vvEPA
             United States
             Environmental Protection
             Agency
              Office of
              Solid Waste and
              Emergency Resoonse
DIRECTIVE NUMBER:   9835. i*

TITLE.* Interim Guidance on Potentially Responsible Party
Participation in Remedial Investigations and Feasibility
Studies
              APPROVAL DATE

              EFFECTIVE DATE:
             ' May 16, 1988
                           May 16, 1988

              ORIGINATING OFFICE: OWPE/CED/Guldance and Oversight
                               Branch
              E FINAL
                                            »

              D DRAFT

               LEVEL OF DRAFT

                 OS A — Signed by AA or OAA
                 D 8.—Signed by Office Director

                 DC — Review & Comment

              REFERENCE (other documents):
SWER       OSWER       OSWER
   DIRECTIVE    DIRECTIVE    Dl

-------
  vvEPA
             United States
             Environmental Protection
             Agency
              Office of
              Solid Waste and
              Emergency Resoonse
DIRECTIVE NUMBER:   9835. i*

TITLE.* Interim Guidance on Potentially Responsible Party
Participation in Remedial Investigations and Feasibility
Studies
              APPROVAL DATE

              EFFECTIVE DATE:
             ' May 16, 1988
                           May 16, 1988

              ORIGINATING OFFICE: OWPE/CED/Guldance and Oversight
                               Branch
              E FINAL
                                            »

              D DRAFT

               LEVEL OF DRAFT

                 OS A — Signed by AA or OAA
                 D 8.—Signed by Office Director

                 DC — Review & Comment

              REFERENCE (other documents):
SWER       OSWER       OSWER
   DIRECTIVE    DIRECTIVE    Dl

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       v>EPA
           united otates environmental protection Agency
                  Washington. DC 20460
OSWER Directive Initiation Request
                                                                     1. Directive Numoer
                                                                           I A.
                                    2. Originator Information
       Name of Contact Person
       Curt Overcast
                   Mail Code     (Office
                    WH-527	bwPE/CED/GOB
                                                               Telephone Code
       3. Title
       Interim Guidance  on Potentially Responsible Party Participation in Remedial
       Investigations  and Feasibility Studies
       4. Summary of Directive (irvclude brief statement of purpose)
        Sets forth policies and procedures  governing PRP participation in the RI/FS process,
        including initiation of PRP searches PRP notification, development of agreements,  and
        oversight of  RI/FS activities.
       5. Keywords
       PRPs, RI/FS,  CERCLA, SARA,  Oversight
                                              ,No
                                    Yes    What directive (number, title)
6a. Does This Directive Supersede previous Directive^?    i
 #9835.1 - "Participation of Potential!^
 Responsible Parties  in Development  of RI's & FS's Under  CERCLA"
b. Does It Supplement Previous Oirective(s)?          .   ;_    I   |
                                               No
                                    Ves    What directive (number, title)
       7. Draft Levei
           A - Signed by AA/DAA
                            I—I
B -• Signed by Office Director
                                     C - For Review & Comment
                                                                        D - In Developmer.
8. Document to be distributed to States by Headquarters?
Y

Yes


No
       This Request Meets OSWER Directives System Format Standards.
      9. Signature of Lead Crfice Directives Coordinator
                                                  Date
                                                                     Date
      EPA Forfff 1315-17 (R«v. 5-87) Previous editionspre obsolete.
   OSWER           OSWER                OSWER               0
VE     DIRECTIVE          DIRECTIVE         DIRECTIVE

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               UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
                          WASHINGTON, O.C. 20460
                               MAY 16 •.:::
MEMORANDUM


SUBJECT:



FROM:


TO:
                                                   May  16,  1938
          Interim Guidance on Potentially Responsible Party
          Participation in Remedial Investigations and
          Feasibility Studies
              /  .     ' 6—
             '_>•->	  -  :• 1^=1
          J. Winston Porter
          Assistant Administrator

          Regional Administrators, Regions I-X
          Regional Counsel, Regions I-X
          Director, Waste Management Division,
               Regions I, IV, V, VII, and VIJI
          Director, Emergency and Remedial Response
               Division, Region II
          Director, Hazardous Waste Management Division,
               Regions III and VI
          Director, Toxics and Waste Management  Division,
               Region IX
          Director, Hazardous Waste Division, Region X
I.
INTRODUCTION
     This memorandum  sets  forth the policy and procedures
governing the participation  of  potentially responsible parties
(PRPs) in the development  of remedial investigations (RI) and
feasibility studies  (FS) under  the Comprehensive Environmental
Response, Compensation,  and  Liability Act (CERCLA),  as amended by
the Superfund Amendments and Reauthorization Act (SARA) of 1986.
This memorandum discusses:

     o    Tb« initiation of  enforcement activities including PRP
          ••arches and PRP notification;

     o  ~"~The circumstances  in  which PRPs may conduct the RI/FS;

     o    The development  of enforceable agreements governing PRP
          RI/FS activities;

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                                                           #9835.la

      o     Initiation of PRP RI/FS activities and oversight of the
           RI/FS by EPA;

      o     EPA control over PRP RI/FS activities including
           correction of deficiencies, dispute resolution, and
           termination of PRP RI/FS activities; and

      o     PRP participation in Agency RI/FS activities.

More  detailed information regarding each of the above topics is
included  in the attached Appendices.

      This  document is consistent with CERCLA and EPA guidance in
effect as  of March 1988, and is intended to supersede the March
20, 1984 memorandum from Assistant Administrators Lee M. Thomas
and Courtney M. Price entitled "Participation of Potentially  ,
Responsible Parties in Development of Remedial Investigations and
Feasibility Studies Under CERCLA" (OSWER Directive No. 9835.1).
Users of this guidance should consult the draft "Guidance For
Conducting Remedial Investigations and Feasibility Studies Under
CERCLA"  (March 1988) or any relevant guidance or policies issued
after distribution of this document before establishing EPA/PRP
responsibilities  for conducting RI/FS activities.  This guidance
will  be incorporated as an appendix to the "Guidance for
Conducting Remedial Investigations and Feasibility Studies Under
CERCLA."   Additional guidance regarding procedures for EPA
oversight  activities will be available in the' forthcoming EPA
"Guidance  Manual  on Oversight of Potentially Responsible Party
Remedial Actions  Under CERCLA."
II.  BACKGROUND

     Sections 1'04/122 l of CERCLA "provide PRPs with the
opportunity to conduct the RI/FS when EPA determines that, 1) the
PRPs are qualified to conduct such activities and 2) that they
will carry out the activities in accordance with CERCLA
requirements and EPA procedures.  The Agency will continue its
policy of early and timely PRP searches as well as early PRP
notification and negotiation for RI/FS activities.

     It in also the policy of EPA to encourage the early and
active participation of PRPs in conducting RI/FS activities.  EPA


       1.  The legal authority to enter into agreements with  PRPs
  is found in CERCLA Section 122(a).  This section then refers to
  response actions conducted pursuant to Section 104(b).  For the
  purposes of this guidance, Sections 104/122 will be  cited when
  referring to such authority.

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                                                           39335.la

 believes  that  early  participation of PRPs in the remedial process
 will  encourage PRP implementation of the selected remedy.  PRP
 participation  in  RI/FS  activities will ensure that they have a
 better  and  more complete understanding of the selected remedy,
 and thus  will  be  more likely to agree on implementation of the
 remedy.   Remedial activities performed by PRPs will also conserve
 Fund  monies, thus making additional resources available to
 address other  sites.

      As part of the  Agency's effort to encourage PRP
 participation  in  remedial  activities, EPA will consider the PRPs'
 role  in conducting RI/FS activities when assessing an overall
 settlement  proposal  for the remedial design and remedial action.
 For example, when the Agency performs a non-binding allocation of
 responsibility (NEAR),  the Agency may consider previous PRP
 efforts and cooperation.   This will provide an additional
 incentive for  PRPs to be cooperative in conducting RI/FS
 activities.

      Although  EPA encourages PRP participation in,conducting the
 RI/FS,  the  Agency and CERCLA impose certain conditions governing
 their participation.  These conditions are intended to assure
 that  the  RI/FS performed by the PRPs is consistent with  Federal
 requirements and  that there is adequate oversight of those
 activities.  These conditions, are discussed both  in- Section III
 and Appendix I of this  memorandum.

      At the discretion  of  EPA, a PRP  (or group of PRPs)  may
 assume  full responsibility for undertaking RI/FS  activities
 pursuant  to Sections 104/122 of CERCLA.  The terms and conditions
'governing the  RI/FS  activities should be specified in an
 Administrative Order.   The use of Administrative  Orders  is
 authorized  in  CERCLA Section 122(d)(3); they are  the preferred
 type  of agreement for RI/FS activities since they are authorized
 internally  and therefore,  may be negotiated more  quickly than
 Consent Decrees.  Before SARA, Administrative Orders were signed
 using the authorities of Section 106 of CERCLA.   New provisions
 in SARA allow  for Orders to be signed using the authorities of
 Sections  104/122; Section  104/122 Orders do not require  EPA to
 make  a  finding of imminent and substantial endangerment.  RI/FS
 activities  developed subsequent to the Administrative Order are
 set forth in a Statement of Work, which is then embodied or
 incorporated into the Order.  A Work Plan describing detailed
 procedure~3~~and criteria by which the RI/FS will be performed  must
 be developed by the  PRPs and, after approval by EPA, should also
 be incorporated into the Administrative Order.

