United States
Environmental Protection
Agency
Office of Solid Waste
and Emergency Response
Publication No.
9375.5-01/FS
Fall 1989
EPA State and Local
Involvement In The
Superfund Program
Office of Emergency and Remedial Response
Hazardous Site Control Division (OS-220)
Quick Reference Fact Sheet
INTRODUCTION
When Congress first enacted the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) in 1980, it
required Slates to be active partners in conducting Supcrfund response actions. Under CERCLA, States with the technical and management
capability to carry out a response action may be authorized to lead cleanup efforts at a site. Local communities and certain local government
agencies (such as fire departments and public health agencies) also participate in Supcrfund cleanup operations.
In 1986, Congress amended CERCLA and passed the Superfund Amendments and Reauthorizaiion Act of 1986 (SARA). CERCLA, as
amended, strengthens the partnership between the Federal Government and State and local authorities.
State and iocal governments play an important role in ensuring effective, efficient and well-coordinated cleanups. Often local authorities
arc the first rcspondcrs at the scene of a hazardous substance release, providing critical fire protection, security, and health-related services.
HOW STATES AND
LOCAL GOVERNMENTS
BECOME INVOLVED
The law authorizes the Federal Government to take response actions at a site (Federal-lead), or to
transfer the necessary funds and management responsibility to a State (State-lead), to political
subdivisions of States or to federally recognized Indian Tribes. Regardless of who has the lead,
the National Oil and Hazardous Substances Pollution Contingency Plan (NCP) (40 CFR Part 300)
is the master plan for Supcrfund response. Together, CERCLA, as amended, and the NCP, ensure
States' involvement in response by requiring EPA to work with States during: 1) negotiations with
potentially responsible parties (PRPs), 2) the National Priorities List (NPL) listing and deleting
process, 3) study of the site to determine cleanup options, and 4) selection and implementation of
the remedy.
CERCLA, as amended, prohibits EPA from providing for a remedial action unless the State makes
the following assurances or guarantees:
Pay part of the cleanup. A Stale is required to pay 10 percent of the cost of actual cleanup
only if ihc site was privately operated ai the lime of ihc hazardous substance release. A Suite
is required to pay 50 percent or more of ihc total response cosis incurred by Supcrfund if the
Slate or locality operated the siic al the time hazardous waslcs were disposed ihcrc. For
example, if an old municipal landfill is found leaking ha/ardous chemicals, the State would
be required to provide at least half the cost of an entire Supcrfund response. Political
subdivisions may provide the cost share, but the State must assure payment in case of default.
Ensure the availability of a facility(s) for disposal of hazardous materials removed from a site
during cleanup. Disposal facilities must comply wilh all Federal and State requirements, and
must noi threaten ihc quality of human health and the environment.
Ensure that ihc Suite's disposal capacity can adequately handle all wastes generated within the
Stale over 20 years (cffcciivc starling in 1989).
Operate and maintain the sclcclcd remedy once ihc cleanup is complclcd and is proven to be
opcralional and functional. The Stale assumes full rcsponsibilily for future operation and
maintenance. Although a political subdivision may manage the actual operation and
maintenance of the sclcclcd remedy, ihc Slate maintains ultimate rcsponsibilily.
Printed on Recycled Paper
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OVERVIEW OF CERCLA
Congress enacted ihe Comprehensive Envi-
ronmental Response, Compensation and
Liability Acl(CERCLA),commonly known
as Supcrfund, in 1980. This law created a
tax on the chemical and petroleum indus-
tries and provided broad Federal authority
to respond directly to releases or threatened
releases of hazardous substances that may
endanger public health or welfare or the
environment. Over five years, $1.6 billion
were collected, and the tax went to a Trust
Fund for cleaning up abandoned or uncon-
trolled hazardous waste sites. The U.S. En-
vironmental Protection Agency (EPA) is re-
sponsible for running the Supeifund pro-
gram: ...':
On October 17,1986, the S uperf und Amend-
ments and ReauthorizatTon Act (SARA) was
sighed into law. SARA increases the Trust
Fund to $8.5 billion over five years, arid
strengthens EPA's authority to conduct
cleanup and enforcement activities.
Under the Superfund program, EPA can:
Pay for the cleanup of hazardous waste
sites when those responsible for such
sites cannot be found or are unwilling
or unable to clean tip a site.
