UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
nsWER nirective
SOLID WASTE AND EMERGENCY RESPONSE
MEMORANDUM
SUBJECT
Revisions to Appendix 0, "Record of Decision/
Enforcement Decision Document Guidance" in the
State Participation in tire Superfund Program
Manual f)
FROM:
Sam Morekas, Chief
State and Regi onal /Coordi nat i on Brand
TO: Mailing List
The attached Appendix 0 has been revised to provide EPA
staff with the most current requirements in assembling ROD's
and EDO's. Any changes to Appendix 0 are primarily editorial
in nature; no substantive revisions to the text are seen as
necessary at this time.
The version of Appendix 0 which you presently have should
be discarded and be replaced with this attachment.
Attachment
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1/17/86
Date/
Addendum ft Topic
6/22/84 #1 Site Closeout
Minority and
Women's Business
Reporting
Changes to IG
Audit
9/12/84 #2
9/28/84 #3
Quality Assurance
Project Plan
Revised Letter of
Credit Procedures
Provision
CHANGES TO DATE
Instruction
. New pages
. New page
. New pages
. New page
Change
"... which must
be sent within
120 days." to
"... which
must be sent
within 90 days."
Add, as the
second sentence
in the para-
graph, "In
addition, the
Award Official
will send the
State a copy of
the final audit
report within 15
days of its
receipt."
Change "The re-
sponse must be
dispatched with-
in 120 days..."
to "The response
must be dis-
patched within
90 days..."
New pages
Replacement pages
Location/Page
Appendix F, Pages F-22
and 23
Appendix H, Page H-23
Appendix P, Pages
P-37-P-47
Appendix F, Page F-24
Appendix C, Page C-12,
first complete paragraph
Appendix C, Page C-12
first complete paragraph
Appendix C, Page C-12
footnote
Appendix L, formerly
reserved
Appendix F, Pages F-3
through F-6
111
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CHANGES TO DATE (Continued)
Date/
Addendum tt
12/10/84 #4 Multi-Site Coop-
erative Agreements
Instruction
Replacement
pages
Replacement
pages
Replacement
pages
Replacement
pages
New pages
Replacement
page
New pages
Replacement
pages
New pages
Replacement
page
New page
Replacement
pages
New page
Change "...at
quarterly inter-
vals commencing
at the start of
the project." to
"...within 30
days of the end
of the Federal
fiscal quarter."
New pages
Replacement
pages
New pages
Replacement
pages
Replacement
pages
New pages
1/17/86
Location/Page
Table of Contents, Pages
xiii through xvii
List of Exhibits, Pages
xvii and xix
List of Acronyms, Pages
a - through e
Chapter II, Pages II-l
through 6
Chapter II, Page II-7
and Exhibit II-2
Chapter III, Page 111-17
Chapter III, Pages
111-18 through 27 and
Exhibits 111-10 and
III-ll
Chapter IV, Pages
IV-5 through IV-7
Chapter IV, Pages IV-8
through IV-11
Chapter V, Page V-7 and
V-8
Chapter V, Page V-9
Appendix E, Pages E-l
through E-22
Appendix E, Page E-23
Appendix F, Page F-16,
Section K, indented
paragraph
Appendix F, Pages F-25
and F-26
Appendix J, Pages J-l,
J-2, and J-7
Appendix J, Pages J-8
and J-9
Appendix N, Pages N-l
through N-6
Appendix P, Pages P-l,
P-2, and P-47
Appendix P, Pages P-48
through P-51
IV
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CHANGES TO DATE (Continued)
1/17/86
Date/
Addendum ft
1/4/85 #5
1/1V85 #6
8/2/85 #7
9/17/85 #8
Topic
Advance Match
Site Safety Plan
Guidance
Obtaining Equipment
Under a CEPCLA
Cooperative Agreement
Intergovernmental
Review Procedures
State Cooperative
Agreements for Pre-
Remedial Activities
12/18/85 #9 Action Memorandum
Guidance
12/20/85 #10 Model Statement of
Work for a Remedial
Investigation/
Feasibility Study
12/20/85 #11 Site Safety Plan
Guidance
1/17/86 #12 Record of Decision
(ROD)/
Enforcement Decision
Document (EDD)
Guidance
Instruction
. New pages
. New pages
. New pages
. Replacement page
. Replacement pages
. New pages
Replacement pages
Replacement pages
. Replacement pages
•
. Replacement pages .
. Replacement pages .
. Replacement pages .