      It is  the responsibility of the lead Agency  to ensure  the
 quality of  the effort if the PRPs assume responsibility  for
 conducting  the RI/FS.   Therefore, EPA will establish oversight

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                                                           =9335. la

 procedures  and  project  controls  to ensure that the response
 actions  are consistent  with  CERCLA and the National Contingency
 Plan  (NCP).   Section  104(a)(1) of CERCLA mandates that no PRP be
 allowed  to  undertake  an RI/FS unless EPA determines that the
 party(ies)  conducting the RI/FS  is qualified to do .so and
 further,  that the  PRPs  agree to  reimburse EPA for the costs
 associated  with qualified third  party oversight.  Third party
 oversight is required by Section 104(a)(1) and will be provided
 to  assist in overseeing and  reviewing the conduct of the RI/FS.


 III.   INITIATION  OF  ENFORCEMENT ACTIVITIES

     As  part of effective management of enforcement activities,
 timely settlements for  RI/FS activities are to be pursued.  This
 includes conducting .PRP searches early in the site discovery
 process  and subsequent  notification to all PRPs of their
 potential liability and of their opportunity to perform response
 activities.   Guidance on conducting timely and effective PRP
 searches is contained in the guidance manual, "Potentially
 Responsible Party  Search Manual" (August 27, 1987 •- OSWER
 Directive No. 9834.6).

     EPA policy has been to  notify PRPs of their potential
 liability for the  planned response activities, to exchange
 information about  the site,  and  to provide PRPs with an  '
 opportunity to  undertake or  finance the response activities
 themselves.   In the past this has been accomplished by issuing a
 "general notice" letter to the PRPs.  In addition to the use of
 the general  notice letter, Section 122(e) of CERCLA now
 authorizes  EPA  to  use "special notice" procedures, which for an
 RI/FS, establish a 60 to 90  day  moratorium and formal negotiation
 period.   The purpose  of the  moratorium is to provide time for
 formal negotiation between EPA and the PRPs for conduct of RI/FS
 activities.   In particular,  use  of the special notice procedures
 triggers a  60 day  moratorium on  EPA conduct of the RI/FS.  During
 the 60 day  moratorium,  if the PRPs provide EPA with a "good  faith
 offer" to conduct  or  finance the RI/FS, the negotiation period
 can be extended to a  total of 90 days.  EPA considers a good
 faith offer to  be  a written  proposal where the PRPs make a
 showing  of  their qualifications  and willingness to conduct or
 finance  th« RI/FS.  Such a showing should include the major
 elements  of a Statement of Work  or Work Plan  (see Appendix II).
 Minor deficiencies in the initial submittals should not be
 grounds  for  a determination  that the offer is not a good  faith
 offer or  that the  PRPs  are unable to perform the RI/FS.

     To  facilitate, among other  things, PRP participation  in the
RI/FS process,  Section  122(e)(l) requires the special notice
 letter to provide  the names  and  addresses of other PRPs,  the

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                                                           =?9835. la

volume and nature of substances contributed by each PRP,  'and a
ranking by volume of substances at the site, to the extent this
information is available at the time of special notice.   Regions
are encouraged to release this information to PRPs with the
notice letters, to the extent the information is available, when
the notice letters are issued.  To expedite settlements,  Regions
are also encouraged T:O give PRPs as much guidance as possible
concerning the RI/FS process.  It is appropriate to transmit to
PRPs copies of important guidance documents such as the draft
"Guidance for Conducting Remedial Investigations and Feasibility
Studies Under CERCLA"  (March 1988), as well as model
Administrative Orders and Statements of Work.  A model
Administrative Order can be found in the memorandum from Gene
Lucero entitled, "Model CERCLA Section 106 Consent Order for an
RI/FS" (January 31, 1985 - OSWER Directive No. 9835.5) while a
model Statement of Work can be found as an appendix to the
"Guidance on Remedial Investigations Under CERCLA" (June 1985 -
OSWER Directive  No. 9355.6-06B).  (The model Order and the model
Statement of Work are being revised to reflect SARA requirements
and will be forthcoming.)  Other Regional and Headquarters
guidance relating to technical issues may be given to PRPs, as
well as examples of project plans (plans that must be developed
for the RI/FS activities) that are of high quality.  A
description of the required project plans is included in Appendix
II.

     Although use of the special .notice procedures 'is
discretionary, Regions are encouraged to use these procedures in
the majority of cases.  If EPA decides not to employ the special
notice procedures in Section 122(e) the Agency will notify the
PRPs in writing of such a decision, including an explanation as
to why EPA believes the use of the special notice procedures is
inappropriate. . Additional information on the content of special
notice letters, including the use of these notice provisions, can
be found in the memorandum entitled "Interim Guidance on Notice
Letters, Negotiations, and Information Exchange"  (October  19,
1987 - OSWER Directive No. 9834.10).

     Section 121(f)(l) requires that the State be notified of PRP
negotiation* and that an opportunity for State participation  in
such negotiations be provided.  In addition, Section  122(j)(l)
requires that if a release or threat of release at the site  in
question may have resulted in damages to natural  resources,  EPA
must notlTy the appropriate Federal or State Trustee  and provide
an opportunity for the Trustee to participate  in  the
negotiations.  To simplify the notification of Federal Trustees,
the Agency intends to provide a list of projects  in the  Superfund
Comprehensive Accomplishments Plan  (SCAP) to  the  Trustees  as
notice to participate in the negotiations.

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                                                           ^9835.la

 IV.   CONDITIONS  FOR  EPA  INVOLVEMENT IN AND PRP INITIATION OF
      RI/FS  ACTIVITIES

      Under  Section 104(a)(1) EPA may authorize PRPs to conduct
 RI/FS activities at  any  site, provided the PRPs can do so
 promptly  and  properly  and can meet the conditions specified by
 EPA  for conducting the RI/FS.  These conditions are discussed in
 Appendix  I  of this document and involve the scope of activities,
 the  organization of  the  PRPs, and the PRPs1 (and their
 contractor's)  demonstrated expertise.  EPA encourages PRPs to
 conduct the RI/FS provided that the PRPs commit in an Order (or
 Consent Decree)  under CERCLA Sections 104/122 (or Section 106/122
 for  a Decree)  to conduct a complete RI/FS to the satisfaction of
 EPA,  under  EPA (or State) oversight.2  Oversight of RI/FS
 activities  by the lead agency is required by Section 104(a)(1)
 and  is intended  to assure 'that the RI/FS is adequate for lead
 agency identification of an appropriate remedy, and that it will
 otherwise meet the Agency requirements of CERCLA, the NCP, and
 relevant Agency  guidance.  EPA will allow PRPs to conduct RI/FS
 activities  and will  provide review and oversight under the
 following general circumstances.

      EPA's  priority  is to address those NPL sites that have been
 identified  on the SCAP.  The SCAP is an EPA management plan which
 identifies  site-  and activity- specific Superfund financial
 allocations for  each quarter of the current fiscal year.  When
 employing Section 122(e) notice procedures, EPA will notify PRPs
 of its intention  to  conduct RI/FS activities at NPL sites in a
 manner that allows at least 90 days notice before obligating the
 funds necessary  to complete the RI/FS (see Section III of this
 guidance).  During this  90 day timeframe PRPs may elect to
 conduct the RI/FS, under the review and oversight of EPA.  If the
 PRPs  agree  to conduct the RI/FS, tbey must meet the conditions
 discussed in  Appendix I  of this guidance.  The scope and terms
 for conducting the studies are embodied in an Agreement; as
mentioned in  Section II, Administrative Orders are the preferred
 type  of Agreement for RI/FS activities.

      EPA will  not engage in lengthy discussions with PRPs over
whether the PRPs  will conduct the RI/FS; rather, EPA will adhere
to the tim«frames established by the Section 122 special notice
provisions.   In most instances, once Fund resources have been
obligated to  conduct the RI/FS, the PRPs will no longer  be
eligible To conduct  the  RI/FS activities at the site.
     2    For a State-lead site the State  is  responsible for
oversight; however, EPA should establish a minimum oversight
program to ensure that the State  is providing adequate oversight
of the remedial activities.

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                                                           49335.la

     The actions described below are typically taken to initiate
RI/FS activities.

     o    EPA develops a site-specific Statement of Work (SOW)  in
          advance of the scheduled RI/FS start.  This SOW is then
          provided to the PRPs along with a draft of the
          Administrative Order (or Consent Decree) at the time of
          special notice.  PRPs may, with EPA approval, submit a
          single site plan that incorporates the elements of a
          SOW and a detailed Work Plan.  This combined site plan
          must clearly set forth the scope of the proposed RI/FS
          and would be incorporated into the Agreement in place
          of the SOW.

     o    Final provisions of the SOW are negotiated with the
          Order  (or Decree).

     o    EPA determines whether the PRPs possess the necessary
          capabilities to conduct an RI/FS in a timely and
          effective manner (conducted simultaneously with other
          negotiations).                          »

     o    EPA develops a Community Relations Plan specifying any
          activities that may be required of the  PRPs.
          (Community relations activities are discussed in
          Appendix II of this guidance.)

     o    EPA determines contractor and staff resources required
          for oversight and initiates the development of an
          oversight plan.  Initiation of the oversight plan may
          include preparing a Statement of Work,  if a contractor
          is to develop the oversight plan.

     o    EPA and PRPs identify and procure any necessary
          assistance.

     o    PRPs submit a Work Plan to EPA for Agency review and
          approval.  The Work Plan must present detailed
          procedures and requirements for conducting the RI/FS  if
          such procedures have not been set forth in the
          Agreement.  This Work Plan, which in most instances is
          on« of the first deliverables under the Order  (or
          Decree), is commonly incorporated into  the Agreement
         __following EPA approval.