Take legal action to force those respon-
sible for hazardous waste sites that
threaten public health or the environ-
ment to clean up those sites or pay back
the Federal Government for the costs of
cleanup.
The law authorizes two kinds of response
actions:^
Short-term removals whereactionsmay
be taken to address releases or threat-
ened releases requiring prompt re-
sponse.
Longer-term remedial responses that
permanently and significantly reduce
the dangers associated with releases or
threats of releases of hazardous sub-
stances that are serious but not immedi-
ately life threatening. They can be
conducted only at sites on EPA's Na-
tional Priorities List (NPL).
Remedial and removal responses include,
but are not limited to:
Destroying, detoxifying or immobi-
lizing; the hazardous substances on
the site through incineration or other
treatment technologies.
Containing the substances on-site so
that they can safely remain there and
present no further threat
Removing the materials from the site
to an EPA-approved, licensed haz-
ardous waste facility for treatment,
containment, or destruction.
Identifying and restoring contami-
nated ground water, halting further
spread of thecontaminants.orinsome
circumstances providing an alternate
source of drinking water.
OVERVIEW OF SUPERFUND PROCESS
MAY OOCMR,PRlORTOOROyRJMG THE REMEDIAL £R0C£S£>
PUBLIC PARTICIPATION ANO ENFORCEMENT ACTIVITIES
, ,.. OCCUR DURING-AU: REMEDIAL PğA^^ , '
State and local involvement in the Supcrfund program varies depending upon the type of response action. During a removal action, which
is an action taken over the short term to address a release or threatened release of hazardous substances, often local authorities arc the firs
rcspondcrs at the incident. For example, a city fire or police department can respond immediately to hazardous substance releases or may
serve in a .support role to a State or Federal authority conducting removal cleanup activities.
During a remedial action, which is an action intended to slop permanently or substantially reduce over the long term a release or thrcatcncc
release of hazardous substances, there arc many ways for State and local governments to participate. States may conduct the Preliminary
Assessment and Site Inspection (PAySIl the Remedial Investigation and Feasibility Study fRI/FS) or the Remedial Design and Rcmcdia
Action (RD/RA). States and local governments also may help identify potentially responsible parties and inform local communities abou
a cleanup. Whether a site requires a remedial or removal response, the role of State and local agencies is critical in protecting public hcalil
und the environment.
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I
MECHANISMS TO
ENSURE STATE AND
LOCAL INVOLVEMENT
CODE OF
FEDERAL
REGULATIONS
40 CFR Part 35
Subpart 0
7
SupciTund provides the following mechanisms Tor State and local involvement:
Cooperative Agreements transfer funds from EPA to States, political subdivisions thereof,
and/or Indian Tribal governments to undertake the lead for site-specific response, or to
defray their costs associated with participation in Federal-lead or political subdivision-lead
responses or other CERCLA implementation activities. It is also the legally binding
document to get assurances when the State does a remedial action. If a State receives
funds through a Cooperative Agreement, the State is not prohibited from entering into
intergovernmental agreements with political subdivisions for Supcrfund response.
Superfund State Contracts are joint. legally binding agreements between EPA and a State or
Indian Tribe. Superfund State Contracts provide a vehicle for assuring the transfer of Stale
cost-sharing funds when EPA is leading a response action, for documenting that States meet
all required assurances under CERCLA, as amended, and for documenting CERCLA
Section 121(f) involvement during a political subdivision-lead response.
Procedures for using Cooperative Agreements and Superfund State Contracts for Supcrfund
responses can be found at 40 CFR Part 35 Subpart O.
THE ROLE OF
POLITICAL
SUBDIVISIONS
A political subdivision may be directly involved in a Superfund remedial cleanup. States,
however, arc required to be active partners. What legally constitutes a political subdivision differs
from State to State. It is the responsibility of each Slate to determine what unit of governmentmeets
its legislative definition of a political subdivision (for example, a region, counly, or town).
If a political subdivision leads the Superfund response, there are two options available to ensure
appropriate State involvement and to provide the required assurances. In the first option, EPA
enters into a Cooperative Agreement directly with the political subdivision. In this scenario, EPA
must also enter into a ihree-party Superfund Slate Coniract, which specifies how EPA, the Stale,
and political subdivision will comply with CERCLA Sections 104 and 121 and the NCP. In the
second option, EPA enters into a Cooperative Agreement directly with the State. The Stale, in turn,
"passes through" the funds to a political subdivision and enters into a two-party Intergovernmental
Agreement wilh the political subdivision prior to either the State or political subdivision incurring
costs for field activities. This second option is similar to a State hiring a contractor to conduct
response activities.
