C- &-
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
JUL 2 199!
OF
SOLIO'wASTE AND EMERGINCV RESPONSE
OSWER Directive No.
9835.15a
MEMORANDUM
SUBJECT:
FROM:
TO:
Supplemental Gu
Remedial Invest!
Conducted by
{L/Don R. Clay
Assistant A
ing/|Risk Assessments in
tudies (RI/FSs)
Parties (PRPs)
Regional Administrators, Regions I - X
Purpose.
The purpose of this memorandum is to provide additional
guidance on implementing the policy that EPA will not enter into
settlement agreements under which PRPs perform the risk
assessment components of the RI/FS, as discussed by the Agency in
OSWER Directive No. 9835.15 (August 28, 1990). This memorandum
provides guidance on coordinating the site characterization tasks
and feasibility study prepared by the PRP with the baseline risk
assessment performed by EPA.
Included with this directive are revised and annotated
versions of the Model Administrative Order on Consent for
Remedial Investigation Feasibility Study (Model AOC, Directive
No. 9835.3-iA issued on February 5, 1990} and the Model Statement
of Work for a Remedial Investigation and Feasibility Study
Conducted by Potentially Responsible Parties (Model SOW,
Directive No. 9835.8 issued on June 2, 1989). Changes were made
only in those sections dealing with risk assessment. Regions
should use these Models as guides when drafting site-specific
AOCs and sows.
Early Public Involvement
Although IPA is preparing the baseline risk assessment, it
is important that all interested parties, including the public
and PRPs, be given an opportunity to have early input into the
direction of the risk assessment. This can best be achieved by
RPMs actively soliciting input from all interested parties during
JAN 'I 8 2000
Printed on Recycled Paper
t
! Enforcement S Cqmpijarice Oocka |
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the RI/FS scoping process. At many sites, public scoping
meetings may be the appropriate means to accomplish this.
EPA Responsib11j t ies
In order to complete the RI/FS and the baseline risk
assessment and select a remedy without undue delay, it is
imperative that there be a timely exchange of information between
the PRPs and EPA throughout the entire process. Timely
submission of high quality site characterization deliverables by
the PRP will allow EPA to develop the baseline risk assessment,
but the PRP also needs information from EPA to develop an
acceptable FS.
In order to develop a list of potential remedial
alternatives, the PRP must know the chemicals of concern and the
media of concern that are to be treated (or contained where
appropriate}. As soon as EPA has evaluated the site
characterization data submitted by the PRP, EPA should develop
and release two or more risk assessment memoranda to all
interested.parties. One should list the chemicals of concern for
human health and ecological effects and their toxicity values;
the other should list the potential exposure scenarios, exposure
assumptions, and exposure point concentrations that EPA plans to
use in the baseline risk assessment. The purpose of releasing
this information is three-fold: 1) to keep the public informed
about progress at the site, 2) to allow public input at this
stage, and 3) to give the PRP sufficient information to continue
developing remedial alternatives that are appropriate for the
site.
After considering all submitted comments, EPA will prepare
the baseline risk assessment report. EPA should release this
report to the public at the same time it releases the final RI
report prepared by the PRP. The PRP needs this information to
continue work on the FS report and on treatability studies.
Although EPA will consider any comments submitted on the baseline
risk assessment memoranda in drafting the baseline risk
assessment, EPA is not obligated to respond to comments at that
point in the process. If, after the baseline risk assessment
report is released, any commenters feel that EPA did not address
their concerns in the baseline risk assessment report, they
should notify EPA of their continued concerns during the formal
public comment period, i.e., after the Proposed Plan is released.
This notification should clearly identify the previous comments
that were not addressed to ensure that EPA addresses all that are
considered significant in the responsiveness summary of the ROD.
Re-submission of the comments is not necessary.
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RI/FS Schedule
Implementing these new procedures should not lengthen the
time it takes to complete an RI/FS and select a remedy at most
sites. To minimize' delays, frequent discussions should be held
with PRPs and the public to keep them informed of site progress
and current EPA guidances and policies.
EPA seeks to make clear that it vill not repeatedly review
PRPs1 RI/FS deliverables. If PRPs do not revise their
deliverables and the draft RI and FS to reflect EPA comments in a
timely way, EPA should consider either taking over the RI and/or
FS or writing its own supplements to these documents.
Revisions to the Model AQC
All PRP risk assessment deliverables have been eliminated
from the AOC. A change has also been made in Task III; Site
Characterization. PRPs are now required to submit all sampling
results in a computerized format in order to allow EPA to rapidly
evaluate the collected data and develop the baseline risk
assessment. *
A new section has also been added in the AOC in order to
emphasize EPA's oversight role in evaluating the PRPs1 estimates
of residual risks associated with various remedial alternatives
in the feasibility study.