     These standardized actions ensure that the scope  of the
RI/FS activities to be conducted by the PRPs,  and the  procedures
by which the RI/FS is performed, are consistent with  EPA policy
and guidance.  Additional actions may be required either  for  a
more complex site or for a site where a number of PRPs are

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                                                           = 9335. la

 involved. Regardless of the circumstances, the actions listed in
 this  section  should be negotiated as expeditiously as possible.
 Specific elements of these actions are discussed in Appendix II.


 V.    DEVELOPMENT OF THE RI/FS ADMINISTRATIVE ORDER OR CONSENT
      DECREE

      The PRPs must respond to EPA's notice letter by either
 declining, within the time specified, to participate in the
 RI/FS, or by  offering a good faith proposal to EPA for performing
 the RI/FS.  Declining to participate in the RI/FS may be implied
 if the PRPs do not respond to the notice letter.  If the PRPs
 have  declined to participate, or the time specified has lapsed,
 EPA will obligate funds for performing the RI/FS.  If a good
 faith proposal is submitted, EPA will negotiate with the PRPs on
 the scope and terms for conducting the RI/FS.

      The results of successful negotiations will in most cases be
 contained in  an Administrative Order, or where the site is in
 litigation, in a Judicial Consent Decree entered into pursuant to
 Section 122(d) of CERCLA.  Guidance for the development of an
 Administrative Order is provided in the document "Administrative
 Order: Workshop and Guidance Materials" (U.S. EPA, 1985f), and in
 the memorandum from Gene Lucero entitled "Model CERCLA Section
 106 Consent Order for -an RI/FS" (January 31, 1985).   (The latter
 guidance .is currently being revised since the provisions in SARA
 allow for Orders to be signed using the authorities of Sections
 104/122.)

     An Administrative Order (or Consent Decree) will generally
contain the scope of activities to be performed (either as a
Statement of Work or Work Plan), EPA or State oversight roles and
responsibilities, and enforcement options that may be exercised
in the event of noncompliance (such as stipulated penalties).  In .
addition to the above,  the Agreement will typically include the
following elements,  as agreed upon by EPA, the PRPs, and other
signatories to the Agreement.

     o    Jurisdiction - Describes EPA's authority to .enter into
          Administrative Orders or Consent Decrees.

     o    Parties bound - Describes to whom the Agreement applies
         —and is binding upon.

     o    Purpose - Describes the purpose of the Agreement  in
          terms of mutual objectives and public benefit.

     o    Findings of fact, determination, and conclusions  of law
          - Provides an outline of facts upon which the Agreement

                                  8

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                                                 =9335.la

is based, including the fact that PRPs are not subject
to a lesser standard of liability and will not receive
preferential treatment from the Agency in conducting
the RI/FS.

Notice to the State - Verifies that the State has been
notified of pending site activities.

Work to be Performed - Provides that PRPs submit
project plans for EPA or State review and approval
before commencing RI/FS activities.  Project plans are
those plans developed for the RI/FS project and
include: a Work Plan, describing all tasks to be
performed during the RI/FS (including the schedules for
EPA review and approval procedures as well as a
schedule for Work Plan submission and RI/FS
implementation); a Sampling and Analysis Plan,
describing the field sampling to be performed and the
quality assurance procedures which will be followed for
sampling and analysis (including a description of how
the data gathered during the RI/FS will*be .managed);
and a Health and Safety Plan describing health and
safety precautions to be exercised while onsite-   (More
information on the project plans can be found in
Appendix II of this guidance.)

Compliance with CERCLA. the NCP, and Relevant Agency
Guidance - Specifies that remedial action at a site
will comply with the requirements of CERCLA, the NCP,
and relevant Agency guidance determined to be
appropriate for site remediation.

Reimbursement of costs - Specifies that PRPs will
assume all costs of performing the work required by the
Agreement.  In addition, this section commits PRPs  to
reimbursement of all costs associated with EPA review
and oversight activities.  This includes reimbursement
for third party assistance in oversight, as  required by
section 104(a)(1).  This section should also specify
th« nature and kind of cost documentation to be
provided and the process for billing and receiving
payment.

Reporting - Specifies the type and  frequency of
reporting that PRPs must provide to EPA.  Normally the
reporting requirements will, at a minimum include  the
Work Plan(s), a RI summary, a summary describing-the
development and screening of alternatives, results of
treatability studies, progress reports, and  the draft
and final RI/FS reports.  Additional  reporting

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                                                  =9835.la

  requirements are  left  to the discretion of the Regions.
  That is,  Regions  may require additional deliverables
  such as interim reports on particular RI or FS
  activities.

  Designated  EPA, State, and PRP project coordinators -
  Specifies that  EPA, the State, and PRPs shall each
  designate a  project coordinator.

  Site access  and data availability - Stipulates that
  PRPs shall  allow  access to the site by EPA, the State,
  and third party oversight officials.  Access will be
  for inspection, review, oversight, and monitoring in
  any way pertaining to  the work undertaken pursuant to
  the Order (or Decree).  In addition, access will be
  provided in  the event  of project takeover.  This
  section also stipulates that EPA will be provided with
  all currently available data.

  Record  preservation -  Specifies that all records must
  be maintained by  both  parties for a minimum of 6 years
  after termination of the Agreement, followed by a
  provision requiring PRPs to offer the site records to
  EPA before  destruction.

  Administrative  record  requirements - Provides that all   .
  information  upon  which the selection of remedy is based
  must be-submitted to EPA in fulfillment of the
  administrative  record  requirements pursuant to Section
  113 of  CERCLA.   (Additional information on
  administrative  record  requirements is contained in
  Appendix III of this guidance.)

  Dispute resolution - Specifies steps to be taken if  a
  dispute occurs.   The Administrative Order states that
  with respect to all submittals and work performed, EPA
  will be the  final arbiter, while the court is the  final
  arbiter for  a Consent  Decree.   (More information on
  dispute resolution can be found  in Appendix IV of  this
  guidance.)

  D«lay in performance/stipulated penalties - Specifies
  ZPA's authority to invoke stipulated penalties for
—jaoncompliance with Order or Decree provisions.  Section
  121 of  CERCLA requires that Consent Decrees contain
  provisions  for  penalties in an amount not to  exceed
  $25,000 per  day.  In addition to stipulated penalties,
  Section 122  provides civil penalties for violations  of
  Administrative  Orders  and Consent  Decrees.  Delays that
  endanger public health and/or the  environment may

                         10

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                                                           =9335.la

          result in termination of the Agreement and EPA takeover
          of the RI/FS.   (More information on stipulated
          penalties can be found in the Office of Enforcement and
          Compliance Monitoring's (OECM) "Guidance on the use of
          Stipulated Penalties in Hazardous Waste Consent
          Decrees"  (September 21, 1987) and in Appendix IV of
          this guidance.)

     o    Financial assurance - Specifies that PRPs should have
          adequate financial resources or insurance coverage to
          address liabilities resulting from their RI/FS
          activities.  When using contractors, PRPs should
          certify that the contractors have adequate insurance
          coverage or that contractor liabilities are
          indemnified.

     o    Reservation of  rights - States that PRPs are not
          released from all CERCLA liability through compliance
          with the Agreement, or completion of the RI/FS.  PRPs
          may be released from liability relating directly to
          RI/FS requirements, if PRPs complete the RI/FS
          activities to the satisfaction of EPA.

     o    Other claims -  Provides that nothing in the Agreement
          shall constitute a release from any claim or liability
          other than, perhaps, for the cost of the RI/FS, if
      . .'   completed to EPA satisfaction.  Also provides that
      ''.    ;nothing in the  Agreement shall constitute
          preauthorization of a claim against the Fund under
          CERCLA.  This section should also specify the
          conditions for  indemnification of the U.S. Government.

     o    Subsequent modifications/Additional work - Specifies
          that the PRPs are committed to perform any additional
          work or subsequent modifications which are not
          explicitly stated in the Work Plan, if EPA determines
          that such work  is needed to enable  the selection  of  an
          appropriate response action.   (Appendix IV of this
          guidance contains additional  information on  this
          clause.)


VI.  STATEMENT OF WORK AND WORK PLAN

     Based upon available models and guidance, the Region should
send a Statement of Work  (SOW) to the PRPs with the special
notice and draft Administrative Order  (or Consent Decree).  "The
SOW describes the broad objectives and  general activities to be
undertaken in the RI/FS.  Once the PRPs receive the SOW they
                                  11

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 develop a more detailed Work Plan,  which  is typically
 incorporated into the Order (or Decree) following EPA approval.
 The Work Plan expands the tasks described in  the SOW and presents
 detailed procedures for conducting  the RI/FS.


 VII.   REVIEW AND OVERSIGHT OF THE RI/FS

      To ensure that the RI/FS conforms to the NCP and the
 requirements of CERCLA,  including Sections 104(a)(l) and 121, EPA
 will  review and oversee PRP activities.   Oversight  is also
 required to ensure that the RI/FS will result in sufficient
 information to allow for remedy selection- by  the lead Agency.

      An oversight plan should be developed which specifies the
 activities EPA,  the State,  and EPA  contractors  (or  other .
 oversight officials)  will be performing.   Different mechanisms
 will  be used for the review and oversight of  different PRP
 products and activities.   These mechanisms, and corresponding PRP
 activities,  should be specified in  the oversight plan.
 Generally,  however,  the following oversight activities should be
 specified:

      o     Review of plans,  reports,  and records by  EPA and the
           State;       /        .          •-••_.•••"

      o  •  .Oversight of field activities (including  maintenance of
           records and documentation);

      o     Meetings;  and

      o     Special studies.