Location/Page
New Appendix Sf Pages
S-l through S-9
Appendix M, formerly
reserved
New Appendix T, Pages
T-l through T-15
Table of Contents, Pages
xiii through xix
List of Exhibits, Pages
xx and xxi
Appendix D, Pages D-l
through D-28
Appendix A, formerly
reserved
Table of Contents, Pages
xiii through xix
Appendix B, Pages
B-l through B-9
Table of Contents, Pages
xiii through xix
Appendix E, Pages
E-l through E-21
Table of Contents, Pages
xiii through xix
Appendix M, Pages M-l
through M-28
Table of Contents, Pages
xiii through xix
Appendix 0, Pages 0-1
through 0-20
iva
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TABLE OF CONTENTS
1/17/86
Revised Page xiii
LIST OF ACRONYMS AND ABBREVIATIONS
I. INTRODUCTION
A. Purpose of the Manual
B. Background — Key Terms
B.I Remedial Response
B.2 Remedial Response Agreements
B.3 State Assurances
B. 3.a Cost-Shar ing
B.3.b Off-Site Treatment, Storage,
or Disposal
B.3.c Operation and Maintenance (O&M)
B.4 State Credits
C. Overview of the Manual
CONCURRENT ADMINISTRATIVE EVENTS
A. Initiation of Enforcement Activities
Initiation of Forward Planning
II
III
B.
C.
D.
E.
F.
Development of Site-Specific Schedules
Development of the Remedial
Accomplishments Plan (RAP)
Development of the Action Memorandum
Identification and Review of State
Credit Submissions
Intergovernmental Review
DEVELOPMENT OF COOPERATIVE AGREEMENT
APPLICATION PACKAGES
A. Completion of the Cooperative Agreement
Application Form
PAGE DATE
a
1-1
1-2
1-17
1-4
1-4
1-5
1-5
1-6
1-7
1-7
1-7
II-l
II-2
11-2
II-5
II-5
II-5
II-6
II-7
III-l
III-2
12/10/84
12/10/84
Xlll
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A.I Part IV - Project Narrative
Statement
A.2 Part III - Project Budget
PAGE DATE
III-2
111-3
A. 2.a Allowable Costs 111-4
A.2.b Enforcement Costs II1-5
A.2.C Calculation of State Cost Share III-5
B. Development of Cooperative Agreement
Provisions
B.I General Assistance Requirements
B.2 Superfund Program Requirements
B.2.a Provision of CERCLA
Section 104(c)(3) Assurances
B.2.b The National Environmental
Policy Act of 1969 (NEPA)
B.2.c Quality Assurance/Quality
Control (QA/QC)
B.2.d Site Safety Plan
B.2.e Expedited Procurement
C. Completion of the Procurement System
Certification Form
D. Other Submissions
D.I Community Relations Plan (CRP)
D.I.a Draft Community Relations
Plan
D. 1.b Complete Community
Relations Plan
D.2 Certification Letter
D.3 Intergovernmental Review Comments
E. Deviation Requests to Permit the
Allowability of Pre-Award Costs
F. Multi-Site Cooperative Agreements
F.I Activities That May Be Included
in Multi-Site Cooperative
Agreements
F.2 Intergovernmental Review
F.3 Contents of a Multi-Site Cooperative
Agreement
III-6
III-6
III-7
III-8
III-9
111-10
III-ll
111-12
111-12
111-13
111-13
111-13
111-14
111-15
111-15
111-15
111-17
111-18
111-19
111-20
12/10/84
XIV
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Revised Page xv
F.3.a Cooperative Agreement
Application Form
F.3.b Multi-Site Cooperative
Agreement Application
Provisions
F.S.c Procurement System
Certification Form
F.3.d Certification and
Enforcement Letters
F.4 Accounting for Multi-Site
Cooperative Agreements
F.5 Administration of Multi-Site
Cooperative Agreements
F.5.a Project Management
F.s.b Project/Budget Periods
F.S.c Quarterly Reports
IV. DEVELOPMENT OF EPA-LEAD REMEDIAL PLANNING
AGREEMENTS
A. The Scope of Work for Remedial Planning
B. Documentation of Terms and
Responsibilities
B.I EPA Responsibilities
B.2 State Responsibilities
B.3 General Terms
C. Other Submissions
C.I Community Relations Plan (CRP)
C.2 Intergovernmental Review Comments
D. Management Assistance Cooperative
Agreements
V. DEVELOPMENT OF SUPERFUND STATE CONTRACTS
A. Development of the Statement of Work (SOW)
B. Development of State Cost-Sharing Terms
B.l Calculation of the State's Cost Share
B.2 Negotiation of Payment Terms
C. Documentation of Other Terms and
Responsibilities
PAGE DATE
111-20
111-23
111-23
II1-23
111-24
111-26
111-26
111-26
111-27
IV-1
IV-3
IV-3
IV-3
IV-4
IV-4
IV-5
IV-5
IV-6
IV-6 12/10/84
V-l
V-2
V-2
V-2
V-3
V-4
XV
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C.I EPA Responsibilities
C.2 State Responsibilities
C.3 General Terms
D. Other Submissions
D.I Community Relations Plan (CRP)
