United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
Publication No
9375 5-01FSa
October 1991
vvEPA State and Local Involvement in
the Superfund Program
Office of Emergency and Remedial Response
Hazardous Site Control Division (OS-220W)
Quick Reference Fact Sheet
INTRODUCTION
When Congress first enacted the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) in
1980, it required States to be active partners during Superfund response actions. Under CERCLA, States with the technical
and management capabilities to carry out a response action were authorized to lead cleanup efforts at a site. Local
communities and certain local government agencies (such as fire departments and public health agencies) also participated
in Superfund cleanup operations.
In 1986, Congress amended CERCLA by passing the Superfund Amendments and Reauthonzation Act of 1986 (SARA).
CERCLA, as amended, strengthens EPA's partnership with the States and provides for increased opportunities for State and
local involvement. More recently, EPA promulgated the National Oil and Hazardous Substances Pollution Contingency Plan
(NCP) to implement the regulatory changes necessitated by SARA. The NCP serves as the blueprint for implementing
Superfund response actions. Specifically, Subpart F of the NCP details the State's role during cleanup and outlines those
areas where EPA must consult with the State.
To further describe the requirements for managing Superfund Cooperative Agreements and Superfund State contracts, EPA
promulgated 40 CFR Part 35, Subpart 0. This regulation outlines the financial and administrative mechanisms that must be
in place for States to carry out the response actions described in the NCP.
HOW STATES AND
LOCAL GOVERNMENTS
BECOME INVOLVED
LOCAL
GOVERNMENTS
CERCLA, as amended, authorizes the Federal Government to take response
actions at a site (Federal-lead), or to transfer the necessary funds and manage-
ment responsibility to a State (State-lead), to political subdivisions of Slates or
to federally recognized Indian Tnbes. 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) lisung and deleting process, 3) study of the site to
determ me cleanup options, and 4) selection and implementation of the remedy.
The law prohibits EPA from providing funding for a remedial action unless the
State makes the following 5 assurances or guarantees:
• Pay part of the cleanup. A State is required to pay 10 percent of the cost of
actual cleanup if the site was privately operated at the time of the hazardous
substance release. A State is required to pay 50 percent or more of the total
response costs if the State or locality operated the site at the time hazardous
wastes were disposed there Political subdivisions may provide the cost
share, but the State must always assure payment in case of default
Ensure the availability of a facility(ies) for disposal of hazardous materials
removed from a site during cleanup. Disposal facilities must comply with
Subtitle C of the Solid Waste Disposal Act to ensure that current land
disposal does not threaten the quality of human health and the environment
Ensure that the State's disposal capacity can adequately handle all hazard-
ous wastes generated within the State over the next 20 years. The State
provides this assurance through a Capacity Assurance Plan that must be
approved by EPA.
Printed on Recycled Paper
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• Operate and maintain the selected remedy once the cleanup is completed and is proven
to be operational and functional. The State assumes full responsibility for future
operation and maintenance. Although a political subdivision may manage the actual
operation and maintenance of the selected remedy, the Stale retains ultimate
responsibility.
• Accept interest in real property on or before completion of the response actions. The
State must assure EPA that it will also ensure the reliability of any institutional controls
restricLing the use of that property. These controls must be maintained by the State even
if the interest in real property is transferred to a local government
OVERVIEW OF CERCLA
Congress enacted the Comprehensive Most recently, as part of the Budget Rec- back the Federal Government for
Environmental Response, Compensa- onciliation Actof 1990 passed in October, the costs of cleanup
Lion and Liability Act (CERCLA), the taxing authority of CERCLA, as
commonly known as Superfund, in amended, was extended through Decem- The law authorizes two kinds of re-
1980. This law created a tax on the ber3l, 1995 and the total amount of reve- sponse actions:
chemicalandpetroleumindustriesand nue that may be collected increased to
provided broad Federal authority to $11.97 billion. A separate provision reau- • Short-term removals where ac-
respond directly to releases or threat- thorized the program without change until Lions may be taken to address
enedreleasesofhazardoussubstances September 30, 1994. Without these ac- releases or threatened releases
that may endanger public health or tions, Superfund authorities woul I have requinng prompt response.
welfareortheenvironment. Overfive expired in October 1991.
years, $1.6 billion were collected, and • Longer-term remedial responses
the tax went toaTrust Fund forclean- Under the Superfund program. EPA can. thatpermanently and significantly
ing up abandoned or uncontrolled haz- reduce the dangcrsassociatcd with
ardous waste sites. • Pay forthecleanupof hazardous waste releases or threats of releases of
sites when those responsible for such hazardous substances that are se-
On October 17, 1986, the Superfund sitescannotbe found orare unwilling rious but not immediately life
Amendments andReauthorization Act or unable to clean up a site. threatening. They can be con-
(SARA) was signed into law. SARA ducted only at sites on EPA’s
increases the Trust Fund to $8.5 bil- • Take legal action to force those rc- National Priorities List (NPL)
lion over five years, and strengthens sponsible for hazardous waste sites
EPA’s authority to conduct cleanup thatthreatenpublichealthortheenvi-
and enforcement activities. ronment to clean up those sites or pay
OVERVIEW OF SUPERFUND PROCESS
REMOVAL AC11ONS, PUBUC PART1CIPA11ON AND ENFORCEMENT
AC11VI11ES MAY OCCUR DURING ALL REMEDIAL PHASES
State and local involvement in the Superfund program vanes depending upon the type of response action. During a removal,
which is an action taken over the short term to address a release or threatened release of hazardous substances, often local
authorities are the first responders at the incident. For example, a city lire or police department can respond immediately to
hazardous substance releases or may serve in a support role to a Stale or Federal authority conducting removal cleanup
activities.