      Section 104(a)(1)  requires that the  President  contract  with
 or arrange for a  "qualified person"  to assist in the oversight
 and review of the conduct of the RI/FS.   EPA  believes that
 qualified persons,  for the purposes of overseeing RI/FS
 activities,  are  those firms or individuals with the professional
 qualifications,  expertise,  and experience necessary to provide
 assurance that the Agency is conducting meaningful  and effective
 oversight of PRP activities.   In this context,  the  qualified
 person  generally will be either a TES, REM, or ARCs contractor.
 EPA employees,  employees of other Federal agencies, State
 employees1,- or any other "qualified  person" EPA  determines to be
 appropriate  however,  may be asked to perform  the necessary
 oversight functions.

     As  part of  the Section 104 requirements, PRPs  are required
to reimburse EPA  for third party oversight costs.   It  is Agency
policy however,  to recover all response costs at a  site  including

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all costs associated with oversight.  Additional guidance on
oversight and project control activities is presented in
Appendices III and IV of this guidance, respectively.


VIII.  CONTROL OF ACTIVITIES

     EPA will usually not intervene in a PRP RI/FS if activities
are conducted in conformance with the conditions and terms
specified by the Order  (or Decree).  When deficiencies are
detected, EPA will take immediate steps to correct the PRP
activities.  Deficiencies will be corrected through the use of
the following activities:  (1) identification of the deficiency,
(2) demand for corrective measures, (3) use of dispute resolution
mechanisms, where appropriate, (4) imposition of penalties, and
if necessary, (5) PRP RI/FS termination and project takeover or
judicial enforcement.  These activities are described in detail
in Appendix IV of this guidance.


IX.  PRP PARTICIPATION IN AGENCY-FINANCED RI/FS ACTIVITIES

     PRPs that elect not to perform the RI/FS should be allowed
an opportunity for involvement in a 'Fund-Financed RI/FS.  Section
113(k)(2)(B) requires that interested persons, including PRPs, be
provided an opportunity for participation in the development of
the administrative record.  PRP participation may include the
submittal of information, relevant to the selection of remedy,
for inclusion in the record and/or the review of record contents
and submittal of comments on such contents.

     The extent of additional PRP involvement will be left to  the
discretion of the Region and may  include activities  such as:

     o    Access to the site to observe sampling and analysis
          activities; and

     o    Access to raw data and draft reports.

It should b« noted that the Region may be required to allow
private citizens access to the same information that is provided
to the PRP».  The Regions must therefore take this into
consideration when determining the extent of the PRPs involvement
in a Fund^Tinanced RI/FS.

     The Agency continues to encourage PRP participation  in
Agency-Funded RI/FSs to the maximum extent possible.  Private
parties may possess technical expertise or knowledge about a  site
which would be useful in developing a  sound RI/FS.   Involvement
by PRPs in the development of a Fund-financed RI/FS  may  also

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expedite remediation by identifying and satisfactorily resolving
differences between the Agency and private parties.

     Aside from participation in' the administrative record, which
is a statutory requirement, the final decision whether to permit
PRPs to participate in other aspects of the Fund-financed RI/FS
(as well as tne scope of any participation) rests with the
Regions.  This decision should be based on the ability of PRPs to
organize themselves so that they can participate as a single
entity, and the ability of PRPs to participate without undue
interference with or delay in completion of the RI/FS, and other
factors that the Regions determine are relevant.  The Region may
terminate PRP participation in RI/FS development if unnecessary
expenses or delays occur.


X.  CONTACT      ;                              '      •

     For further information on the subject matter discussed in
this interim guidance, please contact Susan Cange  (FTS 475-9805)
of the Guidance and Oversight Branch, Office of Waste Programs
Enforcement.
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                           APPENDIX I

             CONDITIONS FOR PRP CONDUCT OF THE RI/FS
Organization and Management

     When several potentially responsible parties are involved  at
a site they must be able to organize themselves quickly into  a
single representative body to negotiate with EPA.  To facilitate
this negotiation process, EPA will make available the names of
and addresses of other PRPs, in accordance with the settlement
provisions of CERCLA Section 122(e).  Either a single PRP or  an
organized group of PRPs may assume responsibility for development
of the RI/FS.

Scope of Activities

     -As part of the negotiation process PRPs must agree to follow
the site-specific Statement of Work (SOW) developed by EPA,
including reasonable modifications acceptable to EPA, as the
basis for conducting an RI/FS.  PRPs are required^to submit an
RI/FS Work Plan setting forth detailed procedures'and tasks
necessary to accomplish the RI/FS activities described in the
SOW.  EPA will reject any request for modifications to the SOW
that are not consistent with CERCLA (as amended by SARA), the
NCP, the requirements set forth in this guidance document, the
draft "Guidance on Remedial Investigations and Feasibility
Studies Under CERCLA" (March 1988), or other relevant CERCLA
guidance documents.

Demonstrated Capabilities

     PRPs must demonstrate to EPA that they possess, or are able
to obtain, the .technical expertise necessary to perform all
relevant activities identified in the SOW, and any amendments
that may be reasonably anticipated to that document.  In
addition, PRPs must demonstrate that they possess the managerial
expertise and have developed a management plan sufficient to
ensure that the proposed activities will be properly controlled
and efficiently implemented.  This management plan should be
submitted to EPA for approval either during negotiations or as a
part of th« Work Plan.  As stated previously, a  Work Plan
describing detailed procedures and criteria by which the RI/FS
will be performed is developed by the PRPs after the EPA SOW is
developed"^" The PRP management plan should be equivalent  in scope
and content to the discussion of roles and responsibilities of
key personnel usually contained in the Quality Assurance  Project
Plan (see the draft "Guidance on Remedial Investigations  and
Feasibility Studies Under CERCLA"  (March 1988)).
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      In  addition  to demonstrating their managerial capabilities,
 the  PRPs should demonstrate that they possess the financial
 capability  to  conduct and complete the RI/FS in a timely and
 effective manner.  These capabilities are discussed briefly
 below.
      Q     Demonstrated Technical Capability

      PRPs  should be  required to demonstrate the technical
 capabilities of key  personnel  involved in executing the project.
 Personnel  qualifications may be demonstrated by submitting
 resumes  and references.  PRPs  should demonstrate the capabilities
 of  the firm that will perform  the work by outlining their past
 areas -of business, relevant projects and experience, and overall
 familiarity with the types of  activities to be performed as part
 of  the remedial response.

    .  It  is important that qualified firms be retained "for
 performing RI/FS activities.   Firms that do not have the
 necessary  expertise  for performing RI/FS studies may create
 unnecessary delays in the project and may create situations which
 further  endanger public health or the environment.  These
 situations may be created when PRP contractors submit
 insufficient project plans  (plans developed for the RI/FS
 project),  submit deficient reports, or perform inadequate field
 work.  .Furthermore,  excessive  Agency oversight may be required  in
 the event .that an unqualified  contractor, performs the RI/FS; the
 Agency may have to significantly increase its workload by
 providing  repeated reviews of  project plans, reports,'and
 oversight  of field activities.

      The PRPs must also demonstrate the technical capabilities  of
 the laboratory chosen to do the analysis of samples collected
 during the RI/FS.  If a non-CLP laboratory is selected, EPA may
 require  a  submission from the  laboratory which provides a
 comprehensive statement of the laboratories' personnel
 qualifications, equipment specifications, security measures, and
 any other  material necessary to prove the laboratory is qualified
 to conduct the work.


      o     Demonstrated Management Capability

      PRPs  must demonstrate that they have the administrative
capabilities necessary for conducting the RI/FS in a responsible
and timelymanner.   An RI/FS team organization chart should be
prepared describing  responsibilities and lines of authority.
Positions  and responsibilities should be clearly related to/
technical  and managerial qualifications. The PRPs should also
demonstrate an understanding of effective communications,
information management, quality assurance, and quality control

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systems.  PRPs usually procure the services of consultants (or
contractors) to conduct the required RI/FS activities.   The
consultants must demonstrate, in addition to those requirements
stated above, effective contract management capabilities.


     o    Demonstrated Financial Capability

     The PRPs should develop a comprehensive and reasonable
estimate of the total cost of anticipated RI/FS activities.  EPA
will decide or. a case-by-case basis if the PRPs will be required
to demonstrate that they have the necessary financial resources
available and committed to conduct the RI/FS activities.  The
resources estimated should be adequate to cover the anticipated
costs for the RI/FS as well as the costs for oversight, plus a
margin for unexpected expenses.  If, during the conduct of the
RI/FS the net worth of the financial mechanism providing funding
for the RI/FS is reduced to less than that required to complete
the remaining activities, the PRPs should immediately notify EPA.
Under conditions specified in the Order (or Decree), PRPs are
required to complete the RI/FS regardless of initial cost
estimates or financial mechanisms.
                                                 i

     o    Assistance for PRP Activities

     If PRPs propose to use consultants for conducting  or
assisting in the RI/FS, the PRPs- should specify the tasks  to be
conducted by the consultants and submit personnel and corporate
qualifications of the proposed firms to the EPA for review.
Verification should be made that the PRPs1 consultants  have no
conflict of interest with respect to the project.  Any
consultants having current EPA assignments as prime contractors
or as subcontractors must obtain approval from their EPA Contract
Officers before performing work for PRPs.  In addition,
consultants that are PRPs at the site may not conduct  or assist
in the conduct of the RI/FS.  Lack of clarification on  possible
conflicts of interest may delay the PRP RI/FS.  EPA will reserve
the right to review the PRPs proposed selection of consultants
and will disapprove their selection if, in EPA's  opinion,  they
either do not possess adequate capabilities or there exists a
conflict of interest.  It should be noted that the ultimate
responsibility for selection of contractors rests with  the PRPs.
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                             APPENDIX II

                  INITIATION OF PRP RI/FS  ACTIVITIES
Development of the Statement of Work

     After the PRPs have been identified in the PRP Search Report
they are sent either a general notice letter followed by a
special notice letter or a general notice letter followed by an
explanation pursuant to Section 122(a) why special notice
procedures are not being used.  EPA will engage in negotiations
with those PRPs who have submitted a good faith offer in response
to the notice letter and therefore have volunteered to perform
the RI/FS.  While the PRPs are demonstrating their capabilities
for conducting the RI/FS, EPA will negotiate the terms of the
Administrative Order (or Consent Decree).  Either an acceptable
Statement of Work or Work Plan must be incorporated into the
Agreement.