D.2 Certification Letter
D.3 Intergovernmental Review Comments
E. Multi-Site Superfund State Contracts
PAGE DATE
V-4
V-5
V-6
V-7
V-7
V-8
V-8
V-8 12/10/84
VI. EXECUTION OF REMEDIAL AGREEMENTS VI-1
A. Review of the Draft Agreement VI-i
A.I Review of the Draft Cooperative VI-2
Agreement Application Package
A.2 Review of the Draft EPA-Lead VI-2
Submission
B. Final Regional Review and Preparation VI-2
of the Concurrence Package
C. Approval and Execution VI-4
VII. ADMINISTRATION OF REMEDIAL AGREEMENTS VII-1
A. Monitoring Financial Commitments VII-1
A.I State Drawdowns Under a Cooperative VII-2
Agreement
A.2 State Payment of Cost Share Under VI1-3
a Superfund State Contract
B. Monitoring Technical Commitments VI1-3
B.I Monitoring Site Activities VII-4
B.2 Monitoring State Assurances and VI1-5
Compliance with Special Conditions
C. Coordinating EPA-Lead Remedial Agreements VI1-5
with Performance Agreements
D. Documenting Remedial Activity VI1-6
xvi
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PAGE DATE
D.I Regional Files VII-6
D.2 EPA Headquarters Files VII-6
D.3 State Files VII-7
E. Documenting Completion of Remedial
Implementation [RESERVED]
VIII. AGREEMENT MODIFICATIONS VIII-1
A. Project Adjustments VIII-1
A.I Adjustments to State-Lead Projects VIII-l
A. 2 Adjustments to EPA-Lead Projects VI11-2
B. Initiation of Remedial Design and VII1-3
Remedial Action
B.I Records of Decision (RODs) VII1-3
B.2 Incorporating Remedial Design and VII1-6
Remedial Action into an
Agreement Between EPA and the State
C. Initiation of Operation and Maintenance VIII-7
xvii
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APPENDICES
Introduction to
Appendix A -
Appendix B -
Appendix C -
Appendix D -
Appendix E -
Appendix F -
Appendix G -
Appendix H -
Appendix I -
Appendix J -
Appendix K -
Appendix L -
Appendix M -
Appendix N -
Appendix 0 -
Appendix P -
Appendix Q -
the Appendices
PA/SI Guidance
Action Memorandum Guidance
A-l 9/17/85
B-l 12/20/85
Procedures for Developing and Processing C-l
CERCLA State Credit Claims
Procedures for Implementing Intergovern- D-l 9/17/85
mental Review
Model Statement of Work for State-lead E-l 12/10/84
Remedial Investigation/Feasibility Study
Projects
Sample Cooperative Agreement Application F-l
Provisions
Sample Cooperative Agreement Application G-l
Package
Sample Articles for Superfund State
Contracts and Other EPA-Lead Remedial
Agreements
Sample Superfund State Contract
Sample Certification Letters
Sample Community Relations Plan Format
and Sample Plan (CRP)
H-l
1-1
J-l 12/10/84
K-l
Sample Quality Assurance/Quality Control L-l 9/12/84
Plan
Sample Site Safety Plan
Instructions for Using Superfund Letter
of Credit Account Numbers Under
Cooperative Agreements
Record of Decision (ROD)/Enforcement
Decision Document (EDD) Guidance
Selected EPA Policy Papers
Glossary of Terms
M-l 12/20/85
N-l 12/10/84
O-l 1/17/86
P-l
Q-l
XVlll
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Revised Page xix
Appendix R - List of References R-l
Appendix S - Advance Match Procedures S-l 1/4/85
Appendix T - Obtaining Equipment for Use Under T-l 8/9/85
a CERCLA Cooperative Agreement
xix
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Replacement Page xx
LIST OF EXHIBITS
Exhibit
Number TITLE
1-1 Site Chronology
1-2 Document Outline
II-l Concurrent Administrative Events
I1-2 Sample SOW for State-Lead Forward Planning
Activities
III-l Development of Cooperative Agreement Application
Packages
II1-2 Cooperative Agreement Application Package
Checklist
II1-17 Figures for Use in Estimating Total State-Lead
Remedial Action Costs
III-4 Object Class Categories for Use in Completing
the Cooperative Agreement Application
III-5 Itemization of Object Class Categories:
Appropriate Level of Detail
II1-6 State Cost-Share Calculations
111-7 Summary of Requirements for Procurement Under
Assistance Agreements (40 CFR 1717)
III-8 Summary of Superfund Program Provisions for
Cooperative Agreement Applications
II1-9 Methods for Expediting Procurement
111-10 Examples of Options for Awarding and Managing
Multi-Site Cooperative Agreements
I11-11 Sample MSCA Obligation Document
IV-1 Development of Memoranda of Understanding
V-l Development of Superfund State Contracts
xx
