant Health Inspection Service (APHIS) can respond in an emergency to regulate
movement of diseased or infected organisms to prevent the spread and contamination of
nonaffected areas.
The Food Safety and Inspection Service (FSIS) works with other Federal and State agencies to
establish acceptability for slaughter of exposed or potentially exposed animals and their products.
In addition, FSIS manages the Federal Radiological Emergency Response Program.
The National Oceanographic and Atmospheric Administration (NOAA) provides scientific expertise
on living marine resources and their habitats, including endangered species and marine mammals.
NOAA also coordinates scientific support for responses and contingency planning in coastal and
marine areas, including: assessments of the hazards that may be involved, predictions of
movement, dispersion of discharged oil and released hazardous substances through trajectory
modeling, and information on the sensitivity of coastal environments to oil discharges. In
addition, NOAA provides information on actual and predicted meteorological, hydrologic, ice, and
oceanographic conditions for marine, coastal, and inland waters. Finally, NOAA furnishes charts
and maps, including tide and circulation information for coastal and territorial waters and for the
Great Lakes.
Takes all action necessary with respect to releases where either the release is on, or the sole
source of the release is from, any facility or vessel under the jurisdiction, custody, or control of
DOD.
May provide assistance to other Federal agencies on request.
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EXHIBIT 1 (continued). Roles of Other Federal Agencies at Non-Federal Facility Sites
DOD (continued)
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Department of Energy
(DOE)
Department of Health and
Human Services
(HHS)
The United States Army Corps of Engineers has specialized equipment and personnel for
maintaining navigation channels, removing navigation obstructions, accomplishing structural
repairs, and performing maintenance to hydropower electric generating equipment. The Corps also
can provide design services, perform construction, and provide contract administration services for
other Federal agencies and States.
The United States Navy Supervisor of Salvage (SUPSALV) is the branch of service within DOD
most knowledgeable and experienced in ship salvage, shipboard damage control, and diving. The
USN has an extensive array of specialized equipment and personnel available for use in these
areas as well as specialized containment, collection, and removal equipment specifically designed
for salvage-related and open sea pollution incidents. Also, upon request of the OSC, locally
deployed USN oil spill equipment may be provided. This equipment is available on a
reimbursable basis to Federal agencies upon request when commercial equipment is not available.
Provides advice to OSCs when assistance is required in identifying the source and extent of
radioactive releases, and in the removal and disposal of radioactive contamination.
Assists with the assessment preservation, and protection of human health and helps ensure the
availability of essential human services. Provides technical and nontechnical assistance in the
form of advice, guidance, and resources to other federal agencies as well as state and local
governments.
The U.S. Public Health Service contains two sources of information that provide the primary
response to a hazardous materials emergency: The Agency for Toxic Substances and Disease
Registry (ATSDR) and the Centers for Disease Control (CDC). Both ATSDR and CDC have a
24-hour emergency response capability wherein scientific and technical personnel are available to
provide technical assistance to the lead federal agency and state and local response agencies on
human health threat assessment and analysis, and exposure prevention and mitigation.
Other Public Health Service Agencies involved in support during hazardous materials incidents
either directly or through ATSDR/CDC include the Food and Drug Administration, the Health
Resources and Services Administration, the Indian Health Service, and the National Institutes of
Health.
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EXHIBIT 1 (continued). Roles of Other Federal Agencies at Non-Federal Facility Sites
HHS (continued)
Department of the Interior
(DOI)
The National Institutes for Environmental Health Sciences (NIEHS) assists in training and
educating workers engaged in activities related to hazardous waste removal, containment, or
emergency response.
DOI should be contacted through Regional Environmental Officers, who are the designated
members of RRTs. DOI land managers have jurisdiction over the national park system, national
wildlife refuges, and fish hatcheries, public land, and certain water projects in western States.
In addition, bureaus and offices have relevant expertise as follows:
f Fish and Wildlife Service: fish and wildlife, including endangered and threatened species,
migratory birds, certain marine mammals, habitats, resource contaminants and laboratory
research facilities.
t The National Biological Survey: biological resource management, inventories, monitors,
and reports on the status and trends in the Nation's biotic resources, and transfers the
information gained in research and monitoring to resource managers and others concerned
with the care, use, and conservation of the Nation's natural resources.
t Geological Survey: geology, hydrology (ground water and surface), and natural hazards.
f Bureau of Land Management: minerals, soils, vegetation, wildlife, habitat, archaeology,
wilderness, and hazardous materials.
t Minerals Management Service: manned facilities for Outer Continental Shelf oversight.
f Bureau of Mines: analysis and identification of inorganic hazardous substances.
t Office of Surface Mining: coal mine wastes and land reclamation.
t National Park Service: biological and general natural resources.
t Bureau of Reclamation: operation and maintenance of water projects in the West,
engineering and hydrology, and reservoirs.
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EXHIBIT 1 (continued). Roles of Other Federal Agencies at Non-Federal Facility Sites
DOI (continued)
Department of Justice
(DOJ)
Department of Labor
(DOL)
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t Bureau of Indian Affairs: coordination of activities affecting Indian lands.
t Office of Territorial Affairs: assistance in implementing NCP in American Samoa, Guam,
the Trust Territory of the Pacific Islands, and the Virgin Islands.
Provides expert advice on complicated legal questions arising from discharges or releases and
Federal agency responses. In addition, the DOJ represents the Federal government in litigation.
Has the authority to conduct safety and health inspections of hazardous waste sites to assure that
employees are being protected and to determine if the site is in compliance with regulations.
The Occupational Safety and Health Administration (OSHA) provides the OSC with advice,
guidance, and assistance regarding hazards to persons involved in removal or control of oil
discharges and hazardous substance releases, and in the precautions necessary to prevent hazards
to their health and safety. OSHA and the States operating OSHA-approved State plans have the
responsibility for assuring employee safety and health during response activities.
In cooperation with EPA and the NRT, OSHA has established a policy for handling occupational
safety and health problems that may arise. Under this policy, OSHA can provide technical
assistance to EPA, any other lead agency, or the contractor. Technical assistance may include
review of site safety plans, review of site work practices, assistance with exposure monitoring, and
help with other questions that arise about compliance with OSHA standards.
OSHA is also ready to respond to inspection requests from EPA or another lead agency, and will
act if there are accidents or employee complaints about unsafe or unhealthful work conditions
during response activities, as it does in other industries. OSHA reserves the right to take any
other actions necessary to assure that employees are properly protected during such response
activities. Any questions about occupational safety and health at response sites should be referred
to the OSHA Regional Office.
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EXHIBIT 1 (continued). Roles of Other Federal Agencies at Non-Federal Facility Sites
Department of
Transportation
(DOT)
Department of State (DOS)
Federal Emergency
Management Agency
(FEMA)
Provides expertise on all modes of transporting oil and hazardous substances.
The United States Coast Guard (USCG) offers expertise in domestic/international fields of port
safety and security, maritime law enforcement, ship navigation and construction, and the operation
and safety of vessels and marine facilities. The USCG also maintains continuously manned
facilities that can be used for command, control, and surveillance of oil discharges and hazardous
substances releases occurring in the coastal zone. The USCG provides predesignated OSCs for the
coastal zone.
In accordance with Executive Order 12580, the USCG is authorized to respond to certain releases
or threatened releases involving the coastal zone, Great Lakes, ports, and harbors. Additionally,
E.O. 12580 and section 300.110 of the NCP require that the USCG provide a representative to the
NRT who shall serve as the vice chairman except during periods when the NRT is activated for
response actions. When the NRT is activated, the USCG representative will serve as chairman if
the discharge or release occurs in the coastal zone areas.
The Research and Special Programs Administration offers expertise in the requirements for
packaging, handling and transporting regulated hazardous materials.
Leads the development of joint international contingency plans. Helps to coordinate international
responses when discharges or releases cross international boundaries or involve foreign flag
vessels. Coordinates requests for assistance from foreign governments and U.S. proposals for
conducting research at incidents that occur in waters of other countries.
Provides guidance, policy and program advice, and technical assistance in hazardous materials and
radiological emergency preparedness activities. During a response, FEMA provides advice and
assistance to the lead agency on coordinating relocation assistance and mitigation efforts with
other Federal agencies, State and local governments, and the private sector. FEMA may enter into
a contract or cooperative agreement with the appropriate State or political subdivision in order to
implement relocation assistance.
In the event of a hazardous materials incident at a major disaster or emergency declared by the
President, the lead agency shall coordinate hazardous materials response with the Federal
Coordinating Officer (FCO) appointed by the President.
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EXHIBIT 1 (continued). Roles of Other Federal Agencies at Non-Federal Facility Sites
Nuclear Regulatory
Commission
National Response Center
(NRC)
Responds to releases of radioactive materials by its licensees, in accordance with the Nuclear
Regulatory Commission Incident Response Plan. In addition, the Nuclear Regulatory Commission
provides advice to the OSC when assistance is required in identifying the source and character of
other hazardous substance releases where the Nuclear Regulatory Commission has licensing
authority for activities utilizing radioactive materials.
Acts as the single Federal Point of contact for all pollution incident reporting and as the NRT
communications center. The NRC tracks medium, major, and potentially major spills and provides
incident summaries to all NRT members and other interested parties.