     The Statement of Work (SOW) is developed by EPA and
describes, in a comprehensive manner, all RI/FS activities to be
performed, as reasonably anticipated, prior to the onset of the
project.  The SOW focuses on broad objectives and describes
general activities that will be undertaken to achieve these
objectives.  Detailed procedures by which the work will be
accomplished are not presented -in the SOW, but are described in
the subsequent Work Plan that is developed by the PRPs. In
certain instances, with the approval of EPA, PRPs may prepare a
single site plan incorporating the elements of a SOW and a Work
Plan.  In such instances, the site plan will be incorporated into
the Order (or Decree) in place of the broader SOW.


     o      Use- of the EPA Model SOW

     EPA has developed a model SOW defining a comprehensive RI/FS
effort which is contained in the June, 1985 "Guidance on Remedial
Investigations under CERCLA"  (OSWER Directive No. 9355.0-06B).
The Regions should develop a site-specific SOW based upon the
model and taking into account SARA requirements.  RI/FS projects
managed by PRPs will involve, at a minimum, all relevant
activities s«t forth in the EPA model SOW.  Further, all plans
and reports identified as deliverables in the EPA model SOW must
be identified as deliverables in the EPA SOW and/or the Work Plan
developed by the PRPs.  Additional deliverables may be required
by the Regions and should be added to the Administrative Order
(or Consent Decree).
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     o      Modification of the EPA Draft SOW Requirements

     The activities set forth in the model SOW are considered  by
EPA to be the critical RI/FS activities that are required by the
NCP.  PRPs should present detailed justifications for any
proposed modifications and amendments to the activities set forth
in the SOW developed for the site by EPA.  EPA will review  all
proposed modifications and approve or disapprove their inclusion
in the SOW based on available information, EPA policy and
guidance, overall program objectives, and the requirements  of  the
NCP and CERCLA.  EPA will not allow modifications that, in  the
judgment of the Agency, will lead to an unsatisfactory RI/FS or
inconsistencies with the NCP.

Review of the RI/FS Project Plans

      RI/FS project plans include those plans developed for the
RI/FS.  At a minimum the project plans should include a Work
Plan, a Sampling and Analysis Plan, a Health and Safety Plan,  and
a Community Relations Plan  (the Community Relations Plan is
developed by EPA).  EPA review and approval of the RI/FS project
plans will usually be required before PRPs can begin site
activities.  An example when limited project activities may be
initiated prior to approval of the project plans would be if EPA
(or the PRPs) need to either verify or identify something, that is
either unclear or lacking from the PA/SI prior to completion of.
the Sampling and Analysis Plan.


     o      Contents of the Work Plan

     The Work Plan expands the tasks of the SOW, and the
responsibilities specified in the Agreement, by presenting
detailed procedures for conducting the RI/FS.  Typically the Work
Plan is developed after the draft Order  (or Decree) and then
incorporated into the Agreement*.  "In some cases however it may be
appropriate for EPA to develop the Work Plan prior to  actual
negotiation with the PRPs and attach the plan to the draft
Agreement.  The PRP RI/FS Work Plan must be consistent with
current EPA guidance.  Guidance on developing acceptable Work
Plans is available in the draft "Guidance on Conducting Remedial
Investigations and Feasibility Studies Under CERCLA"  (March
1988) .  Additional guidance will be  forthcoming  in the proposed
NCP.  One* the Work Plan is approved by  EPA, it  becomes  a  public
document and by the terms of the Agreement, should be
incorporated by reference into that document.  The Work  Plan
should, at a minimum, contain the  following elements.

       Introduction/Background Statement - PRPs  should prov-ide an
       introductory or background  statement describing their  under-
       standing of the work to be  performed at  the site.   This
       should include historical  site  information and should
       highlight present site conditions.

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Description of RI/FS Tasks in Chronological Order - The
     PRPs should prepare a chronological description of the
     anticipated RI/FS activities.  Important milestones,
     reports, meetings, and deliverables should be noted.
     (A list of standardized RI/FS tasks has been developed
     and is available in the guidance entitled "RI/FS
     Improvements"  (July 23, 1987 - OSWER Directive No.
     9355.0-20).


     o    Contents of the Sampling and Analysis Plan

     A Sampling and Analysis Plan (SAP) must be submitted by the
PRPs before initiation of relevant field activities.  This plan
contains two separate elements; a Field Sampling Plan and a
Quality Assurance Project Plan.  These documents were previously
submitted as separate deliverables,  but are now combined into one
document.  Though the -SAP is typically implemented by PRP
contractors, it is the responsibility of the PRPs to ensure that
the goals and standards of the plan are met.  (Verification that
the goal and standards of the SAP are met will also be part of
EPA's oversight responsibilities.)  The SAP should contain the
following elements.                               '

     Field Sampling Plan - The Field Sampling Plan includes a
     detailed description of all RI/FS sampling and analytical
     activities that will be performed.  These activities should
     be consistent with the NCP and relevant CERCLA guidance.
     Further guidance on developing Field Sampling Plans is
     presented in the "Guidance For Conducting Remedial
     Investigations and Feasibility Studies Under CERCLA"  (March
     1988).

     Quality Assurance Project Plan - The SAP must include a
     detailed description of quality assurance/quality control
     (QA/QC) procedures to be employed during the RI/FS.  This
     section is intended to ensure that the RI/FS is based on the
     correct level or extent of sampling and analysis  required to
     produce sufficient data for evaluating remedial alternatives
     for a specific site.  A second objective is  to ensure the
     quality of the data collected during the RI/FS.   Guidance on
     appropriate QA/QC procedures may also be found in the draft
     "Guidance For Conducting Remedial Investigations  and
     Feasibility Studies Under CERCLA"  (March 1988).   Another
     publication on this subject is the guidance  document,  "Data
     QuaHrty Objectives for the RI/FS Process"  (March, 1987  -
     OSWER Directive No. 9355.0-7B).

     If the SAP modifies any procedures established  in relevant
guidance, it must provide an explanation and justification for
the change.


                                  20

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     o      Other Project Plans

     Other project plans that are likely to be required in the
RI/FS process include the Health and Safety Plan and the
Community Relations Plan.

       Health and Safety Plan - PRPs should include a Health and
       Safety. Plan either as part of the Work Plan or as a separate
       document.  The Health and Safety Plan should address the
       measures taken by the PRPs to ensure that all activities
       will be conducted in an environmentally safe manner for the
       workers and the surrounding community.  Guidance on the
       appropriate contents of a Health and Safety Plan may be
       found in the draft "Guidance For Conducting Remedial
       Investigations and Feasibility Studies Under CERCLA" (March
       1988) .  In addition, Health and Safety requirements are
       found "in "OSHA Safety and Health Standards:  Hazardous Waste
       Operations and Emergency Response"  (40 CFR Part 1910.120).

       Community Relations Plan - EPA must prepare a Community
       Relations Plan for each NPL site.  More information on
       Community Relations activities is contained below.


     o      Review and Approval

     PRPs must submit all of the required RI/FS project plans
(with the exception of the Community Relations Plan which  is
developed by EPA) to EPA for review and approval.  EPA will
review the plans for their technical validity and consistency
with the NCP and relevant EPA guidance.  Typically, the Agency
must review and approve these plans before PRPs can begin  any
site activities.   Any disagreements that  arise between EPA and
the PRPs over the contents of the plans should be resolved
according to th« procedures set/ forth in the dispute resolution
section of the relevant EPA/PRP Agreement.

Community Relations

     EPA is responsible for developing and implementing an
effective community relations program, regardless of whether
RI/FS activities are fund-financed or conducted by  PRPs.   At
State-lead •nforcement sites, funded by EPA  under Superfund
Memoranda of Agreement  (see the "Draft Guidance on  Preparation  of
a Superfufld. Memorandum of Agreement  (October 5, 1987 - OSWER
Directive No. 9375.0-01)), the State has the responsibility  for
development and implementation of a community relations program.
PRPs may, under certain circumstances, assist EPA or the  State  in
implementing the community relations activities.  For  example,
PRPs may wish to participate in community  meetings  and in
preparing fact sheets.  PRP participation  in community relations
activities would, however, be at the discretion of  the Regional

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 Office,  or  the State, and would require, oversight by EPA or the
 State.   EPA will not under any circumstances negotiate press
 releases with PRPs.

      EPA (or the State) designs and implements community
 relations activities according to CERCLA and the NCP.  A
 Community Relations Plan must be developed by EPA for all NPL
 sites as described by the EPA guidance, "Community Relations in
 Superfund:  A Handbook" (U.S. EPA, 1983a - OSWER Directive No.
 9230.0-03). (This guidance is being revised to reflect the new
 requirements of SARA and will be forthcoming.)  The Community
 Relations Plan must be independent of negotiations with PRPs.
 Guidance for conducting community relations activities at
 Superfund enforcement sites is specifically addressed by Chapter
 VI of the Handbook and the EPA memo  entitled "Community
 Relations Activities at Superfund Enforcement Sites—Interim
 Guidance" (U.S. EPA, 1985 - OSWER Directive No. 9230.0-03-a).  In
 some  instances the decision regarding PRP participation in
 community relations activities will be made after the Community
 Relations Plan has been developed.  As a result, the plan will
 need  to  be  modified by EPA or State staff to reflect Agency  and
 PRP roles and responsibilities.