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Replacement Page xxi
LIST OF EXHIBITS
Exhibit
Number TITLE
V-2 Figures for Use in Estimating Total EPA-Lead
Remedial Action Costs
V-17 State Cost-Share Calculations
VI-1 Execution of Remedial Agreements
VI-2 Agreement Review and Approval Process
VI-17 Suggested Format for the Decision Memorandum
VII-1 Administration of Remedial Agreements
VIII-1 Agreement Modifications
A-l Pre-Remedial Screening Process
A-2 CERCLA Information System (CERCLIS)
A-17 Application For Federal Assistance, Part III
Table 1 Sample Format for Pre-Remedial Program Report
Table 2 Sample Format for Work Hours Per Site (Pre-Remedial)
Table 17 .Sample Format for Expense Report (Pre-Remedial)
Table 4 Sample Format for Site Additions and Substitutions
(Pre-Remedial)
Table 5 Revised Schedule of Pre-Remedial Accomplishments
C-l Overview of Procedures for Processing State
Credit Claims
N-l Superfund Remedial Activities Code List for
Cooperative Agreements
N-2 Financial Status Report Form and Instructions for
Its Completion
T-l Sample Usage Charge Calculation
T-2 Accounting Example
xxi
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1/17/86
APPENDIX O
RECORD OF DECISION/ENFORCEMENT DECISION
DOCUMENT GUIDANCE
OSWER Directive
9375.1-4-0
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APPENDIX O
RECORD OF DECISION/ENFORCEMENT DECISION
DOCUMENT GUIDANCE
PURPOSE
This appendix has been provided to assist EPA staff in
assembling a Record of Decision (ROD) or an Enforcement
Decision Document (EDD) by summarizing requirements for
RODs/EDDs and illustrating possible ROD/EDD components.
BACKGROUND
A ROD is the document used to document EPA's remedial
decision-making process and demonstrate that the require-
ments of Superfund and the National Oil and Hazardous Sub-
stances Pollution Contingency Plan (NCP) have been met.
An EDD is prepared to obtain EPA approval of a remedial
action to be implemented by a potentially responsible
party. Pursuant to delegations of CERCLA authority, the
Assistant Administrator for Solid Waste and Emergency
Response (AA, SWER) selects the remedial action to be
implemented at a site or can delegate this responsibility
to the appropriate Regional Administrator
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Revised Page 0-2
When off-site disposal is part of the proposed remedial
action, the declaration required by CERCLA section 101(24)
should be included, as appropriate.
The ROD should also contain a section concerning oper-
ation and maintenance (O&M). This section will briefly
outline available information about O&M needs associated
with the selected remedy and will document approval of
EPA's participation in O&M by containing the following:
Identification of O&M necessary for the selected
remedy, including on-site monitoring
Length of time O&M will be required
Total estimated O&M costs
Identification of the State agency that will be
responsible for O&M.
It should also include a recommendation of the period of
time (up to a maximum of one year) during which EPA will
share in the costs of O&M. In making this recommendation,
the RA should consider the individual circumstances of
both the site in question and the State involved. Deci-
sion criteria may include the type and cost of the O&M, ,
the financial capability of the State, and the importance
of the O&M activities to the effectiveness of the remedy.
Information contained in this section will also be con-
sidered in selection of the remedy, so that the cost-
effectiveness of remedial alternatives can be judged on
total life-cycle costs.
Additional components of the ROD/EDD package may in-
clude:
A summary sheet, which can be used to brief the
AA (or RA) on the proposed remedy and site re-
quirements
A detailed narrative summary describing the site,
its enforcement status, and the rationale for
recommending a remedial action
More detailed background information on the site
O-2
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Other supporting documentation, such as the feasi-
bility study report and a responsiveness summary
that contains a review of public inquiries and
comments, the issues and concerns raised, and how
EPA or the State has responded.