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ROLES AND RESPONSIBILITIES
Non-vendor costs are funded through one of two types of lAGs: site-specific lAGs and
ongoing responsibilities lAGs. Site-specific lAGs cover out-of-pocket expenses incurred by
the USCG during response. Such site-specific costs include, but are not limited to:
• Travel and per diem for military and civilian personnel;
• Salary costs for military and civilian personnel including civilian overtime costs;
• Fuel for USCG vessels, aircraft, or vehicles used in support of a response activity; and
• Replacement or repair costs for equipment owned by the USCG.
In situations where the USCG provides assistance in EPA-lead response actions, the Regions
are responsible for executing site-specific lAGs. For USCG-lead responses, EPA
Headquarters will process the lAGs. EPA and USCG Headquarters use ongoing
responsibilities lAGs to transfer funds annually from the CERCLA Trust Fund to the USCG.
These funds are to cover general costs incurred by the USCG for maintaining response
capabilities, such as training and development of guidance. These capabilities also include
conducting preliminary assessments to establish whether an incident meets the CERCLA
removal action criteria, monitoring non-Federal removal actions, conducting medical
monitoring, maintaining information systems and the National Response Center, and
conducting USCG enforcement activities.
ATSDR
Pursuant to CERCLA and Executive Order 12580, ATSDR has responsibility for conducting
public health studies relating to the release of hazardous substances. The OSC may request
ATSDR assistance by contacting the Region's ATSDR representative at any time during a
removal action if the release appears to present an imminent and substantial danger to public
health or welfare. ATSDR may perform on-site health assessments to determine the potential
nature and magnitude of any imminent health threat and may issue public health advice. The
OSC should attach final ATSDR Health Advisories, health consultation memoranda, or other
health advice as an appendix to the Threats section of the Action Memorandum (see the
Superfund Removal Procedures Action Memorandum Guidance) [2]. ATSDR also may
provide assistance with worker health and safety issues through an ATSDR IAG with the
Occupational Safety and Health Administration (OSHA) and/or the National Institute of
Occupational Safety and Health (NIOSH).
Most ATSDR site-specific activities and all general program activities are funded through the
regular Superfund budget process. Funds for these activities are transferred via an annual
ongoing responsibilities IAG. Only large-scale, long-term, epidemiological site studies would
require the use of a site-specific IAG.
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ROLES AND RESPONSIBILITIES
Site-Specific IAG Procedures
Regions will develop and negotiate terms and award lAGs for site-specific response actions
undertaken by other Federal agencies at EPA-lead removal actions. For these lAGs, Regional
personnel should use the following procedures:
• The Regional Program Office defines the scope of work to be performed, outlines the
responsibilities of each agency, determines the performance period, identifies primary
contacts in each agency, names contractors and the dollar amounts of any contracts,
if applicable, and determines the overall reporting, invoicing, and amendment
requirements.
• The Regional Program Office prepares four copies of the IAG/Amendment (EPA
Form 1610-1) and prepares the commitment notice and the transmittal/decision
memorandum.
• The Regional Management Division provides financial information for the
commitment notice (e.g., document control number, account number, appropriation
number), records the commitment of funds in the Document Control Register, and
forwards a copy of the commitment notice to the Servicing Finance Officer in
Cincinnati, Ohio.
• The Regional IAG Administration staff reviews the IAG, obtains IAG identification
numbers from the Grants Administration Branch at EPA Headquarters, obtains the
Regional Administrator's signature, and then sends the signed IAG to the other agency
for signature.
• After the other agency returns the IAG, the Regional IAG Administration staff
distributes the executed IAG to: (1) The Regional Management Division finance staff;
(2) Headquarters Financial Reports and Analysis Branch; (3) Headquarters Budget
Division; (4) Headquarters Grants Administration Division, Grants Information and
Analysis Branch; and (5) the Financial Management Center in Cincinnati, Ohio.
lAGs for USCG-lead removal actions will be prepared and funded by EPA Headquarters.
Within 24 hours of the initiation of a removal action, USCG's National Pollution Fund Center
(NPFC) will provide information (i.e., an endangerment determination, POLREP, or Action
Memorandum) and a cost estimate on the incident to the appropriate Regional Coordinator.
In return, the Regional Coordinator will provide an EPA Site/Spill Identification (SSID)
number to NPFC to link the USCG and EPA records, tracking systems, and financial systems.
The USCG OSC will maintain each incident's case file. For each removal action, the case
file contains documentation of all resources used and financial transactions associated with
the incident.
The USCG will provide copies of POLREPs to the appropriate Regional Coordinator to
provide removal and fund obligation data. The initial POLREP will be provided within 72
hours of initiating the removal action. Progress POLREPs should be provided on a routine
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ROLES AND RESPONSIBILITIES
basis. No later than two weeks after completion of each removal action, the USCG will
forward a final POLREP to the appropriate EPA Regional Coordinator for inclusion in EPA's
case file.
The Region should contact the appropriate Regional Coordinator for assistance if other types
of lAGs are needed.
State and Local Governments
Because State and local public safety organizations are often the first government
representatives at the scene of a discharge or release, they are expected to initiate public
safety measures that are necessary to protect public health and welfare and are consistent with
the NCP. In addition, these public safety organizations are responsible for directing
evacuations pursuant to existing State or local procedures. States are also responsible for
identifying State ARARs. For facilities not addressed under CERCLA, States are encouraged
to undertake their own response actions or to use their authorities to compel/negotiate with
PRPs to undertake actions.
Additionally, under §300.180 of the NCP, each State governor is requested to designate one
State office/representative to represent the State on the appropriate RRT and to assist in
coordinating response efforts. The governor also should designate a lead agency that will
direct State-lead response operations, designate the OSC for State-lead response actions,
designate Support Agency Coordinators for Federal-lead response actions, and coordinate and
communicate with any other State agencies, as appropriate. Local governments are invited
to participate in activities on the appropriate RRT.
Furthermore, States may enter into Superfund State Contracts (SSCs) or CAs pursuant to
section 104 of CERCLA, as amended, to undertake Fund-financed response actions when the
Federal government determines that the State has the capability. Historically, EPA has not
used CAs for removal actions. With a greater emphasis on the use of removal actions, EPA
has determined that such agreements may be appropriate. Because there must be sufficient
time to complete a CA before a State may take the lead, generally only non-time-critical
removal actions will be eligible for State-lead activities, although EPA is currently
investigating alternative mechanisms that may permit emergency or time-critical activities to
be funded in the future. CAs between EPA and a State must be developed in accordance with
the procedures set forth in 40 CFR Part 35, Subpart O, Before any Fund-financed removal
activities are initiated at a site, State and local governments may be required to ensure the
provision of post-removal site control procedures until either a permanent remedy is
implemented or no further site control measures are needed [14].
SSCs are binding agreements between EPA and the State to ensure that the State meets its
cost-sharing obligations, complies with the final rule on procedures for planning and
implementing off-site response actions (40 CFR Part 300), and performs any necessary post-
removal site control activities. States are required to share in the cost of a removal action if
the removal action is conducted at an NPL site that was publicly operated at the time of
disposal or release of hazardous substances therein and a remedial action is ultimately
undertaken at the site. In these situations, States are required to pay 50 percent of removal
action costs at the time of the remedial action.
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PROCEDURES FOR MANAGING
A REMOVAL ACTION
As the managers of Superfund removal actions, OSCs conduct removal activities and
coordinate the activities of EPA personnel, other Federal and State agencies, PRPs, and
contractors. Key response management activities undertaken by OSCs and described in this
section include:
• Access agreements;
• Worker and visitor health and safety;
• Contractor procurement and oversight;
• Cost management;
• Enforcement;
• Public participation;
• Identification and compliance with ARARs; and
• Reporting and recordkeeping.
Exhibit 2 provides a checklist to assist OSCs in ensuring that appropriate response
management activities are addressed at the appropriate stages of a removal action.
Access Agreements
The State is responsible for arranging access to a site, but the OSC may also be involved in
site-access agreements. Typically, the State will approach the property owner and the final
access agreement will be drawn up either between the landowner and the State or directly
between the landowner and EPA or another Federal lead-agency.
However, during site-access negotiations, the OSC does not have the authority: to agree
orally or in writing to conditions of entry; to hold a PRP harmless for injuries or damages in
return for site access; to agree that the property holder will not be held liable in return for site
access; or to agree to compensate the owner. In addition, the OSC should not agree to a
permanent time limitation on site access.
Property access agreements must be reviewed by ORC. The OSC should consult with
Regional Counsel when the State has no legal authority to gain access, such as rights-of-way
for public utilities, railroads, and Federal lands.
The OSC may encounter property owners who are uncooperative. Owners may refuse access
to or through their property to the removal site or they may threaten removal personnel or
interfere with removal actions. In these cases, the OSC should seek assistance from State and
local authorities. If this assistance is unavailable or insufficient, the OSC may request through
ORC a Federal court order to ensure access or to restrain the threatening party from
interfering with removal activities. To obtain a Federal court order, the OSC should ask the
Regional Counsel to arrange with Department of Justice (DOJ) attorneys to file a civil
complaint in U.S. District Court. The court may dispatch U.S. Marshals to enforce the order
and to protect removal personnel. Before Marshals can be dispatched, the OSC should ask
EPA Headquarters to prepare a site-specific IAG to cover the cost of U.S. Marshal support.