      EPA, or the State, will provide the Community Relations Plan
 to all interested parties at the same time.  In general, if  the
 case  has not been referred to the Department of Justice  (DOJ) for
 litigation, community relations activities during the RI/FS
 should be the same for Fund- and PRP-lead sites.  If the case has•
 been  (or may potentially be) referred to DOJ for litigation,
 constraints will likely be placed on the scope of activities.
 The EPA  Community Relations Plan may be modified after
 consultation with the technical enforcement staff, the Regional
 Counsel, the Office of Enforcement and Compliance Monitoring, and
 other negotiation team members, including, if the case is
 referred, the lead DOJ or Assistant United States Attorneys  (i.e,
 the litigation team).  This technical and legal staff must be
 consulted prior to any public meetings or dissemination  of fact
 sheets or other information; approval must be obtained prior to
 releases of information and discussions of technical information
 in advance.  PRP participation in implementing community
 relations activities will be subject to EPA  (or State) approval
 in administrative settlements and EPA/DOJ in civil actions.  Key
 activities  specific to community relations programs  for
 enforcement sites include the following:


      o      Public review of Work Plans for Administrative Orders

     The PRP Work Plan, as approved by EPA,  is incorporated  into
the Administrative Order (or Consent Decree).  Once  the  Agreement
is signed,  it becomes a public document.  Although there is  no
requirement for public comment on an Administrative  Order,

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Regional staff are encouraged to announce,  after the Order is
final, that the PRP is conducting the RI/FS.   Publication of
notice and a corresponding 30-day comment period is required
however, for Consent Decrees.  EPA may also consult with com-
munity representatives on the PRP Work Plan.


     o      .Availability of RI/FS information from the PRPs

     PRPs, in agreeing to conduct the RI/FS,  must also agree to
provide all information necessary for EPA (or the State) to
implement a Community Relations Plan.  The Agreement should.
identify the types of information that PRPs will provide, and
contain conditions concerning the provision of this information.
EPA should provide the PRPs with the content of the plan so that
the PRPs can fully anticipate the type of information that will
be made public.  All information submitted by PRPs will be
subject to public inspection (i.e., available through Freedom  of
Information Act requests, public dockets,' or the administrative
record) unless the information meets an exemption.  An example
would be if the information is deemed either as enforcement
sensitive by EPA, or business confidential by EPA  (based on the
PRPs' representations), in conformance with 40 CFR Part 2.

Development of the ATSDR Health Assessment

     Section 104(j)(6) of CERCLA requires the Agency for Toxic
Substances and Disease Registry (ATSDR) to perform health
assessments at all NPL facilities according to a specified
schedule.  The purpose of the health assessment is to assist in
determining whether any current or potential threat to human
health exists and to determine whether additional  information on
human exposure and associated health risks is needed.

     The EPA remedial project manager  (RPM) should coordinate
with the appropriate ATSDR Regional representative for  initiation
of the health assessment.  In general, the health  assessment
should be initiated at the start of the RI/FS.  The ATSDR
Regional representative will provide information on data needs
specific to performing a health assessment to ensure that  all
necessary data will be collected during the RI.

     The RPM and the ATSDR Regional representative should  also
coordinate the transmission and review of pertinent documents
dealing with the extent and nature of site contamination (i.e.,
applicable-technical memoranda and the draft RI).  As  ATSDR has
no provisions for withholding documents, if requested  by the
public, the RPM must discuss the review of enforcement sensitive
documents and drafts with the ATSDR Regional representative
rather than to hand them over, to ensure EPA's  enforcement
confidentiality.  Further guidance on coordination of  RI/FS
activities with ATSDR can be found in the document entitled

                                  23

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 "Guidance  for Coordinating ATSDR Health Assessment Activities
 with the Superfund Remedial Process" (March, 1987 - OSWER
 Directive  No. 9285.4-02).

 Development of the Oversight Plan

     EPA will review RI/FS plans and reports as well as provide
 field oversight of PRP activities during the RI/FS.  To ensure
 that adequate resources are committed and that appropriate
 activities are performed, the EPA will develop an oversight plan
 that defines EPA responsibilities, identifies RI/FS products to
 be reviewed, and lists activities that EPA will oversee.  In
 preparing  the plan, EPA should consider such factors as who will
 be doing the oversight and the schedule of activities that will
 be monitored.  A tracking system for recording PRP milestones and
 cost estimates should be developed.  This system should also
 track third party activities and other appropriate cost items
 such as travel needs.

 Identification and Procurement of EPA Assistance

     In accordance with Section 104(a)(1) EPA mus£ arrange for a
 third party to assist in oversight of the RI/FS.  The following
 section provides guidance for identifying and procuring such
 assistance for EPA activities.
     o      Assistance for EPA Activities

     As specified in Section 104(a)(1), EPA is required to
contract with or arrange for a qualified person to assist in
oversight of the RI/FS.  Qualified  individuals are those.groups
with the professional qualifications, expertise, and experience
necessary to provide assurance that the Agency is conducting
appropriate oversight of PRP RI/FS  activities.

     Normally, EPA will obtain oversight assistance through the
Technical Enforcement Support (TES) contract issued through the
Office of Waste Programs Enforcement or occasionally through the
Remedial Action (REM) contracts  issued through the Office of
Emergency and Remedial Response.  The latest version of the TES
User; Guidq (January 1986) contains  detailed instructions
regarding access to these contracts.  In some cases oversight
assistance nay be provided by States through the use of Coopera-
tive Agreements.  Oversight assistance may also be obtained
through tHe U.S. Army Corps of Engineers or other governmental
agencies; interagency Agreements should be utilized to obtain
such assistance.
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                             APPENDIX III

                  REVIEW AND OVERSIGHT OF THE RI/FS
Review of Plans. Reports, and Records

     EPA will review all RI/FS products which are submitted to
the Agency as specified in the Work Plan or Administrative Order
(or Consent Decree).  PRPs should ensure that all plans,  reports,
and records are comprehensive, accurate, and consistent in
content and format with the NCP and relevant EPA guidance.  After
this review process, EPA will either approve or disapprove the
product.  If the product is found to be unsatisfactory, EPA will
notify the PRPs of the discrepancies or deficiencies and will
require corrections within a specified time period.


     o      Project Plans

     EPA will review all project plans that are submitted as
deliverables in fulfillment of the Agreement.  These plans
include the Work Plan, the Sampling and Analysis Plan  (including
both the Field Sampling Plan and the Quality Assistance Project
Plan), and the Health and Safety Plan.  If the initial submittals
are not sufficient in content or scope, the RPM will request that
the PRPs submit revised document(s) for review.  When all
required project plans have been reviewed and accepted, EPA will
give approval for the PRPs to commence field activities and other
tasks designated in the Work Plan.

     The PRPs may be required to develop additional Work  Plans or
modify the initial Work Plan contained in or created pursuant to
the Agreement.  These changes may result from the  need to:   (1)
re-evaluate the' RI/FS activities due either to changes in or
unexpected site conditions,  (2) expand the initial Work Plan when
additional detail is necessary, or  (3) modify or add products to
the Work Plan based on new information  (e.g., a new population at
risk).  EPA will review and approve all Work Plans and/or
modifications to Work Plans as soon as they are developed and
submitted for review.
     o      Reports

     PRPs will, at a minimum, submit monthly progress  reports,
technical reports  (including a summary of RI activities,  a
summary of the development and screening of alternatives, and
results of treatability studies), and the draft  and  final RI/FS
reports as required in the Agreement.  To assist in  the
development of the RI/FS and review of documents,  additional
deliverables may be specified by the Region and  included  in the

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Agreement.  These reports and deliverables will  be reviewed  by
EPA to ensure that the activities specified in the Order (or
Decree) and approved Work Plan are being properly implemented.
These reports will generally be submitted according to the
conditions and schedule set forth in the Agreement.   Elements of
the PRP reports are discussed below.