A transmittal memorandum, containing recommenda-
tions to the AA or RA, and the estimated costs of
the recommended remedy, including EPA's share of
O&M costs for the recommended period.
The package also should highlight any potential problems
or policy issues affecting the decision and should demon-
strate close coordination among EPA, the State, and the
local community.
APPENDIX SUMMARY
This appendix presents several ROD/EDD guidance docu-
ments, including:
Model ROD Remedial Alternative Selection
Model Negotiation Decision Document
Model Enforcement Decision Document
Summary of Remedial Alternative Selection
Model Community Relations Responsiveness Summary
Format for Briefing the AA or RA on the ROD.
Additional information concerning the various ROD/EDD
processes may be found in Chapter VIII of this manual and
in "Preparation of Decision Documents for Approving Fund-
Financed and Potentially Responsible Party Remedial Ac-
tions Under CERCLA," issued by OSWER on February 2, 1985.
0-3
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1. MODEL RECORD OF DECISION
Record of Decision
Remedial Alternative Selection
SITE: [Site, name, location]
DOCUMENTS REVIEWED
I am basing my decision primarily on the following
documents describing the analysis of cost-effectiveness of
remedial alternatives for the [site name]:
[Site name] Remedial Investigation
[Site name] Feasibility Study
- Summary of Remedial Alternative Selection
- Responsiveness Summary
- [Other relevant reports or documentation of the
remedy selection process].
DESCRIPTION OF SELECTED REMEDY
- [List major components of remedy]
- [List operation and maintenance requirements if
funding will be requested].
Note: Care must be taken to list all documents used to
reach the final decision. Secondary references
included in the listed documents need not be
listed here.
DECLARATIONS
Consistent with the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980
(CERCLA), and the National Contingency Plan (40 CFR Part
300), I have determined that the [description of remedy]
at the [site name] is a cost-effective remedy and provides
adequate protection of public health, welfare, and the
environment. The State of [State name] has been consulted
and agrees with the approved remedy. [Include the follow-
ing if appropriate] In addition, the action will require
future operation and maintenance activities to ensure the
0-4
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Revised Page O-5
continued effectiveness of the remedy. These activities
will be considered part of the approved action and eligi-
ble for Trust Fund monies for a period of [insert funding
period not to exceed 1 year].
I have also determined that the action being taken is
appropriate when balanced against the availability of
Trust Fund monies for use at other sites. [Include the
following sentence if remedy involves off-site actions]
In addition, the off-site transport, storage, destruction,
treatment, or secure disposition [use appropriate wording
based on actual remedy] is more cost-effective than other
remedial actions, [include the following if appropriate]
and will create new capacity to manage hazardous waste,
[include the following if appropriate] and is necessary to
protect public health, welfare or the environment.
Note: Language for Fund-balancing waivers or waivers
from other environmental regulations will be
worked out on a site-specific basis.
[Include the following if appropriate.] The State [or
EPA] will undertake an additional remedial investigation/
feasibility study to evaluate [describe scope of RI/FS].
If additional remedial actions are determined to be neces-
sary, a Record of Decision will be prepared for approval
of the future remedial action.
Date Assistant Administrator
Office of Solid Waste and Emergency
Response
or
Regional Administrator
0-5
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2. MODEL NEGOTIATION DECISION DOCUMENT
Model
Negotiation Decision Document
Remedial Alternative Selection
(Enforcement Confidential)
SITE
- Name
- Location
DOCUMENTS REVIEWED
I am basing my decision primarily on the following
documents describing the analysis of the cost and effec-
tiveness of the remedial alternatives for the [site name],
[Site name] Remedial Investigation
[Site name] Feasibility Study
- Summary of Remedial Alternative Selection
- Summary of public comment
- Summary of Enforcement Analysis for Negotiation
with potentially responsible parties (PRPs)
- Comments from the PRP group on the draft Feasi-
bility Study for the [site name]
- Other relevant reports or documentation of the
remedy selection process.
Note: Care must be taken to list all documents used to
reach the final decision. Secondary references
included in the listed documents need not be
listed.
DESCRIPTION OF THE RECOMMENDED REMEDY
- Summarize remedial action (e.g., tank removal,
soil removal, grade property, operation and main-
tenance) .