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EXHIBIT 2. Response Management Checklist
The following checklist has been developed to assist OSCs in conducting removal actions and
coordinating the activities of other response and support personnel. OSCs should ensure that
the following activities are conducted at all removal sites when appropriate:*
Access Agreements
D Notify State to request access to the site.
D Oversee site access negotiations and agreements.
D Ensure ORC reviews all agreements (especially when State has no legal authority,
such as on Federal lands).
Worker and Visitor Health and Safety
D Prepare written safety plan covering all phases of incident operations and
identifying key personnel (update or modify plan as conditions change).
D Ensure workers and visitors are apprised of on-site hazards and provisions of the
plan (all persons entering the site must certify that they have read the plan and
understand its contents).
D Consult with OSHA on worker health and safety issues as needed.
Contractor Procurement and Oversight
D Prepare Procurement Request (PR) and Delivery Order (DO) for services.
D Notify Regional Financial Management Officer to enter accounting information.
D Issue completed DO to contractor Program Manager.
D Modify Statement of Work, completion date, or ceiling on PR/DO as needed
during response.
D Monitor contractor work progress throughout removal action.
Cost Management [15]
D Prepare pre-response cost estimates prior to response start-up.
D Consistently document the following items:
— Chronology of events and decisions
— Site conditions
— Movement of personnel and equipment
— Contractor planned and authorized work compared to
accomplishments
— Contractor costs
— Oversight costs where PRPs undertake action and the Administrative
Order does not waive oversight costs.
D Ensure all costs incurred are allowable.
* The order of events is for illustrative purposes; some events may occur concurrently.
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EXHIBIT 2 (continued). Response Management Checklist
Enforcement [4]
PRP Search, Identification, and Notification
D Document or photograph visual evidence linking PRPs to site, including drum
labels, shipping records, and vehicle registration.
n Conduct oral inquiries with PRPs and other observers (e.g., public officials,
reporters) at site.
D Initiate a title search.**
n Conduct off-site interviews.**
D Review relevant site records.**
D Notify PRPs of liability.
Preparation for Negotiation
D Notify State prior to negotiations or issuance of an Administrative Order.
D Establish the administrative record.
D Prepare signed Action Memorandum with enforcement addendum.
Community Relations [9]
D Designate an Agency spokesperson.
D Notify affected citizens, State and local officials, and civil defense/emergency
management agencies.
D Contact Community Relations Coordinator to arrange for on-site support.
(H Conduct community interviews for removal actions.
D Review/coordinate any news releases or statements made by participating
agencies.
O Prepare community relations plan.
D Select materials for and establish information repository.
D Inform public of availability of the information repository.
This activity should be conducted if time permits.
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EXHIBIT 2 (continued). Response Management Checklist
Administrative Record [16]
D Establish administrative record file.
D Select documents to be included in the administrative record file.
D Publish public notice of administrative record availability.
D Make the administrative record publicly available.
D Provide public comment period on the EE/CA and supporting documentation of
not less than 30 days for all non-time-critical removal actions, and a public
comment period of not less than 30 days for time-critical removal actions, as
appropriate. Prepare written response to comments, as applicable.
D Document compliance with community relations procedures in the administrative
record file.
D Add relevant documents to the administrative record file.
ARARs [6,17]
D Identify potential ARARs triggered by site characteristics during the removal site
evaluation phase.
D Contact State to assist in identifying State ARARs.
D Identify additional ARARs as potential actions are developed.
Reporting and Recordkeeping [5]
D Maintain log of all on-site activities.
D Prepare POLREPs throughout the removal action process.
D Prepare and submit final OSC report to NRT and/or RRT upon request.
Post-Removal Site Control (PRSC) [14]
D Obtain, prior to initiating a removal action, a commitment from the State, local
government, or PRP to perform and fund PRSC actions. For emergencies,
commitment may be obtained after initiation of removal action.
D Coordinate with Superfund remedial program if there is or may be remedial
activities at the site.
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The cost for U.S. Marshals is covered under CERCLA and does count toward the statutory
$2 million limit on removal actions. Whenever such situations arise, the OSC should contact
the appropriate Regional Coordinator for assistance.
Payments for Access/Indemnification
Generally, EPA will not pay property owners for rights-of-way or easements for property
adjacent to the site or within the site boundaries. In cases where payment or indemnification
of the property owner becomes an issue in arranging for site access, the issue should be
referred to ORC or the appropriate Regional Coordinator for assistance. Under Delegation
of Authority 14-30, signed September 13, 1987, OSCs must obtain advance concurrence from
the Assistant Administrator of OSWER and the Office of General Counsel (OGC) when
acquiring an interest in property (e.g., an easement or right-of-way required for an extended
period of time).
Property Damage
Damage or contamination to land or property incurred during a response action may be
reimbursable to the property owner by the Agency, particularly where the release was on the
property of an innocent party. Generally, the OSC should attempt to restore the property to
its pre-response condition (e.g., regrading and reseeding a temporary site access road). Where
there is contamination, the OSC may arrange for disposal. In cases where property damage
assessments are necessary to recommend fair compensation to the owner for all damages, the
OSC should consult with ORC to determine the appropriate next step. If the amount or type
of compensation becomes an issue, the OSC should continue consulting with the Regional
Counsel or contact the appropriate Regional Coordinator. More detailed information can be
found in the Guidance on Compensation for Property Loss in Removal Actions [18].
Worker and Visitor Health and Safety
Pursuant to section 126 of the Superfund Amendments and Reauthorization Act (SARA) and
§300.150 of the NCP, response actions are subject to all applicable Federal, State, and local
occupational safety and health laws. OSHA standards form the basis for the safety and health
protection of workers involved in hazardous substance response activities. Where State
occupational safety and health laws exist (currently 25 States/territories have such laws), these
laws also may apply to response actions. In addition, the safety and health requirements of
other Federal agencies may apply (e.g., DOT requirements for hazardous materials carriers).
The requirements described below apply to Federal agencies and contractors involved in
Fund-financed response actions and to PRPs when undertaking responses. If an accident
occurs during a removal action, a removal action accident report (see Exhibit 3) must be
completed and submitted to EPA. This form was developed to provide more detailed
documentation of circumstances surrounding accidents during removal actions.
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EXHIBIT 3. Information Required For A Removal Action
Accident Report
1. Date and Time of Incident:
Date of Report:
2. Site Name and Location:
Report Prepared By:
3. OSC:
Preparer's Phone No.:
4. Description of Incident:
5. Factors Leading Up to Incident:
6. Site Work Relating to Incident (OSC orders, foreman's orders):
7. Weather Conditions During Incident (temperature, humidity, wind direction and
speed, precipitation):
8a. Injuries (person, role of person on-site, description of injury):
8b. Exposure (person exposed, substances involved, type of exposure - inhalation,
ingestion, dermal):
8c. Medical Treatment (paramedic, physician, hospital, length of stay, estimated cost):
9. Property Damage (owner, location, description of damages, estimated cost):
lOa. Other Persons On-site:
lOb. Other Person's Roles/Activities On-site on Day of Incident:
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Fund-Financed Response Actions
All Federal, State, and contractor personnel involved in Fund-financed response actions must
comply with the lead agency's overall occupational safety and health policies and with a
site-specific health and safety plan that is developed by the lead agency. EPA originally
issued Standard Operating Safety Guides (SOSG) in 1988 to supplement the following:
Chapter 9, "Hazardous Substance Responses," of EPA Order 1440, Occupational Health and
Safety Manual; EPA Order 1440.2, Health and Safety Requirements for Personnel Engaged
in Field Activities; and EPA Order 1440.3, Respiratory Protection. In addition, EPA, OSHA,
USCG, and the National Institute of Occupational Safety and Health (NIOSH) have jointly
developed the Occupational Safety and Health Guidance Manual for Hazardous Waste Site
Activities [19] to provide general guidance for developing site-specific health and safety plans.
OSHA also has issued the Hazardous Waste Operations and Emergency Response
(HAZWOPER) Final Rule (29 CFR 1910.120), which sets forth the Federal requirements for
safety and health programs. In accordance with SARA section 126, EPA finalized standards
identical to OSHA's worker protection standards. EPA's regulation applies to employees of
State and local governments in States that do not have an approved State plan under section
18 of the Occupational Safety and Health Act of 1970. In June 1992, EPA revised the SOSG
to ensure compliance with HAZWOPER [20]. EPA's guidance documents and OSHA's final
rule form the basis for EPA's worker health and safety program for hazardous waste site
activities. Each Regional Office also must develop standard safety procedures, consistent with
appropriate OSHA and State requirements.
Because response activities are unique to each incident, standard procedures must often be
adapted or modified to meet the incident-specific requirements. For this reason, a written site-
specific health and safety plan (HASP) must be prepared for each incident. The HASP is
different from the site-specific health and safety plan that is developed by the lead agency.