During a remedial action, which is an action intended to stop permanently or substantially reduce over the long term a release
or threatened release of hazardous substances, there are many ways for State and local governments to participate States may
conduct the Preliminary Assessment and Site Inspection (PA/SI), the Remedial Investigation and Feasibility Study (RI/FS)
or the Remedial Design and Remedial Action (RD/RA). States and local governments also may help identify potentially
responsible parties and inform local communities about a cleanup. Whether a site requires a remedial or removal response,
the role of State and local agencies is critical in protecting public health and the environmenL
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MECHANISMS TO
ENSURE STATE AND
LOCAL INVOLVEMENT
CODE OF
FEDERAL
REGULATIONS
WCFRPvtM
SubpwIO
Superfund provides the following mechanisms for 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
otherCERCLA implementation activities. Cooperative Agreements are
also necessary to document the State's assurances before remedial action
begins.
• Superfund State Contracts provide a vehicle for accepting the State's
CERCLA104 assurances including cost-sharing, when EPA or a politi-
cal subdivision undertakes the lead for response.
Procedures for using Cooperative Agreements and Superfund State Contracts for
Superfund responses can be found at 40 CFR Part 35, Subpart O.
THE ROLE OF
POLITICAL
SUBDIVISIONS
The definition of political subdivision varies from State to State; each State
determines what units of government meet its legislative definition. Political
subdivisions may be involved in Superfund response actions by directly leading the
response or by providing sujbport to an EPA or State-lead action. As a support
agency, local governments can provide important information about the site,
including information on the site history and potentially responsible parties.
If a political subdivision leads the Superfund response, EPA may enter into a
Cooperative Agreement with the political subdivision or may provide funds through
the State. When EPA awards funds directly to the political subdivision, EPA, the
State, and the political subdivision must first sign a three-party Superfund State
Contract. The Superfund State Contract is necessary to document the State's
assurances and ensure State involvement consistent with CERCLA section 121 (Q.
If EPA enters into a Cooperative Agreement with the State to lead the response, the
political subdivision may still receive funds through an intergovernmental agree-
ment. In this case, the State remains accountable to EPA under 40 CFR Part 35,
Subpart O for the successful completion of the activities.
Throughout the cleanup actions, political subdivisions should be kept informed of
plans and progress and may also review and comment on reports, studies, and
proposed actions.
EMERGENCY
RESPONSE
\/x
Local governments also play an important role during a Superfund cleanup.
Although most local governments do not have the resources to conduct entire
cleanups at hazardous waste sites, localities often provide important public safety
measures during emergencies, and may receive some financial assistance under the
Local Government Reimbursement (LGR) program (Section 123 of CERCLA, as
amended).
The LGR program is intended to alleviate significant financial burden on local
governments as a result of conducting temporary emergency measures in response
to a hazardous substance threat, and offers assistance of up to $25,000 per response
directly to local governments. Requirements for pursuing reimbursement under
CERCLA Section 123 are found in EPA's Interim Final Rule on Reimbursement
to 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/Superfund Hotline.
COMMUNITY
RELATIONS
OSD «be3ft«to*ocMBm«0 S3B
Each NPL site designated for remedial response under Superfund must have an
approved Community Relations Plan (CRP) in place before field activities can begin.
The Superfund community relations effort may be implemented by the State, political
subdivision or EPA. These activities ensure that the local public is provided with
accurate and timely information about response plans and progress and that their
concerns about planned actions are heard by the lead agency.
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FUTURE As the Superfund program continues to address the hazardous waste issue nation-
DIRECTIONS wide, State and local governments will assume an increasingly active role in
confronting issues at Superfund sites. Most 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 Superfund responses, EPA has
expanded the Core Program to allow greater flexibility in funding options. The Core
Program provides funds for States to conduct CERCLA activities that are not
assignable to specific siLes, but support a site-specific response program. Although
EPA awards Core Program Cooperative Agreements only to States and Indian
Tribes, a political subdivision or other government entity may receive funds through
an intergovernmental agreement with the lead Superfund agency in the State. Using
Core Program funds, the State or political subdivision can develop the capability to
effectively implement the requirements of CERCLA section 121(f), the NCP and 40
CFR Part 35, Subpart 0.
Opportunities an requirements for State and local involvement in Superfund are
described in greater detail in EPA regulations and directives. These include:
The NCP, 40 CFR Pan 300, the roadmap to conducting responses under
CERCLA. Subpart F outlines the requirements for State and local involve-
ment in all phases of response.
• 40 CFR Part 35, Subpart 0, which describes the administrative procedures
for entering into Cooperative Agreements and Superfund State Contracts.
• OSWER directives in the 9375.5 series which pertain to State and political
subdivision involvement in the Superfund Program.
For additional information on State and local involvement in the Superfund program,
contact the RCRAfSuperfund Hotline toll-free at 1-800-424-9346,01703-920-9810.
EPA employees must make their request by E-Mail at OERRIPUBS, Box 5248 or in
writing to Superfund Documents, OS-240, 401 M Street S.W., Washington, D.C.
20460. Requests should include full name, address, telephone number, and the title(s)
or number(s) of the document(s) being requested.
IT A
First-CI ss Mail
Postage and F. .. Paid
United Stat.. EPA
Envsronm.rnai Protection Permit No. G-35
Agency (OS-I 20)
Washington, DC 20460
on ic la l 6uslness
Penalty for Private Us.
$300
FOR MORE
INFORMATION
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