DESCRIPTION OF REMEDY FOR NEGOTIATION WITH PRPs
a. Remedial Alternative
O-6
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- Other acceptable alternatives or variations to
the selected remedy.
b. Negotiation Strategy and Time Schedule
- The Agency recommends [insert settlement negotia-
tion schedule to finalize NDD, initiate negotia-
tions, finalize negotiations, issue a unilateral
Administrative Order (AO), effect an AO, and
begin a Fund-financed action] for negotiation of
a settlement with PRPs.
Date Assistant Administrator
Office of Solid Waste and Emergency
Response
or
Regional Administrator
Attachments:
Enforcement Analysis for Negotiation with PRPs
[Site name] PRPs list
O-7
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3'. MODEL ENFORCEMENT DECISION DOCUMENT
Model
Enforcement Decision Document
Remedial Alternative Selection
SITE
- Name
- Location.
DOCUMENTS REVIEWED
I am basing my decision primarily on the following
documents describing the analysis of the cost and effec-
tiveness of the remedial alternatives for the [site name]
[Site name] Remedial Investigation
[Site name] Feasibility Study
- Settlement Document
- Other relevant reports or documentation of the
remedy selection process.
Note: Care must be taken to list all documents used to
reach the final decision. Secondary references
included in the listed documents need not be
listed.
DESCRIPTION OF SELECTED REMEDY
- List major components of remedy
List operation and maintenance requirements if
funding will be requested
List other relevant details of the remedy from
the Settlement Document.
DECLARATIONS
Consistent with the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980
(CERCLA), and the National Contingency Plan (40 CFR Part
300), I have determined that the [description of remedy]
at the [site name] is a cost-effective remedy that pro-
vides adequate protection of public health, welfare and
0-8
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Revised Page O-9
the environment. The State of [State name] has been con-
sulted and agrees with the approved remedy. [Include the
following if appropriate.] In addition, the action will
require future operation and maintenance activities to
ensure the continued effectiveness of the remedy. These
activities will be considered part of the approved
action. Settlements have been reached between EPA and the
responsible parties based on the selected remedy.
I have also determined that the action being taken is
a cost-effective alternative when compared to the other
remedial options reviewed. [If appropriate, include the
following sentence if remedy involves off-site actions.]
In addition, the off-site transport, storage, destruction,
treatment, or secure disposition [use appropriate wording
based on actual remedy] is more cost-effective than other
remedial action alternatives considered and will create
new capacity to manage hazardous waste, [include the fol-
lowing if appropriate] and is necessary to protect public
health, welfare or the environment.
Note: Language for enforcement waivers from other envi-
ronmental regulations will be worked out on a
site-specific basis.
[Include the following if appropriate.] The State,
EPA, or PRP will undertake an additional remedial
investigation/feasibility study to evaluate [describe
scope of RI/FS]. If additional remedial actions are
determined to be necessary, a Negotiation Decision Docu-
ment or a Record of Decision will be prepared for approval
of the future remedial action.
Date Assistant Administrator
Office of Solid Waste and Emergency
Response
or
Regional Administrator
Attachments:
Summary of Remedial Alternative Selection
Community Relations Responsiveness Summary
Settlement Document (Administrative Order or Consent
Decree)
O-9
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4. SUMMARY OF REMEDIAL ALTERNATIVE SELECTION
Summary of Remedial Alternative Selection
[Site Name]
SITE LOCATION AND DESCRIPTION
Describe the site in terms of:
- Location, address (include maps, site plan as
appropriate)
- Area of site, topography, located in floodplain
- Adjacent land uses
- Location and distance to nearby populations
- General surface and ground water resources
- Surface and subsurface features (e.g., number and
volume of tanks, lagoons, structures, drums).
Note: This section should not exceed two paragraphs.
SITE HISTORY
Describe site history in terms of:
- How site was established
Period of operations
- History of ownership
- Site uses over period of operation, (type of
wastes received, treatment/storage/disposal prac-
tices)
- Types of permits applied for and/or approved,
permitting authority
- History of releases
- Previous response actions (e.g., 311, immediate
removal)
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- Previous enforcement activities.
Note: This section should not exceed two paragraphs.
CURRENT SITE STATUS
Describe results of remedial investigation:
- Describe quantity, types, and concentrations of
hazardous substances present (summarize in tables
and figures)
- Describe known or suspected risks from substances
- :Extent of contamination (lateral and vertical)
Describe surface and subsurface pathways of mi-
gration (e.g., leachability of contaminated soil,
soil permeability, depth to ground water)
- Location and number of affected receptors (actual
or potential).
Note: This section should summarize only the informa-
tion related to the proposed remedy and maximize
the use of maps and figures.