The HASP is distributed and posted in the command post, preferably before removal
operations begin at the site. If the HASP is not written and posted before on-site operations
begin, it should be done as soon as possible thereafter. Under the HAZWOPER regulations,
site health and safety plans must cover all phases of incident operations, identify key
personnel, and be updated or modified as needed or as conditions change. As a minimum
requirement, the HASP should include:
• Names of key personnel and health and safety contacts;
• A task/operation safety and health risk analysis, with an evaluation of hazardous
substances present or expected to be present at the site and their chemical and
physical properties;
• An employee training program for all equipment operators and general laborers who
risk exposure to hazardous materials;
• A list of personal protective equipment to be used;
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• Medical surveillance requirements, including medical examinations at least once every
12 months for all employees who may be exposed to hazardous substances at or
above the Permissible Exposure Limits for 30 days per year or more;
• The frequency and types of air monitoring, personnel monitoring, and sampling
techniques;
• A site control program consisting of a site map, site work zones, buddy system, site
communications, safe work practices, and identification of nearest medical assistance;
• Decontamination procedures, as contained in an emergency response plan that also
addresses site security and controls, evacuation routes and procedures, emergency
medical treatment and first aid, emergency alerting and response procedures, critique
of response and follow-up, and personal protective equipment and emergency
equipment;
• Site standard operating procedures;
• Contingency plan; and
• Confined space entry procedures.
OSCs are responsible for ensuring that workers and visitors are apprised of on-site hazards
and the provisions of the HASP. The OSC should ensure that all individuals entering the site
(e.g., EPA, other contractors, and the media) read the HASP and sign a form indicating they
understand the plan.
The OSC should be aware of on-site health and safety activities and is responsible for
monitoring Federal and contractor compliance with: EPA health and safety requirements; site
health and safety requirements; and applicable Federal and State laws and regulations.
However, OSCs are only directly responsible for their own staff. All contractors must meet
the minimum OSHA requirements or be subject to penalty. Pursuant to NCP §300.150, each
government agency and private employer is responsible for the health and safety of its own
employees and for ensuring compliance with OSHA requirements, applicable State laws, and
with EPA health and safety programs. EPA will not assume responsibility for other
government or contractor personnel.
OSHA enforces compliance with Federal occupational safety and health regulations, and may
conduct OSHA inspections at removal actions. EPA can determine discrepancies in the site-
specific health and safety plan, but it is OSHA's responsibility to determine violations.
Where State occupational safety and health laws exist, the State may conduct inspections.
However, if the OSC discovers a safety violation, all site personnel and visitors should be
informed of the violation. Should the infraction continue, the OSC may request OSHA or
State occupational safety and health inspectors to review practices to ensure compliance.
Throughout the response action, OSHA is available to OSCs to provide advice on worker
health and safety issues. When needed, the OSC may request NIOSH assistance in testing
worker protection equipment and gathering information for guidance on safety issues. More
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detailed information can be found in Integrated Health and Safety Program Standard
Operating Practices for OSWER Field Activities [21].
PRP Responses
The NCP requires PRPs to provide adequate health and safety measures for their workers
when conducting Superfund response actions. PRPs must develop a site health and safety
program that is consistent with all applicable Federal and State occupational safety and health
laws. Workers entering the site must be apprised of site hazards and provisions of the safety
and health program. PRPs are ultimately responsible for worker compliance with provisions
of the site health and safety program.
The OSC, when monitoring PRP response actions, reviews the safety and health measures
developed by the PRP and monitors compliance with these measures. The OSC also must
report inadequate worker health and safety measures to the PRP's Project
Manager/Coordinator or its designated health and safety representative. In cases where an
OSHA violation has occurred, the OSC may request OSHA to conduct a health and safety
inspection.
Contractor Procurement and Oversight
OSCs may procure emergency cleanup support from EPA's Emergency and Rapid Response
Services (ERRS) contractors. OSCs should note that the ERRS contract is intended for
cleanup activities, and may not be used for removal site evaluations, extent of contamination
surveys, or broad planning activities. These restrictions on the use of ERRS contracts are
necessary to avoid potential conflicts of interest or the appearance of conflicts of interest.
ERT should be contacted to obtain these services.
Once Headquarters or the Region has approved a removal action, the Region can access the
services of the appropriate ERRS contractor through issuance of a delivery order (DO)
supported by a Procurement Request (PR). The PR is a document committing funds for a
cleanup contractor, while a DO obligates the funds. Although a PR is generally prepared in
advance of a DO, the immediacy of certain removal actions may require simultaneous
processing of the DO and PR or a oral agreement followed by formal documentation.
A DO contains the following elements: standard specifications (e.g., accounting data,
response time requirements); a statement of work (SOW); a ceiling amount; site-specific
health, safety, and institutional requirements; and terms and conditions. The level of detail
in the DO will vary according to the urgency of the removal action. For example, DOs for
situations in which the OSC has limited time to assess the nature of the release (e.g.,
emergencies) may contain general descriptions of tasks. For less urgent removal actions, the
OSC should prepare an SOW that has detailed descriptions of services, task schedules, and
deliverables.
Responsibility for preparing, signing, and issuing DOs rests with OSCs who have Ordering
Officer authority. For approved EPA-lead projects, Ordering Officers may obligate the
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government and issue DOs up to $250,000. Obligations above that amount for EPA-lead
projects, as well as DOs for USCG removal actions, require Contracting Officer approval.
General procedures for preparing, issuing, and modifying PRs and DOs are as follows:
• The PR is prepared and signed according to established Regional procedures. The
accounting information on the PR must be identical to that on the DO. The
commitment copy should be sent to Research Triangle Park (RTF) at: US EPA,
Financial Management Division, (MD-32) Attn: Contracts Financial Operations,
Research Triangle Park (RTP), NC 27711. The signed original should be sent to: US
EPA, Procurement and Contracts Management Division (PCMD), Superfund Removal
Procurement Section (3805F), 401 M Street, SW, Washington, DC 20460.
• The OSC/Ordering Officer should prepare the DO, except for the accounting
information.
• Depending upon the procedures established in each Region, the Ordering Officer,
Regional Financial Management Officer (FMO), or other designated staff will enter
the accounting information. The designated individual should obtain a Regional
Document Control Number (DCN) and an account number. During duty hours, these
numbers will be available from the Financial Management Division. During non-duty
hours, the Ordering Officer or FMO should follow established Regional procedures
for obtaining these numbers. If the appropriation number and object class category
are not preprinted on the DO, the Ordering Officer or FMO should also enter these
numbers.
• Once the DO is complete, the Ordering Officer should issue it to the contractor's
Project Manager/Coordinator or designee and should send the original signature copy
to PCMD and the designated copy to RTP.
• During the response, the OSC/Ordering Officer may determine that a modification to
the SOW, completion date, or ceiling is needed. The OSC/Ordering Officer is
responsible for requesting a written modification from the PCMD Contracting Officer.
Most requests can be handled by telephone. The OSC/Ordering Officer should
prepare a new PR for the unobligated portion of the new total cost and forward it to
the Regional FMO for approval. Within one day of approval, the Management
Division should assign the appropriate account number and new DCN and send the
commitment copy to RTP and the signed original to PCMD. The PCMD Contracting
Officer then prepares, signs, and issues Standard Form 30, "Amendment of
Solicitation Modification of Contract," to the ERRS contractor.
Once the DO is issued and the contractor begins work, the OSC is responsible for monitoring
work progress. The contractor should submit to the OSC a separate invoice for each DO, and
the OSC must certify each invoice and forward it expeditiously to RTP for payment.
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Emergency Site-Specific Contracts
Procedures for procuring emergency site-specific contracts, and controls on the use of these
contracts, are as follows:
• In cases where emergency cleanup actions are needed immediately, the OSC must
contact the ERRS contractor and request an earlier response time than has been
pre-established for the contract as a whole. If the ERRS contractor cannot respond
within the required time frame, the OSC may be authorized to select a contractor
(either a private firm or a State or local government) that can begin work
immediately.3
• If the ERRS contractor can respond at an earlier time that is acceptable to the OSC,
the earlier time is documented on the DO and the earlier agreed-upon time becomes
binding on the contractor for that one DO.
• No outside contracts (including letter contracts with State and local governments) may
exceed $10,000.
• The outside contracts must be used only until the ERRS contractor can arrive and take
over the removal action.
• The OSC must document in a separate memorandum to the file the exact nature of
the emergency and the necessity of awarding a separate contract.
National Contract Laboratory Program
OSCs requiring NCLP support should contact the Regional Sample Control Center (RSCC),
which schedules all requests. The RSCC is located in each Region's Environmental Services
Division (BSD). For emergency or time-critical removal actions, NCLP turnaround may not
be quick enough. In these cases, laboratory analyses often are conducted by the ESD
laboratories. In special situations requiring quick turnaround analyses over an extended period
of time, the OSC should contact the appropriate Regional Coordinator to arrange for an
analysis contract.
Oversight Activities
One of the most important and time-consuming roles for an OSC is overseeing cleanup
contractors. Examples of oversight activities include:
• Preparing the Work Plan;
• Directing site work;
3 Only OSCs with a currently written "Delegation of Procurement Authority" from PCMD to act as a Contracting Officer
may secure contractor services outside the existing agency contracts.