THE ROLE OF
INDIAN TRIBES
Under the law, EPA is required to treat Indian Tribal governments substantially the same as
States. This means that if a Tribe is federally recognized, it may lead a response or may provide
support when EPA leads the activities. To be considered substantially equivalent to Slates, an
Indian Tribe must ha vcjurisdiciion over a silclislcd in CERCLIS (EPA's data baseof information
on hazardous waste sites). Federally recognized Indian Tribes may not have lo provide CERCLA
Scciion 104 assurances in all cases. Currenily, EPA provides for off-site disposal, and ihc decision
of who will oversee the opcralion and maintenance of the remedy is made on a casc-by-casc basis.
THE ROLE OF
LOCAL GOVERNMENTS
Local governments also play an important role during a Supcrfund cleanup. Although mosi local
governments do not have the resources to conduct enure cleanups at hazardous waste sites,
localities often provide importani public safely measures during emergencies, and may receive
some financial assistance under ihc Local Govcmmcnl Reimbursement (LGR) program (Section
123 of CERCLA, as amended).
The LGR program is intended to alleviate significam financial burden on local governments as a
result of conduciing temporary emergency measures in response to a ha/ardous substance threat,
and offers assistance of up to 525,000 per response directly to local government. Requirements
for pursuing rcimburscmcni under CERCLA Scciion 123 arc found in EPA's Interim Final Rule
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on Reimbursement lo Local Governments for Emergency Response to Hazardous Substances
Releases (40 CFR Part 310). In addition, EPA has prepared a fact sheet and application package
that can be obtained by contacting EPA's RCRA/Supcrfund Hotline.
Local communities arc important sources of information. Localities may be the first to identify
a hazardous waste site by bringing it to the attention of State or Federal authorities. Communities
can provide valuable details about a Supcrfund site, including information on the location of sites
(site discovery), detail on site history (site investigation), and/or information on potentially
responsible parties.
Stales often will coordinate with local officials to identify community concerns regarding a site
cleanup. Throughout all cleanup actions, local officials are kept informed of plans and progress
through telephone contacts or visits by EPA and State staff. Communities may also be asked to
review and comment on important reports, studies, and proposed actions.
Whether a Federal-lead or State-lead managed response, to guarantee that local citizens arc
involved in decisions about cleanup actions in their communities, both EPA and the State conduct
formal and informal community relations activities. Each NPL site designated for remedial
response under Superfund must have an approved Community Relations Plan (CRP) in place
before field activities can begin.
FUTURE
DIRECTIONS
As the Superfund program continues to address the hazardous wa: te issue nationwide. State and
local governments will assume an increasingly active role in confronting issues at Supcrfund sites.
Some States have already developed their own State-wide cleanup program to address sites not
included on EPA's National Priorities List.
In an effort to support State and local involvement in Supcrfund responses, EPA has taken several
steps:
Developed a new Subpart to the NCP, the roadmap to conducting responses under CERCLA.
This Subpart outlines the requirements for State, local and Indian Tribal involvement in all
phases of response.
Published an administrative rule to complement the general procedures described in the NCP.
This rule, Cooperative Agreements and Supcrfund State Contracts for Supcrfund Response
Actions, can be found at 40 CFR Part 35 Subpart O.
Developed a scries of Directives, designated by the 9375.5 code, which is guidance relating to
Stale, political subdivision, and federally recognized Indian Tribal involvement in the Supcr-
fund program.
The Agency also is encouraging States and local governments to participate in EPA-sponsorcd
training programs.
FOR MORE
INFORMATION
For more information on State and local involvement in the Supcrfund program, contact the
RCRA/Supcrfund Hotline at 202-382-3000 or 1-800-424-9346. For a list of directives and
publications or information on obtaining copies, contact the Supcrfund Docket & Information
Center (S DIC) at 202-382-6940.
For more information on training opportunities for State and local governments and Indian Tribes,
contact the Supcrfund Training Coordinator in EPA's Office of Solid Waste and Emergency
Response at 202-382-4364.
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