ENFORCEMENT [Used when no negotiations with PRPs]
Describe potentially/current enforcement activities:
- Potential responsible parties
- Results of negotiations
Filed case
Recommendation to use Fund.
ENFORCEMENT ANALYSIS [Use when negotiations with PRPs are
proposed]:
Discuss PRP interest in undertaking the remedial
actions
- Discuss the expectation for successful negotia-
tions and the recommended maximum duration of
negotiations
Describe the flexibility (if any) that the Region
feels is appropriate for negotiating
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Analyze the technical differences between the
cost-effective remedy and remedies proposed by
PRPs.
ALTERNATIVES EVALUATION
Describe if actions are source control or off-site
measures (40 CFR Part 300.68(d))
Describe results of feasibility study:
- Identify public health and environmental objec-
tives (if possible, describe which objectives are
for public health protection and which are for
environmental protection)
- List all alternatives considered (a no-action
alternative must be included)
- Identify an on-site alternative that fully com-
plies with other appropriate environmental laws
(e.g., RCRA, TSCA)
Describe the alternative screening process (must
be consistent with 40 CFR Part 300.68(g)). Al-
ternatives screened generally do not need to be
described separately
Briefly explain why alternatives were eliminated
during screening; if no-action was eliminated,
provide justification
- Describe detailed analysis of final alternatives
(must be consistent with 40 CFR Part 300.68(h)),
discuss factors used to evaluate effectiveness
and results of evaluation
Explain why alternatives are recommended (must be
consistent with 40 CFR Part 300.68(i))
- List alternatives with cost estimates (capital,
O&M and present worth) for comparison with effec-
tiveness evaluation.
Note: This section should briefly summarize the above
information.
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COMMUNITY RELATIONS
Briefly describe the community's level and nature
of concerns or support for each alternative.
CONSISTENCY WITH OTHER ENVIRONMENTAL REQUIREMENTS
- Identify technical requirements of other environ-
mental laws and regulations that could apply to
the final site actions (e.g., RCRA, TSCA, CWA,
floodplain management)
- Describe the alternative that would satisfy the
appropriate technical requirements (if an alter-
native was not developed during the feasibility
study, one must be developed for this analysis)
Use regulatory compliance alternative as a base-
line to compare other alternatives
If recommended alternative does not comply,
describe the differences (e.g., liner/leachate
collection is not provided for on-site contain-
ment)
- Describe key requirements with which alternatives
will comply [e.g., RCRA ground water monitoring
plan, floodplain assessment (Executive Order
11988), PCB disposal requirements].
Note: This section should briefly summarize the above
information. If a waiver for compliance with
other environmental requirements is being re-
quested, explain the basis for approval.
Any regulatory determinations, waivers or find-
ings that the Regional Administrator determines
is necessary (e.g., alternative concentration
limit for ground water contamination in accor-
dance with 40 CFR Part 264.94(b) of RCRA
regulations) .
RECOMMENDED ALTERNATIVE
Reference 40 CFR Part 300.68(i) description of
cost-effectiveness
- Describe how the recommended alternative meets
the cost-effectiveness requirement
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Compare recommended alternative to other alterna-
tives, and explain why other alternatives are not
cost-effective (e.g., cost, reliability, less
than adequate public health protection)
- Prepare tabular summary of alternatives
- Discuss justification for Fund balancing, if
appropriate
- Summarize capital and O&M costs of alternative
- Attach appropriate tables or figures describing
alternatives.
OPERATION AND MAINTENANCE (O&M)
- Describe projected O&M activities required to
ensure effectiveness of remedy, including on- and
off-site monitoring plans
List estimated annual O&M costs and durations
- Describe State's funding mechanism and identify
the State agency responsible for O&M (where the
recommended remedy includes permanent relocation,
the relocation responsibilities must be clearly
delineated and the State must commit to its
responsibilities in its concurrence letter).
Include the recommended level of EPA funding and
time period for O&M activities (not to exceed 1
year after the completion of construction).
SCHEDULE
List key milestones and dates for project implementa-
tion:
Complete Enforcement Negotiations
- Approve Remedial Action (sign ROD)
- Award/Amend Cooperative Agreement for Design
Award Superfund State Contract (and IAG) for
Design
Start Design
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Complete Design
Award/Amend Cooperative Agreement for Construction
Award/Amend Superfund State Contract (and TAG)
for Construction
Start Construction
Complete Construction.
FUTURE ACTIONS
Describe future remedial activities that are reguired
to complete site response:
Additional RI/FS projects
- Second operable unit (e.g., for ground water
mitigation)
- Long-term O&M to maintain effectiveness of remedy.