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• Monitoring project costs;
• Reviewing and certifying the Contractor Cost Report (EPA Form 1900-55), which
outlines daily contractor services and associated costs;
• Monitoring contractor personnel and equipment daily to verify satisfactory completion
of tasks within the Work Plan;
• Evaluating contractor performance; and
• Determining the overall project status.
In carrying out these oversight activities, OSCs may request support from START contractors.
START contractors, however, may not assume the OSC's responsibilities for directing site
activity, verifying satisfactory completion of work, or approving the Contractor Cost Report.
Compelling circumstances, such as another removal incident, may require the OSC to leave
the site for more than 24 hours. Section 300.135(d) of the NCP authorizes the OSC to
designate capable persons from Federal, State, and local agencies to act as OSC
representatives to supervise response operations. START personnel, because of their
non-governmental status, may not be designated OSC representatives.
The NCP and removal program policy dictate the following guidelines for, and limitations on,
the designation and activities of OSC representatives:
• Federal employees — The preferred designee would be another Federal employee
because such a designee would have the authority to direct, not merely oversee,
contractors, to initiate activities involving expenditures of money, and to certify
completion of work and costs. Examples of preferred designees include another
Superfund OSC, a non-OSC Superfund employee, a non-Superfund employee from
within the Region, an OSC or other employee from another Region, Headquarters
personnel, or employees from another Federal agency such as USCG. Reassignment
of staff from other duties, particularly those outside the program, Region, or Agency,
may not allow the necessary flexibility. Moreover, designation of a Federal employee
who does not have adequate training in program procedures and response operations
may adversely affect the quality of the response.
• State/local staff — The NCP precludes State and local officials from taking any
actions involving expenditures of Trust Fund monies, unless an appropriate contract
or cooperative agreement has been executed. In practice, this means that State and
local representatives may supervise implementation of the OSC's work orders but may
not provide new instructions.
• START — START personnel may not serve as OSC designees; they may, however,
continue to provide support services at the site and monitor cleanup contractor
performance in the absence of the OSC.
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Because of the practical difficulties in designating an OSC representative who can assume full
on-site responsibilities, OSCs are discouraged from leaving the site except in very limited
circumstances. Examples of circumstances where the OSC might leave the site are when EPA
has a contract with a State or local government to provide water hookups or when the site
clearly has "insignificant" activity (e.g., a pump running).
Under the ERRS contracts, OSCs must complete the following requirements in order to be
qualified to provide ERRS project oversight:
• Contract administration class offered by PCMD;
• Warrant Officer training class offered by PCMD (only necessary if individuals
performing project oversight need authority to obligate funds; issue DOs; approve
overtime, standby, and travel; issue stop work orders; consent to subcontracts; or
perform other duties specifically designated as those functions associated with the
Contracting Officer);
• Removal Cost Management System (RCMS) training class offered by ERT;
• On-site apprenticeship to a qualified EPA employee performing ERRS project
oversight;
• OSHA mandatory 40-hour safety training, entitled "Hazardous Materials Incident
Response Operations," offered by ERT; and
• EPA's basic Project Officer training class.
Because the ERRS contracts can also be used for rapid remedial response activities, OSCs
may serve in a support role to RPMs for ERRS project oversight in certain situations [12].
Cost Management
All Regions should implement an effective system for managing removal action response
costs. This management system should ensure the efficient use of public monies, enable all
removal costs to be tracked against program and statutory dollar ceilings, and provide the
necessary information to support cost recovery actions. Ultimate responsibility for cost
management rests with the OSC. For additional information on cost management, consult the
Removal Cost Management Manual [15].
Cost Projection
The key to effective cost management is thorough cost projection prior to the start of a
response, as well as during a response. Pre-response estimates of costs form the basis for
establishing the total project ceiling recorded in the Action Memorandum. Cost projection
during a response allows the OSC to anticipate the need for increases in the project ceiling
or an exemption from the $2 million statutory limit.
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Cost Control
Cost control consists of cost planning and monitoring as well as verification of costs. OSCs
are in the most advantageous position to control response costs if they remain informed on
the availability of cost-effective resources. OSCs should identify non-commercial support
services and response equipment available to the Region; familiarize themselves with
cost-effective cleanup services in the event contracting outside the ERRS network is required;
maintain information on the cost of obtaining, operating, and maintaining safety equipment;
and review OSC reports of costs at past responses.
In addition, OSCs are responsible for monitoring site work and verifying that the contractor
has provided the personnel, equipment, expendables, and subcontractors for which it has
charged the government. OSCs should note the strict limitations under the NCP and EPA
contract management policies for delegating these responsibilities to non-Federal personnel
such as START contractors or State officials not operating under a cooperative agreement.
Cost Documentation
Cost documentation refers to the specific set of procedures OSCs use to maintain a record of
all on-site activities and associated costs. The method of cost documentation must be
consistent from day to day at a specific response. The method an OSC selects must ensure
thorough recordkeeping for the following items:
• Chronology of events and decisions;
• Site conditions;
• Movement of personnel and equipment (e.g., site entry and exit);
• Contractor planned and authorized work compared to actual accomplishments;
• Contractor costs (e.g., commercial cleanup contracts, letter contracts with States and
localities);
• Oversight costs where PRPs undertake action and the Administrative Order does not
waive oversight costs; and
• Other costs (e.g., NCLP services, ERT, Regional laboratory services, lAGs, direct
Headquarters' and Regional intramural obligations, site access/acquisition).
OSCs should note that the specific cost items to be documented vary depending upon the
purpose of the documentation. Tracking actual costs against the project ceiling and $2 million
statutory limit, for example, does not include costs associated with section 104(b)
investigations; such costs are tracked in order to support a cost recovery action.
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Importance of Cost Documentation
Due to the possibility of cost recovery or other action (e.g., a challenge to the selection of a
response action or a claim for reimbursement under CERCLA section 106(b)), OSCs have the
responsibility to observe, document, and preserve critical facts about the response and its costs
for any action involving the expenditure of CERCLA funds. The cost documentation efforts
described above are designed to ensure that potential evidence concerning the release is
recorded before response activity or the passage of time obscures or eliminates it; that
physical evidence essential for a trial is collected and preserved in a manner that will
withstand judicial scrutiny; and that the government has maintained sufficient evidence of
total costs and can substantiate the need to incur those costs.
The essential elements of a cost recovery action and the nature of evidence required to sustain
such an action are:
• Evidence of a release or threat of release of a hazardous substance;
• Evidence of the liability of the defendant(s) under CERCLA section 107(a) for the
release or threatened release of a hazardous substance;
• Substantiation that response actions for which CERCLA funds were expended were
not inconsistent with the NCP; and
• Proof of incurred costs and their payment.
Removal Cost Management System
OSCs are encouraged to use the RCMS software, which is designed for on-site use and
automates some of the cost management concepts discussed in this section. This software
also ensures that costing methods are applied consistently throughout the removal program.
RCMS software includes a cost projection module and an efficient and accurate system for
on-site cost tracking. EPA provides training on the use of the RCMS. For additional
information on the RCMS, consult the RCMS User's Guide [22].
Allowable Costs
During a removal action, the OSC is authorized to incur costs provided they qualify as
appropriate uses of the Fund. These costs must be directly allocable to a particular response,
and must be reasonable and necessary to accomplish the response. Costs incurred by OSCs,
both intramural and extramural, for oversight of non-Fund-financed removal actions are
allowable. Exhibit 4 provides a description of allowable extramural and intramural costs for
removal actions.
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EXHIBIT 4. Allowable Costs for Superfund Removal Actions
EXTRAMURAL COSTS
D Contractor cleanup and consulting costs, including waste cleanup, transportation, and
disposal, which are now provided principally by ERRS contractors and supplemented
as needed by non-ERRS commercial contractors.
D Support contractor costs, including START, Response Engineering and Analytical
Contract (REAC), NCLP, and Technical Enforcement Services (TES).
Q Other Federal agency vendor and out-of-pocket costs, as either ongoing
responsibilities or through a site-specific IAG.
D State and local assistance obtained through a procurement contract (Order for
Services or Letter Contract with State and local governments).*
INTRAMURAL COSTS
D EPA direct costs, including the salaries, overtime, travel, and per diem of on-site
EPA personnel.
D Direct costs incurred by EPA's ERT.
D Direct costs incurred by EPA's technical and legal enforcement personnel in
Headquarters and the Regions related to cost recovery actions.
D Indirect expenses including EPA Regional and Headquarters management and
administrative costs and fringe benefits.
D EPA Regional laboratory costs.
D Other costs, such as EPA leasing or rental of equipment; incremental costs for
EPA-owned equipment; supplies, materials, and equipment (including transportation
costs) procured for the specific removal activity and fully expended during the
removal; access/right-of-way payments to landowners who are not PRPs; and
EPA-paid utilities.
These costs must also be in accordance with OMB Circular A-87 establishing cost
principles for State and local governments.