       Monthly Progress Reports - The review of  monthly progress
       reports is an important activity performed during oversight.
       These reports should provide sufficient detail to allow  EPA
       to evaluate the past and projected progress of the RI/FS.
       PRPs should submit these written progress reports to  the
       RPM.  The report should describe the actions and decisions
       taken during the previous month and activities scheduled
       during the upcoming reporting period.   In addition,
       technical data generated during the month (i.e.,  analytical
       results) should be appended to the report.  Progress  reports
       should also include a detailed statement of the manner and
       extent to which the procedures and dates set forth in the
       Agreement/Work Plan are being met.  The draft "Guidance  For
       Conducting Remedial Investigations and Feasibility Studies
       Under CERCLA" (March 1988) lists suggested procedures for
       PRPs to use in managing and documenting RI/FS performance
       through progress reports.  Generally,  EPA will determine the
       adequacy of the performance of the RI/FS by review-ing the
       following subjects discussed in progress reports:


          o      Technical Summary-of Work

            The monthly report will describe the activities  and
            accomplishments performed to date.  This will generally
            include a description of all field work completed,  such
            as sampling events and installation of wells; a
            discussion of analytical results received; a discussion
            of data review activities; and a discussion of the
            development,  screening,  and detailed analysis of
            alternatives.  The report will also describe the
            activities to be performed during the upcoming month.


          o      Schedule

            EPA will oversee PRP compliance with respect to  those
            schedules specified in the Order (or Decree).  Delays,
        —- with the exception of those specified under the  Force
            Majeure clause of the Agreement,  may result in
            penalties,  if warranted.  The RPM should be immediately
            notified if PRPs cannot perform required activities or
            cannot provide the required deliverables specified in
            the Work Plan.  In addition, PRPs should notify the RPM
            when circumstances may delay the completion of any

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phase of the work or when circumstances may delay
access to the site.  PRPs should also provide to the
RPM, in writing, the reasons for,  and anticipated
duration of, such delays.  Any measures taken or to be
taken by the PRPs to prevent or minimize the delay
should be described including the timetables for
implementing such measures.
     Budget

The relationship of budgets to expenditures is to be
tracked where the RI/FS is funded with a financial
mechanism established by the PRPs.  If site activities
require more funds than originally estimated,  EPA must
be assured that the PRPs are financially able to
undertake additional expenditures.  While EPA does not
have the authority to review or approve a PRP budget,
evaluating costs during the course of the RI/FS, allows
EPA to effectively monitor activity to ensure timely
completion of RI/FS activities.  If the PRPs run over
budget, EPA must be assured that they can continue the
RI/FS activities as scheduled.  Therefore, PRPs should
submit budget expenditures and all cost overrun
information to the EPA.  Budget reports need not
present, dollar amounts, but should indicate the
relationship between remaining available funds and the
estimate of the costs of remaining activities.
     Problems

Any problems that the PRPs encounter which could affect
the satisfactory performance of the RI/FS should be
brought to the immediate attention of EPA.  Such
problems may or may not be a force majeure event, or
caused by a force majeure event.  EPA will review
problems and advise the PRPs accordingly.  Problems
which may arise include, but are not limited to:

          Delays in mobilization or access to necessary
          equipment;

          Unanticipated laboratory/analytical time
          requirements;

          Unsatisfactory QA/QC performance;

          Requirements for additional or more complex
          sampling;

          Prolonged unsatisfactory weather conditions;

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                      Unanticipated site conditions; and

                      Unexpected, complex community relations
                      activities.

       Other Reports - All other reports, such as technical reports
       and draft and final RI/FS reports, should be submitted to
       EPA according to the schedule contained in the Order (or
       Decree) or the approved Work Plan.  EPA will review and
       approve these reports as they are submitted.  Suggested for-
       mats for the RI/FS reports are presented in the draft
       "Guidance for conducting Remedial Investigations and
       Feasibility studies under CERCLA" (March 1988) .


     o      Records

     PRPs should preserve all records, documents, 'and,information
of any kind relating to the performance of work at the site for a
minimum of six years after completion of the work and termination
of the Administrative Order (or Decree).  After the six year
period, the PRPs should offer the records to EPA before their
destruction.

     Document control should be a key element of all record-
keeping.   The following activities require careful recordkeeping
and will be subject to EPA oversight:

       Administration - PRP administrative activities should be
       accurately documented and recorded.  Necessary precautions
       to prevent errors or the loss or misinterpretation of data
       should be taken.  At a minimum;, the following administrative
       actions should be documented and recorded:

               •  Contractor work plans, contracts, and change
                 orders;

                 Personnel changes;

          -      Communications between and among  PRPs, the State,
                 and EPA officials regarding technical aspects  of
                 the RI/FS;

                 Permit application and award (if applicable); and

         ~"="     Cost overruns.

       Technical Analysis - Samples and data should  be handled
       according to procedures set forth in the  Sampling  and
       Analysis Plan.  Documentation establishing  adherence to
       these procedures should include:


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                 Sample labels;

                 Shipping forms;

                 Chain-of-custody forms; and

                 Field log books.

       All analytical data in the RI/FS process should be managed
       as set forth in the Sampling and Analysis Plan.   Such
       analytical data may be the product of:

                 Contractor laboratories;

                 Environmental and public health studies; and

                 Reliability, performance, and implementability
                 studies of remedial alternatives.


       Decision Making - Actions or communications among PRPs that
       involve decisions affecting technical aspects of the RI/FS
       should be documented.  Such actions and communications
       include those of the project manager (or other PRP
       management entity), steering committees, or contractors.


     o      Administrative Record Requirements

     Section 113(k) of CERCLA requires that the Agency establish
an administrative record upon which the selection of a response
action is based.  A suggested; list of documents which are most
likely to be included in any adequate administrative record is
provided in the memorandum entitled "Administrative Records for
Decisions on Selection of CERCIA Response Actions"  (May  29, 1987
- OSWER Directive No. 9833.3).  More detailed guidance will be
forthcoming, including guidance provided  in the revisions to the
NCP.  There are, however, certain details associated with
compiling and maintaining an administrative record that  are
unique to PRP RI/FS activities.

     EPA in responsible for compiling and maintaining the
administrative record, and generating and updating an index.   If
EPA and th« PRPs mutually agree, the PRPs may be  allowed to house
and maintain the administrative  record  file at or near the  site;
they may TOt, however, be responsible for the actual compilation
of the record.  Housing and maintaining  the administrative  record
would include setting up a publicly accessible area at or near
the site and ensuring that documents remain and are updated as
necessary.  EPA must always be responsible  for:   deciding whether
documents are included in the administrative record, transmitting
records to the PRPs, and maintaining the index to the  repository.

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     The information which may comprise the administrative  record
must be available to the public from the time an RI/FS  Work Plan
is approved by EPA.  Once the Work Plan has been approved the
PRPs must transmit to EPA, at reasonable,  regular intervals, all
of the information that is generated during the RI/FS that  is
related to selection of the remedy.  The required documentation
should be specified in the Administrative Order (or Decree).   The
Agreement should also specify those documents generated prior  to
the RI/FS that: must be obtained from the PRPs for inclusion in
the record file.  This may include any previous studies conducted
under State or local authorities,  management documents  held by
the PRPs such as hazardous waste shipping manifests,  and other
information about site characteristics or conditions not
contained in any of the above documents.

Field Activities

     o      Field Inspections                .     •             .

     Field inspections are an important oversight mechanism for
determining the adequacy of the work performed.  EPA will
therefore conduct field inspections as part of its oversight
responsibilities.  The oversight inspections should be  performed
in a way that minimizes interference with PRP site activities  or
undue complication of field activities.  EPA will take  corrective
steps, as described in Section VII and Appendix IV, if  un-
satisfactory performance or other deficiencies are identified.

  .   Several field-related tasks may be performed during
oversight inspections.  These tasks include:

       Qn-site presence/inspection - As specified in Section
       104(e)(3), EPA reserves the right to conduct on-site
       inspections at any reasonable time.  EPA will therefore
       establish an on-site presence to assure itself of the
       quality of work being conducted by PRPs.  At a minimum,
       field oversight will be conducted during critical times,
       such as the installation of monitoring wells and during
       sampling events.  EPA will focus on whether the PRPs adhere
       to procedures specified in the SOW and Work Plan(s),
       especially those concerning QA/QC procedures.  Further
       guidance regarding site characterization activities is
       pr«««nted in the draft "Guidance For Conducting Remedial
       Investigations and Feasibility studies Under CERCLA" (March
       1988),  the "Compendium of Superfund field Operations Methods
       (OTgust 1987 - OSWER Directive No. 9355.0-14), the  "RCRA
       Ground Water Technical Enforcement Guidance Document"
       (September, 1986 - OSWER Directive No. 9950.1), the NEIC
       Manual for Groundwater/Subsurface Investigations  at
       Hazardous Waste Sites  (U.S. EPA, 1981c), and the  forthcoming
       "Guidance Manual on Oversight of Potentially Responsible
       Party Remedial Actions Under CERCLA."

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       Collection and analysis of samples - EPA may collect  a
       number of QA/QC samples including blank, duplicate, and
       split samples.  The results of these sample analyses  will  be
       compared to the results of PRP analyses.  This comparison
       will enable EPA to identify potential quality control
       problems and therefore help to evaluate the quality of the
       PRP investigation.

       Environmental Monitoring - EPA may supplement any PRP
       environmental monitoring activity.  Such supplemental
       monitoring may include air or water studies to determine
       additional migration or sudden releases that may have
       occurred as a result of site activities.


     o      QA/QC Audits

     EPA may either conduct, or require the PRPs to conduct  (if
specified in the Agreement), laboratory audits to ensure
compliance with proper QA/QC and analytical procedures, as
specified in the Sampling and Analysis Plan.  These audits will
involve on-site inspections of laboratories used by PRPs and
analyses of selected QA/QC samples.  All procedures must be in
accordance with those outlined in The User's Guide to the
Contract Laboratory Program. (U.S. EPA, 1986) or otherwise
specified in the Sampling and Analysis Plan,


     o      Chain-of-Custody

     Chain-of-custody procedures will be evaluated by EPA.  This
evaluation will focus on determining if the PRPs and their
contractors adhere to the procedures set forth in the Sampling
and Analysis Plan.  Proper chain-of-custody procedures are
described in the draft "Guidance For Conducting Remedial
Investigations and Feasibility Studies Under CERCLA"  (March 1988)
and in the National Enforcement Investigation  Center  (NEIC)
Policies and Procedures Manual.  (U.S. EPA,  1981b).  Evaluation of
chain-of-custody procedures will occur during  laboratory audits
as well as during on-site inspections of sampling activities.