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5. MODEL COMMUNITY RELATIONS RESPONSIVENESS SUMMARY
Community Relations Responsiveness Summary
[Site Name]
INTRODUCTION
The responsiveness summary documents for the public
record:
- Concerns and issues raised during remedial plan-
ning
- Comments raised during the comment period on the
feasibility study
- How EPA or the State considered and responded to
these concerns.
CONCERNS RAISED PRIOR TO THE FEASIBILITY STUDY COMMENT
PERIOD
Briefly describe:
- Major concerns and issues raised by State and
local officials, potentially responsible parties,
and citizens. The level of concern over each of
the major issues should be discussed. Include
the number of times a concern was raised, the
number of people raising the concern, and names
of individuals or groups raising concerns and
issues, when appropriate.
- Activities conducted by EPA or the State to
elicit citizen input and to address specific
concerns and issues; for example, small group
meeting, news conference, and progress reports.
- Changes in any remedial planning activities as a
result of concerns raised.
CONCERNS RAISED DURING THE COMMENT PERIOD
Briefly describe comments on the feasibility study
made by local officials, potentially responsible parties
and citizens:
Categorize comments by major issue or topic
addressed.
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- Summarize comments under the categories as com-
pletely as possible. Do not be so brief that the
essence is lost. For example, "concern about
health effects" is not specific enough. Which
health effect is the community worried about?
- Discuss the level of concern over each of the
major issues. Include how many times the comment
was raised and the number of people raising the
concern. Include names of individuals and groups
raising concerns and issues, when appropriate.
- Discuss when the comment period started and stop-
ped. Mention when, where, and level of atten-
dance at public meeting, if held.
RESPONSE TO COMMUNITY CONCERNS
Explain Agency response:
- Note whether staff met with concerned citizens or
conducted other communication activities during
the comment period, such as a public meeting, or
availability of technical staff to respond to
questions
- Document any modifications or changes in the
remedial alternative as a result of comments.
- Give the reasons for rejecting the community's or
potentially responsible party's preferred alter-
native if the Agency's selected alternative is
different. The citation of "CERCLA" alone does
not explain the Agency's rationale. A more
detailed explanation is required.
- Document in detail any alternatives provided by
the public or potentially responsible parties
which are not evaluated in the feasibility study.
Include any letters, reports, etc., received from
potentially responsible parties.
REMAINING CONCERNS
Briefly explain:
Any areas of community concern that require
Agency attention during remedial design and con-
struction
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How EPA or the State intends to resolve any out-
standing concerns.
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FORMAT FOR BRIEFING THE REGIONAL [ASSISTANT] ADMINIS-
TRATOR
Format for Briefing the Regional [Assistant] Administrator
Record of Decision
[Site Name]
PURPOSE
The purpose of this Record of Decision (ROD) is
to select the appropriate remedial action at the
[site name] that is consistent with the require-
ments of CERCLA and the NCP. The Regional
[Assistant] Administrator has been delegated the
authority for that approval.
ISSUE [Discuss general issues that the RA or AA should
be award of]
[State and local officials and community interest
and concerns]
[Federal facility or Federal generator]
[RCRA issues for on-site actions]
[State cost share, flood plain construction, new
technologies, other issues]
[RC or OGC concurrence or concerns]
MAIN POINTS
[Brief summary of site history]
[Brief summary of site description]
[Summary of previous and current response actions]
[Enforcement status]
[Objectives of proposed remedial action]
[Discuss Tabular Summary of Cost-Effectiveness
Analysis including:]
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[Alternatives and Costs]
- [Public health, environmental, and technical
considerations]
- [Public comments]
- [Recommended cost-effective alternative]
[Waivers from other environmental programs, if
necessary].
Note: This section should summarize only the informa-
tion related to the proposed remedy.
[Future remedial actions needed to complete site
cleanup]
[Summary charts and graphics - effective charts
and graphics include:]
- Aerial photo showing key features
- Site map and/or aerial photo showing pro-
posed actions
- Table of final alternatives listing the
alternatives, capital, O&M and present worth
costs, and public health, environmental,
technical and community considerations (see
samples in Summary of Remedial Alternative
Selections).
NEXT STEPS
Action Date
RA or AA, OSWER.approves ROD
[Amend/award CA, SSC, IAG]
[Sign PR]
[Design remedy]
[Implement remedy]
Note: The Executive Summary should generally be limited
to 3-5 pages, excluding charts and graphics.
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