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PROCEDURES FOR MANAGING A REMOVAL ACTION
Non-Allowable Costs
Removal action costs that are not allowed include:
• State and local costs for which prior authorization was not specifically given by the
OSC or addressed in a CA, SSC, or procurement contract (e.g., municipal services
such as the use of police or fire departments and State personnel who are on the scene
performing tasks not specifically requested by the OSC). In addition, under EPA's
local government reimbursement (LGR) program, materials that were previously
budgeted for, and costs that are recovered through cost recovery efforts, may not be
reimbursed (see Reimbursements to Local Governments for Emergency Responses to
Hazardous Substance Releases Final Rule, 40 CFR Part 310).
• Costs to restore release-related damages to real property (as opposed to
response-related damages). Release-related damages are those that occur as a direct
result of the release of a hazardous substance (e.g., poisoning of fish or livestock).
There is no payment of natural resources damage claims from the Fund.
• Costs for the research and development of equipment and response technologies used
in conjunction with a removal action (e.g., innovative disposal technologies). Funding
may be available, however, under CERCLA section 31 l(b). If such a situation arises,
the OSC should contact the OSWER Office of Program Management's Resource
Management Staff.
• Costs for removal of petroleum (including crude oil and any fraction thereof that is
not otherwise specifically listed or designated as a hazardous substance), natural gas,
natural gas liquids, liquefied natural gas, or synthetic gas usable for fuel (or mixtures
of natural gas and such synthetic gas).
• Costs incurred by a contractor in providing response measures for which the
contractor is later found to be liable.
OSCs should ensure careful documentation of all costs to ensure that the above cost categories
are not paid for with Fund monies.
Enforcement
CERCLA authorizes EPA to negotiate settlements, issue orders to persons including PRPs,
or sue PRPs to recover cleanup costs when the Fund has been used to finance removal or
remedial actions. OSCs play an integral role in EPA's efforts to reach settlement or compel
PRPs to perform cleanups or pay for them. Enforcement activities performed by OSCs
include PRP search, identification, and notification; negotiations preparation; cost tracking;
and information and decision-documentation related to cost recovery [4].
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PROCEDURES FOR MANAGING A REMOVAL ACTION
PRP Searches
The Agency requires known and viable PRPs to conduct removal actions. PRP searches
should begin as soon as a removal action appears likely [23]. When possible, ORC should
be consulted before a removal action begins or PRP search work is underway; the ORC may
have valuable information concerning the PRP's identity. The urgent nature of emergency
and time-critical removal actions, however, often requires a Fund-financed response to begin
prior to an extensive PRP search. Even if a Fund-financed removal action must be initiated
before PRP identification and notification, a complete PRP search should be conducted at all
sites. Complete and accurate PRP searches support subsequent negotiations, settlements, and
cost recovery. PRP searches vary in length and scope depending on the amount of time
between discovery and execution of the Action Memorandum, the urgency of the situation,
and the cost of the removal action. Regardless of the urgency of the situation, efforts to
locate PRPs should continue throughout the removal action to support cost recovery efforts
and possible PRP involvement in continuing or future response actions.
PRP Notification
Following identification of PRPs, Regional enforcement staff, in consultation with OSCs,
initiate actions to obtain PRP response. When possible, the Regional program office should
issue notice letters to identified PRPs concerning their potential liability and inform them of
the intended response action prior to beginning a removal action. Regional enforcement staff
should develop notice letters in consultation with OSCs. The notice letters are subsequently
issued by the Regional Administrator (RA) or the RA's designee. There are three types of
notice letters:
• Notice of potential liability for a removal action that EPA has undertaken or intends
to undertake as well as the opportunity for PRPs to conduct work (this may be given
orally followed by written confirmation in emergencies);
• Special notice under CERCLA section 122(e) that formal negotiations will be held and
that a formal moratorium on a removal action exists;4 and
• An explanation under CERCLA section 122(a) of why special notice procedures under
CERCLA section 122(e) were not followed.
OSWER has distributed model notice letters that are available in all Regions.
For emergency removal actions, OSCs may notify PRPs orally via the telephone or in person.
The Regional Office then confirms the oral notification and any requests for response by
sending the PRP a general notice letter, which may be reviewed by ORC when time permits.
For time-critical removal actions, OSCs follow the same notification procedures for
obtaining PRP response as in emergency actions. However, Regional enforcement personnel
4 Emergency and time-critical removal actions do not follow special notice procedures due to the urgency of these situations.
Non-time-critical removal actions are exempt from the moratorium provisions when a significant threat to public health or the
environment would exist during the moratorium.
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PROCEDURES FOR MANAGING A REMOVAL ACTION
should issue notice letters before the start of the removal action. For non-time-critical
removal actions, special notice letters may be issued to invoke formal negotiations and a
60-120 day moratorium on EPA response actions. Prior to the issuance of special notice
letters or the beginning of negotiations, ORC and other enforcement staff should be consulted.
OSCs and Regional enforcement staff should then issue the special notice letters and schedule
negotiations as soon as possible to secure an enforcement-lead removal action.
State Notification
For a removal action, States must always be notified prior to negotiations for, or issuance of,
an Administrative Order. Notification should be accomplished via letter to the appropriate
State department or agency, except in an emergency when preliminary notification may be
made by telephone. All telephone notifications must be followed by written confirmation.
Neeotiations, Settlements, and Orders
Where viable PRPs have been identified and site conditions allow, OSCs, in consultation with
Regional enforcement staff and ORC, plan and participate in negotiations. While the
preferred outcome of negotiations is an Administrative Order on Consent (AOC), EPA has
the authority to issue a Unilateral Administrative Order (UAO) to compel PRPs to conduct
the removal action. In some emergency or time-critical removal actions, sufficient time to
negotiate consent agreements with PRPs is not available; therefore, OSCs and Regional
enforcement staff may find it necessary to bypass negotiations for an AOC and immediately
issue an UAO.
For simple removal actions, the AOC/UAO may include a Work Plan as an attachment. For
more complex removal actions, the AOC often details the scope of work and requires the PRP
to draft a detailed Work Plan as a first deliverable. All AOCs should contain reimbursement
provisions for past costs and oversight costs. If viable and recalcitrant PRPs do not respond
to notice letters or do not sign an AOC, OSCs and Regional enforcement staff develop and
issue a UAO.
Oversight of Enforcement-Lead Removal Actions
Administrative Orders outline the activities PRPs must undertake and the completion date for
the entire removal action and its discrete parts. OSCs, through the oversight process, monitor
and determine compliance with the AOC or UAO. OSCs remain at the site, contact on-site
personnel daily, or visit the site periodically to monitor compliance. START or TES
contractors may assist OSCs in overseeing field activities and reviewing Work Plans, data,
and reports. If the enforcement-lead removal action is not conducted appropriately or in a
timely manner and is not in accordance with the AOC or UAO, OSCs and Regional
enforcement personnel may initiate a CERCLA section 106 judicial action, or EPA may
perform the removal action. In either case, oversight activities should include, but are not
limited to:
• An initial meeting of the primary cleanup contract official, the PRP-designated Project
Manager/Coordinator, and the OSC to review the work to be conducted;
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PROCEDURES FOR MANAGING A REMOVAL ACTION
• Periodic status meetings with, or reports submitted to, the OSC to monitor PRP
progress; and
• Site inspections at critical points in the removal process.
In addition, a site completion meeting should be arranged to verify that all work was
performed as directed.
Public Participation
Public participation procedures for removal actions have been designed to ensure an
appropriate level of public involvement without causing unnecessary delay. These procedures
encompass two primary components: community relations and development of the
administrative record.
Community Relations
When a removal action has been determined to be necessary, it is imperative to give the
public prompt, accurate information on the nature of the hazard and the actions necessary to
mitigate the hazard. Community relations activities are intended to promote active
communication between the community and EPA. The OSC, as the Agency's lead technical
representative, is responsible for conducting or delegating community relations activities. The
OSC may need to accomplish the following as part of a removal action:
• Designate an Agency spokesperson;
• Notify affected citizens, State and local officials, and civil defense/emergency
management agencies;
• Contact the CRC to arrange for on-site support;
• Conduct community interviews for removal actions;
• Review/coordinate any news releases or statements made by participating agencies;
and
• Prepare a community relations plan for actions lasting longer than 120 days, including
establishing and selecting materials for inclusion in the information repository and
informing the public of the availability of the information repository.
At the discretion of the OSC, other community relations activities may be conducted to help
implement the community relations plan. Other community relations activities may include
conducting public meetings and availability sessions (informal meetings); developing
additional public information materials such as fact sheets, public notices, or exhibits;
developing a community relations mailing list to facilitate distribution of information about
site activities; preparing a meeting summary that provides the community with a written
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PROCEDURES FOR MANAGING A REMOVAL ACTION
record of the key points covered during community meetings; and establishing an on-scene
information office.
Administrative Record
CERCLA requires the establishment of an administrative record, which is an entire
compilation of documents supporting a response action decision. An administrative record
file is the body of documents (as they are being compiled) that the Agency considered or
relied on to select a removal action. The NCP requires EPA to conduct the activities listed
below.
• Establish an administrative record file.
• Select documents to be included in the administrative record file.
• Publish a public notice of administrative record availability. Issue notice within 60
days of initiation of the on-site removal activity for time-critical removal actions,
including emergencies. Issue notice of availability of the administrative record with
a brief description of the EE/CA for non-time-critical removal actions.