Meetings

     Meetings between EPA, the State, and  PRPs should be held  on
a regular basis (as specified in the Agreement) and  at critical
times during the RI/FS.  Such critical times may  include when  the
SOW and the Work Plan are reviewed, the RI is  completed, remedial
alternatives are developed and being screened  prior  to detailed
analysis, and the draft and final RI/FS  reports are  submitted.
These meetings will discuss overall progress,  discrepancies in
the work performed, problems encountered  in the performance of
RI/FS activities and their resolution, community  relations, and

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 other related issues and concerns.  While meetings may be
 initiated by either the PRPs or EPA at any time, they will
 generally be conducted at the stages of the RI/FS listed below.


     o      Initiation of Activities

         . EPA, the State, and the PRPs may meet at various times
 before field activities begin to discuss the initial planning of
 the RI/FS.  Meetings may be arranged to discuss, review, and
 approve the SOW; to develop the EPA/PRP Agreement; and to
 develop, review, and approve the Work Plan.


     o      Progress

     EPA may request meetings to discuss the progress of the
 RI/FS.  These meetings should be held at least quarterly and will
 focus on the items submitted in the monthly progress reports and
 the findings from EPA oversight activities.  Any problems or
 deficiencies in the work will be identified and corrective
 measures (see Section VIII and Appendix IV) will be requested.


     o      Closeout

     EPA may request a closeout meeting upon completion of the
 RI/FS.  This meeting will focus on the review and approval of the
 final"RI/FS report, termination of the RI/FS Agreement, and any
 final on-site activities which the PRPs may be required to
 perform.  These activities may include maintaining the site and
 ensuring that fences and warning signs are properly installed.
 The transition to remedial design and remedial action will also
 be discussed during this meeting.

 Special Studies

     EPA may determine that special studies related to the PRP
RI/FS are required.  These studies can be conducted to verify the
progress and results of RI/FS activities or to address a specific
complex or controversial issue.  Normally, special studies are
performed by the PRPs; however, there may be cases in which EPA
will want to conduct the independent studies.  The PRPs should be
 informed of any such studies and given adequate time to provide
necessary coordination of site personnel and resources.  If not
provided Tor in the Agreement, modifications to the Work Plan may
be required.
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                             APPENDIX IV

                        CONTROL OF ACTIVITIES


Identification of Deficiencies

     Oversight activities may identify unsatisfactory or defi-
cient PRP performance.  The determination of such performance may
be based upon findings such as:

     o      Work products are inconsistent with the SOW or Work
            Plan;

     o      Technical deficiencies exist in submittals or other
            RI/FS products;

     o   •;   Unreasonable delays occur while performing RI/FS    :
            activities; and

     o      Procedures are inconsistent with the NCP.
                                                 4
Corrective Measures

     The need to perform corrective measures may arise in the
event of deficiencies in reports or other work products, or
unsatisfactory performance of field or laboratory activities.
When deficiencies are identified corrective measures may be
sought by:   (1) notifying the PRPs,  (2) describing the nature of
the deficiency, and  (3) either requesting the PRPs to take
whatever actions they regard as appropriate or setting forth
appropriate corrective measures.  The following subsections
'describe this process for each of the two general types of
activities that may  require corrective measures.


     o      Corrective Measures Regarding Work Products

     Agency review and approval procedures  for work products
generally allow three types of responses:   (1) approval,  (2)
approval with modifications, and  (3) non-approval.  Non-approval
of a work product  (including project plans) immediately
constitute a notice of deficiency.  EPA will immediately  notify
the PRPs if any work product is not approved and will explain the
reason forjsuch a finding.

     Approval with modifications will not lead to a notice of
deficiency if the modifications are made by the  PRPs without
delay.  If the PRPs  significantly delay in  responding to  the
modifications, the RPM should  issue a notice of  deficiency to the
PRP project manager  detailing  the following elements:


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            A description of the deficiency or a statement
            describing in what manner the work product was found to
            be deficient or unsatisfactory;

            Modifications that the PRPs should make in the work
            product to obtain approval;

            A request that the PRPs prepare a plan, if necessary,
            or otherwise identify actions that will lead to an
            acceptable work product;

            A schedule for submission of the corrected work
            product;

            An invitation to the PRPs to discuss the matter in a
            conference; and
                           •    .   f •'• '
            A. statement of the possibility of EPA takeover at the
            PRPs expense, EPA enforcement, or penalties (as
            appropriate).

                                                 4
     o      Corrective Measures Regarding Field Activities

     When the lead-Agency discovers that the PRPs  (or their
contractors) are performing the RI/FS field work in a manner that
is- inconsistent with the Work Plan, the PRPs should be notified
of the finding and asked .to voluntarily take appropriate
corrective measures.  The request is generally made at a progress
meeting, or, if immediate action is required at a  special meeting
held specifically to discuss the problem.  If corrective measures
are not voluntarily taken, the RPM should, in conjunction with
appropriate Regional Counsel, issue a notice of deficiency
containing the following elements:

            A description of the deficiency;

            A request for an explanation of the failure to perform
            satisfactorily and a plan for addressing the necessary
            corrective measures;

            A statement that failure to present an explanation may
            be taken as an admission that there is no valid
            explanation;

            An invitation to discuss the matter in a conference
            (where appropriate);

            A statement that stipulated penalties  may accrue or are
            accruing, project termination may occur, and/or civil
            action may by initiated if appropriate actions are not
            taken to correct the deficiency; and

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            A description of the potential liabilities  incurred  in
            the event that appropriate actions are not  taken.

Modifications to the Work Plan/Additional Work

     Under the Administrative Order (or Consent Decree),  PRPs
agree to complete the RI/FS, including the tasks required under
either the o-riginal Work Plan or the subsequent-,or modified Work
Plan.  This may include determinations and evaluations  of
conditions that are unknown at the time of execution of the
Agreement.  Modifications to the original RI/FS Work Plan are
frequently required as field work progresses.   Work not
explicitly covered in the Work Plan is often required and
therefore provided for in the Order (or Decree).  This  work is
usually identified during the RI and is driven by the need for
further information in a specific area.  In general, the
Agreement should provide for fine-tuning of the RI, or the
investigation of an area previously unidentified.  As it becomes
clear, what additional work is necessary, EPA will notify the PRPs
of the work to be performed and determine a schedule for
completion of the work.

     EPA must ensure that clauses for modifications to the Work
Plan are included in the Agreement so that the PRPs will carry
out the modifications as the need for them is  identified.' To
facilitate negotiation on these points, EPA may consider one or
more of the following provisions in the Agreement  for addressing
such situations:

            Specifying the dispute resolution  process for modified
            Work Plans and additional work requirements;

            Defining the applicability of stipulated penalties to
            any additional work which the PRPs agree to undertake;
            and,                ,   -

            Defining the limits of additional  work requirements.

Dispute Resolutions

     As discussed elsewhere  in this guidance,  the RI/FS  Order (or
Decree) d«v«loped between EPA and the  PRPs sets forth  the terms
and conditions for conducting the RI/FS.  An  element of  this
Agreement 1m a statement of  the specific  steps to be taken if a
dispute arises between EPA  (or  its representatives) and  the PRPs.
These steps should be well defined and  agreed upon by  all
signatories to the Agreement.

     A dispute with respect  to the Order  (or  Decree)  is  followed
by a specific period of discussion wi^h the-PRPs.  After the
discussion period, EPA issues a final  decision which becomes
incorporated into the Agreement.  Administrative Orders  should

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clarify that with respect to all submittals and work performed,
EPA will be the final arbiter.  The court, on the other hand.,  is
the final arbiter for Consent Decrees.

Penalties

     As an incentive for PRPs to properly conduct the RI/FS and
correct any deficiencies discovered during the conduct of the
Agreement, EPA should include stipulated penalties.  Section 121
provides up to $25,000 per day in stipulated penalties for
violations of a Consent Decree while Section 122 allows EPA to
seek or impose civil penalties for violations of Administrative
Orders.3  Penalties should begin to accrue on the first day of
the deficiency and continue to be assessed until the deficiency
is corrected.  The type of violation  (i.e, reporting requirements
vs. implementation of construction requirements), as well as the
amounts, should be specified as stipulated penalties in the
Agreement to avoid negotiations on this point which may delay the
correction.  The amounts should be set pursuant to the criteria
of Section 109 and as such must take into account the nature,
circumstances, extent, and gravity of the violations as well as
the PRPs ability to pay, prior history of violations, degree of
culpability, and the economic benefit resulting from
noncompliance.  Additional information on stipulated penalties
can be found in OECM's "Guidance on the Use of Stipulated
Penalties in Hazardous Waste Consent Decrees  (September 27,
1987) .                                                •    " ..

Project Takeover                        •

     Generally, EPA will consult with PRPs to discuss
deficiencies and corrective measures.  If these discussions fail,
EPA has two options:  (1) pursue legal action to force the PRPs
to continue the work, or (2) take over the RI/FS.  If taking
legal action wi-11 not significantly delay implementation of
necessary remedial or removal actions, EPA may  commence civil
action against the noncomplying PRP to enforce  the Administrative
Order.  Under a Consent Decree, the matter would be presented to
the court in which the Decree was filed to enforce the provisions
of the Decree.

     If a delay in RI/FS activities endangers public health
and/or th« •nvironment or will significantly  delay implementation
of necessary remedial actions, EPA should move  to  replace  the  PRP
activities__with Fund-financed actions.  The RPM will take  the
appropriate steps to assume responsibility for  the RI/FS,
including issuing a stop-work order to the PRPs and  notifying  the
EPA remedial contractors.  In issuing stop work orders,  RPMs
should be aware that Fund resources may not be  automatically
     3    In order to provide  for  stipulated penalties in an
Administrative Order the parties must  voluntarily include them in
the terms of the Agreement.
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