• Make the administrative record file available.
• Provide a period of not less than 30 days for public comment on the EE/CA and
supporting documentation for all non-time-critical removal actions and for time-critical
actions, as appropriate.
• Document compliance with community relations procedures in the administrative
record file.
• Prepare written responses to significant comments and include them in the
administrative record file for all non-time-critical removal actions and for those
time-critical removal actions for which a public comment period was held.
• Add relevant documents to the administrative record file.
The public participation approach that the OSC adopts for the community should reflect the
interests and information needs of the community. The OSC should match the extent and
type of information to be communicated with requests and concerns expressed by the
community. For example, if a removal action uses a new technology, the OSC may use
charts and diagrams as part of the public participation approach to help the community
understand basic technological concepts.
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PROCEDURES FOR MANAGING A REMOVAL ACTION
Identification and Compliance with ARARs
In accordance with §300.415(j) of the NCP, on-site removal actions conducted under
CERCLA are required to attain substantive State and Federal ARARs to the extent practicable.
The NCP identifies two factors that should be considered in determining whether identifying
and complying with ARARs is practicable: (1) the urgency of the situation, and (2) the scope
of the removal action to be taken. In general, full compliance with ARARs is the highest
priority at NPL sites where an exemption to the statutory time and dollar limits may be
available based on the "consistency" exemption.
The extent to which OSCs identify and attain ARARs depends on whether the removal action
is an emergency, time-critical, or non-time-critical action. For emergency removal actions,
OSCs should not delay response in order to identify potential ARARs. During the site
evaluation phase, OSCs should identify potential ARARs triggered by the site characteristics
to the extent possible given the urgency of the situation. Once immediate threats to human
health and the environment have been prevented, stabilized, or mitigated, OSCs should
identify ARARs and determine if compliance is practicable.
For time-critical removal actions, OSCs should identify during the site evaluation phase, to
the extent practicable, site characteristics that may trigger ARARs. As potential actions are
developed, OSCs should identify additional ARARs and, based on site circumstances,
determine the practicability of complying with ARARs. If the Action Memorandum is
modified during the public comment period, OSCs should then identify new ARARs,
reevaluate the practicability of complying with the ARARs, and revise the Action
Memorandum accordingly. More detailed information on ARARs can be found in the
Superfund Removal Procedures Guidance on Consideration of ARARs During Removal
Actions [6].
During non-time-critical removal actions, sufficient time should be available for OSCs to
ensure that ARARs determinations are based upon a reasonable understanding of site
characteristics. In particular, preparing the EE/CA should allow OSCs to fully consider
ARARs in the development of response actions [7].
Off-Site Storage, Treatment, and Disposal Procedures
OSCs must follow the procedures described in the final rule on procedures for planning and
implementing off-site response actions (40 CFR Part 300) when implementing response
actions involving off-site storage, treatment, or disposal of CERCLA wastes. Section
121(d)(3) of CERCLA requires hazardous substances removed from CERCLA sites to be
transferred only to facilities that are operating in compliance with RCRA, the Toxic
Substances Control Act (TSCA), or other applicable Federal laws or regulations, and all
applicable State requirements. The final rule on off-site response actions directs CERCLA
wastes to EPA-approved facilities, thus avoiding potential environmental problems that could
result from improper disposal. OSCs should bear in mind the Agency's objective that
response decisions show consideration of and a preference for treatment, recycling, and reuse
as alternatives to land disposal. In meeting the off-site response action requirements, OSCs
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PROCEDURES FOR MANAGING A REMOVAL ACTION
should coordinate closely with the Regional RCRA Off-Site Coordinator (ROC), and TSCA
and State personnel as appropriate.
Compliance with the off-site response action final rule is mandatory for removal actions,
except in cases where the OSC determines that an emergency exists and that full compliance
with the policy might endanger human health, welfare, or the environment. In such cases,
OSCs should contact the Regional Coordinators for guidance in determining whether site
conditions meet this exemption. In addition, OSCs should consider temporary solutions (i.e.,
interim storage) to allow time to locate an acceptable facility and secure hazardous substances
off-site while evaluating permanent disposal options. OSCs must provide the Regional
Administrator, or the RA's designee, a written explanation of the decision to use the
emergency exemption within 60 days of taking the action.
Reporting and Recordkeeping
Requirements for Recordkeeping
OSCs must comply with mandatory statutory recordkeeping requirements prescribed by
CERCLA and the NCP. Because the Agency may, at any time, be required to prove
compliance with these requirements and binding contractual arrangements, OSCs must
document and record all decisions and determinations that they make prior to and during a
response. In addition, section 113(k) of CERCLA, as amended, requires that an
administrative record be established that consists of information the Agency considered or
relied on in making its decision on the selection of a removal action.
Site and Regional files and the administrative record are the main repositories for site records
and original documentation. Care must be taken to ensure their completeness and long-term
security. Selection of removal action, site management, and financial management records
are critical when cost recovery or other litigation is involved. Complete and precise OSC
records of oral and written communication with the PRP, contractors, and participating
Federal, State and local agencies must be maintained should litigation arise at a later time
[16].
Prior to beginning a removal action, the OSC should maintain documentation regarding
decisions and determinations relating to issues such as:
• The appropriateness of the removal response;
• The possible need for remedial response;
• Findings and recommendations of section 104(b) studies (e.g., ATSDR health
advisories);
• Contact with the PRP;
• Planning of response actions;
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PROCEDURES FOR MANAGING A REMOVAL ACTION
• Development of contractual arrangements; and
• Compliance with applicable or relevant and appropriate environmental statutes.
During the course of a Fund-financed removal action, the OSC is responsible for generating
and maintaining site-specific documents such as Action Memoranda. Action Memoranda are
the primary decision documents to select and authorize removal actions. They are the critical
component of the administrative record.
An Action Memorandum is not only a summary of past, current, and proposed activities. It
must document consideration of the factors affecting the removal decision. Specifically, it
must substantiate the need for a removal action based upon criteria in the NCP, identify the
proposed action, and explain the rationale for the removal. Action Memoranda provide a
concise written record of the decision selecting a removal action. They describe the site's
history, current activities, and health and environmental threats; outline the proposed actions
and costs; and document approval of the proposed action by the proper Headquarters' or
Regional authority. An addendum to the Action Memorandum, which is not part of the
decision to select a removal action, sets forth the enforcement strategy. Each Action
Memorandum to initiate a removal must follow the standard model discussed in the Superfund
Removal Procedures Action Memorandum Guidance [2].
Daily and periodic cost control reports are also prepared by the OSC. It is critical in
emergency situations that the OSC maintain a log of on-site activities and record all
communications with the contractor and participating Federal, State, and local agencies. Any
necessary Federal, State, or local agency cost control recordkeeping requirements may be
prescribed in an MOU, IAG procedures for Federal agencies, CA, or SSC. [15].
Pollution Reports (POLREPs)
Pollution Reports (POLREPs) provide documentation of activities for all removal actions
under CERCLA, as well as oil spill responses under the Clean Water Act and underground
storage tank removal actions under RCRA. The principal function of a POLREP is to inform
Regional management, EPA Headquarters, the NRT and RRT, and the trustees of affected
natural resources about the:
• Source and circumstances of the release;
• Identity of PRPs;
• Removal actions taken;
• Costs incurred for removal actions; and
• Impacts and potential impacts of the release to public health and welfare and to the
environment.
OSCs prepare POLREPs throughout a removal action, providing factual and timely reporting
of ongoing removal operations and the total costs incurred for most removal action sites.
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PROCEDURES FOR MANAGING A REMOVAL ACTION
Although the NCP does not require POLREPS for PRP-lead sites, OSCs are encouraged to
prepare POLREPS and keep Regional management, Headquarters, the NRT, and the RRT
informed of on-site activities, especially any unusual or significant incidents. POLREPs are
prepared at the initiation and completion of a removal action, and regularly between the
preparation of the initial and final POLREP. POLREPs should be prepared daily, weekly,
monthly, or as the need arises due to changes at the site. If an accident occurs during a
removal action, a removal action accident report (see Exhibit 3) should be completed and
submitted to the appropriate Regional Coordinators in addition to reporting the accident to the
Regional Coordinators via a POLREP. Detailed information on preparing POLREPs can be
found in the Superfund Removal Procedures Removal Response Reporting: POLREPs and
OSC Reports [5].
POLREPs are sent to the appropriate Regional Coordinators at:
E-mail EPA 5511, or
Telefax number 703-603-9116, or (703) 603-9107.
In the event that these methods of communication are unavailable, POLREPs may be mailed
to the appropriate Regional Coordinators at:
U.S. Environmental Protection Agency, MS 5202-G
401 M Street, SW
Washington, DC 20460
In addition, POLREPs should be distributed to Regional branch/section chiefs and all agencies
or parties participating in the removal action, such as the USCG, RRT representatives, State
representatives, and the U.S. Fish and Wildlife Service.
OSC Reports
Section 300.165 of the NCP requires that the OSC submit a complete report of a removal
action at the request of the NRT or RRT. The OSC Report provides a written summary of
a removal action, recording the situation as it developed, the actions taken, the resources
committed, and the problems encountered.
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PROCEDURES FOR MANAGING A REMOVAL ACTION
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PROJECT CLOSE-OUT
AH completed removal actions must follow specified closeout procedures. These procedures
include preparing and submitting the final OSC report, if required, completing all contract
management requirements (e.g., certification of invoices, receipt of off-site disposal report),
and ensuring appropriate post-removal site control arrangements with the State, as necessary.
Definition of Action Completion
At the conclusion of the removal action, the OSC should determine when the project is
complete. The completion date signifies that all approved actions have been completed and
the removal action has abated or mitigated the threats that prompted the action. Completion
dates should be 12 months or less from the date of initial response, unless the OSC has
obtained an exemption in accordance with the provisions of section 104(c)(l) of CERCLA
[24].
For purposes of tracking the 12-month limit, the completion date is defined as the date on
which all approved response actions are completed and the contractor and OSC have
completely demobilized. Temporary demobilization and temporary storage on-site are not
considered completions, unless temporary storage is the only action identified in the Action
Memorandum to mitigate threats to public health and welfare and the environment. Similarly,
temporary off-site storage of hazardous substances at a treatment, storage, and disposal facility
other than the facility of ultimate disposal is a continuation of the removal action, not a
completion.
In limited situations, a completed removal action at an NPL site may effectively remedy all
threats at the site without implementing remedial action, thus rendering the site eligible for
deletion from the NPL.
Post-Removal Site Control
Post-removal site control (PRSC) refers to those activities that are necessary to sustain the
integrity of a removal action following its conclusion. PRSC activities, such as relighting gas
flares, replacing filters, and collecting leachate, are necessary for ensuring the continuing
effectiveness of a removal action after the completion of the on-site removal activities or after
the $2 million or 12-month statutory limitations are reached. Removal program policy
encourages States, local governments, and PRPs to assume responsibility for PRSC.
If the OSC believes that PRSC will be necessary once the removal action is completed, the
OSC should obtain, prior to initiating the removal action, a commitment from the State, local
government, or PRP (e.g., a letter agreement or MOU) to perform and fund the PRSC actions
necessary to sustain the integrity of the completed removal action. For emergencies,
commitment may be obtained after initiation of the removal action. If no agreement can be
obtained, the OSC should avoid recommending any removal option that involves continuing
PRSC where other options exist that may be implemented at once.
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PROJECT CLOSE-OUT
Some situations may require PRSC as part of all removal options. If no State or local
government agrees to assume responsibility for PRSC costs, the OSC will be required to
justify to the Regional Administrator any continuation of funding from the Fund beyond the
12-month limit. Such a justification must meet one of the two statutory exemption criteria
to exceed the 12-month statutory limits; otherwise, funding for the removal action will be
terminated.
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APPENDIX A. REFERENCES4
Guidance
[1] OSWER Dir. 9360.0-18, "Removal Program Priorities" (March 31, 1988).
[2] OSWER Dir. 9360.3-01, "Superfund Removal Procedures Action Memorandum Guidance"
(December 1990).
[3] OSWER Dir. 9360.0-19, "Guidance on Non-NPL Removal Actions Involving Nationally
Significant or Precedent-Setting Issues" (March 3, 1989).
[4] OSWER Dir. 9360.3-06, "Superfund Removal Procedures Removal Enforcement Guidance
for On-Scene Coordinators" (April 1992).
[5] OSWER Dir. 9360.3-03, "Superfund Removal Procedures Removal Response Reporting:
POLREPs and OSC Reports" (January 1993).
[6] OSWER Dir. 9360.3-02, "Superfund Removal Procedures Guidance on the Consideration of
ARARs During Removal Actions" (August 1991).
[7] OSWER Dir. 9360.0-32, "Guidance on Conducting Non-Time-Critical Removal Actions
Under CERCLA" (August 1993).
[8] OSWER Dir. 9360.3-08, "Superfund Removal Procedures Removal Response
Decision: Site Discovery to Response Decision" (March 1996).
[9] OSWER Dir. 9360.3-05, "Superfund Removal Procedures Public Participation Guidance for
On-Scene Coordinators: Community Relations and the Administrative Record" (June
1992).
[10] OSWER Pub. 9203.1-051, Volume 1, Number 5, "SACM Regional Decisions - Interim
Guidance" (October 1994).
[11] OSWER Dir. 9360.0-13, "Guidance on Implementation of the 'Contribute to Remedial
Performance' Provision" (April 6, 1987).
[12] OSWER Dir. 9242.2-07FS, "SACM Contract Vehicle - The Emergency and Rapid
Response Services (ERRS) Contracts" (February 1993).
[13] OSWER Dir. 9242.6-07, "Long-Term Contracting Strategy for Superfund" (August 31,
1990).
4 Bracketed numbers appear throughout the text and correspond to the references listed in this appendix. These references
may be consulted for additional information on specific topics affecting removal response management.
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[14] OSWER Dir. 9360.2-02, "Policy on Management of Post-Removal Site Control" (December
3, 1990).
[15] OSWER Dir. 9360.0-02B, "Removal Cost Management Manual" (April 1988).
[16] OSWER Dir. 9360.2-01, "Model Program for Removal Site File Management" (July 1988).
[17] OSWER Dir. 9234.0-05, "Interim Guidance on Compliance with Applicable or Relevant and
Appropriate Requirements" (July 9, 1987).
[18] OSWER Dir. 9225.4-01, "Guidance on Compensation for Property Loss in Removal
Actions" (February 1996, DRAFT).
[19] NIOSH Pub. 85-115, "Occupational Safety and Health Guidance Manual for Hazardous
Waste Site Activities" (October 1985).
[20] OERR Pub. 9285.1-03, "Standard Operating Safety Guides" (June 1992).
[21] OSWER Dir. 9285.0-Ola, "Integrated Health and Safety Program Standard Operating
Practices for OSWER Field Activities" (July 1992).
[22] "User's Guide for Removal Cost Management Software", Version 2.0 (May 1986).
[23] OSWER Dir. 9834.3-1A, "PRP Search Manual" (August 27, 1987).
[24] OSWER Dir. 9832.15, "Draft Documentation of Removal Completions for Calculation of
CERCLA Statute of Limitations" (August 1, 1989).
Statutes and Regulations
Administrative Regulation on Cooperative Agreements and Superfund State Contracts, 40 CFR
Part 35, Subpart O.
Amendment to the National Oil and Hazardous Substances Pollution Contingency Plan;
Procedures for Planning and Implementing Off-Site Response Actions Final Rule,
40 CFR Part 300.
The Comprehensive Environmental Response, Compensation, and Liability Act of 1980,
as amended, 42 USC 9601-9675.
Hazardous Waste Operations and Emergency Response Final Rule, 29 CFR 1910.120.
The National Oil and Hazardous Substances Pollution Contingency Plan, 40 CFR Part 300.
Reimbursements to Local Governments for Emergency Responses to Hazardous Substance
Releases Final Rule, 40 CFR Part 310.
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APPENDIX B. KEY WORDS INDEX
Action Memorandum 3, 14, 26, 27, 41, 46, 50, 52, 55
Administrative Record 5-6, 14-15, 18, 48, 49, 51, 52
Administrative Record Coordination (ARC) 12
Agency for Toxic Substances and Disease Registry (ATSDR) 19. 26
Applicable or Relevant and Appropriate
Requirements (ARARs) 6, 28, 29, 50
Community Relations Coordinator (CRC) 15, 48
Contractor Procurement 29, 37-38
Cooperative Agreement (CA) 4, 40, 42
Emergency and Rapid Response Services (ERRS) 16-17, 37, 39, 41
Environmental Response Team (ERT) 4, 7, 12, 37, 41, 42
Interagency Agreement (IAG) 4, 19, 26, 27-29, 52
National Contract Laboratory Program (NCLP) 16, 18, 39, 42
National Priorities List (NPL) 1-2, 4, 16, 28, 50, 55
National Response Team (NRT) 9-11, 52-53
Occupational Safety and Health
Administration (OSHA) 26, 33, 35-37, 41
Office of Regional Counsel (ORC) 5, 14-15, 29, 33, 46
Pollution Reports (POLREPs) 6, 11, 27-28, 52-53
Post-Removal Site Control (PRSC) 55-56
Potentially Responsible Parties (PRPs)
Notification 29, 52
Searches 2, 4-5, 14, 18, 28, 37, 45-46, 47
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Pre-Qualified Offerers Procurement Strategy (PQOPS) 17
Regional Decision Team (RDT) 16
Regional Response Team (RRT) 9-11, 13, 28, 52-53
Remedial Project Manager (RPM) 16, 41
Removal Actions
Emergency 2, 6, 28, 39, 46, 47, 50
Non-Time-Critical 2, 6, 16
Time-Critical 2, 16
Removal Site Evaluation 5-6, 37
Preliminary Assessment (PA) 5
Site Inspection (SI) 5
Site-Specific Contracts 17, 39
Superfund Technical Assessment and Response
Team (START) 16, 18, 40, 42, 47
Technical Enforcement Services (TES) 16, 18, 47
United States Coast
Guard (USCG) 9, 10, 13, 15, 19, 26, 28, 35, 38, 40, 53
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