The section on dispute resolution in the AOC has also been
modified by excluding the baseline risk assessment from dispute
resolution. The baseline risk assessment is not a PRP
deliverable required under an AOC but an EPA document. All
interested parties have an opportunity to review and comment on
two baseline risk assessment memoranda prepared by EPA during the
RI phase. EPA will respond to significant comments on the final
baseline risk assessment, the final RI, the final FS, and the
Proposed Plan during.the formal comment period.
Model SOW
All PRP baseline risk assessment deliverables have been
removed. In addition, EPA will now review and approve the PRPs'
Technical Memorandum Documenting Revised Remedial Action
Objectives and the Technical Memorandum on Remedial Technologies,
Alternatives and Screening in order to ensure that the PRPs have
properly incorporated the findings from EPA's baseline risk
assessment. Language was also added recommending an additional
point of EPA management review before EPA finalizes the baseline
risk assessment.
After initial issues are worked out, EPA expects that this
revised process will help reduce the time it takes to complete an
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acceptable RI/FS. We will re-evaluate this process as we gain
more experience. -. .».,,*...-
If you have any questions about..this policy, please contact
Stephen Ells,- Chief, Technical Oversight "Section, Office of Waste
Programs Enforcement, at FTS 475-;9803.
cc: Waste 'Management Division Directors, Regions I-X
Regional Counsel, Regions I-X .
Regional.CERCLA Branch Chiefs / Regions I-X
. Regional CERCLA Section Chiefs", 'Regions i-x " " ~
Attachments
t r.
.y.
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OSWER Directive Number 9835.3-2A
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION [#]
IN THE MATTER OF: )
)
[SITE NAME] [SITE NUMBER] )
)
[COMPANY NAME )
Address] )
)
RESPONDENT[S] )
)
)
Proceeding Under Sections 104, 122(a), ) U.S. EPA Docket No,
and 122(d)(3) of the Comprehensive )
Environmental Response, compensation, )
and Liability Act as amended )
(42 U.S.C §S 9604, 9622(a), , )
9622(d)(3)}. }
ADMINISTRATIVE ORDER ON CONSENT
FOR REMEDIAL INVESTIGATION/FEASIBILITY STUDY
Operable Unit No.
I. INTRODUCTION
1. This Administrative Order on Consent (Consent Order) is
entered into voluntarily by the United States Environmental
Protection Agency (EPA) and [name of Respondent(s)]
(Respondent(s)). The Consent Order concerns the preparation of,
performance of, and reimbursement for all costs incurred by EPA
in connection with a remedial investigation and feasibility study
(RI/FS) for the [operable unit consisting of3 at the [site name]
located in [site location] ("site") [as well as past response
costs].
II. JURISDICTION
2. This Consent Order is issued under the authority vested
in the President of the United States by sections 104, 122(a) and
122(d)(3) of the Comprehensive Environmental Response,
Compensation, and Liability Act, as amended, 42 U.S.C. SS 9604,
9622(a), 9622(d)(3) (CERCLA). This authority was delegated to
the Administrator of EPA on January 23, 1987, by Executive Order
12580, 52 Fad. Reg. 2926 (1987), and further delegated to
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' ' ' - r OSWER Directive Number 9835.3-2A
Regional Administrators on September 13, 1987, by EPA Delegation
Ho. .14-14-C. [This, authority has been redelegated by the
Regional Administrator to .]';
s '* '
3. The Respondent(s) agrees to undertake all actions
required by the terms, and conditions of this Consent Order. In
any action by EPA or the United States to enforce the terms of
this Consent Order, Respondent(s) consents to and agrees not to
contest the authority or jurisdiction of the Regional - "'
Administrator to issue or enforce this Consent Order, and agrees
not to contest the validity of this Order or its terms.
: III. PARTIES BOUND
i - ":
*. " - "
4. This consent Order shall apply to and be binding upon
EPA and shall be binding upon the Respondent(s), its agents,
"successors, assigns', 'officers, directors and principals-;'
Respondent(s) is jointly and severally responsible for carrying
out all actions required of it by this Consent Order. The >
signatories to this Consent Order certify thatjthey are
authorized to execute and legally bind the parties they represent
to this Consent Order. No change in the ownership or corporate
status of the Respondent(s) or of the facility or site shall
alter Respondent(s)' responsibilities under this Consent Order.
5. The Respondent(s) shall provide a copy of this consent
Order to any subsequent owners or successors before ownership
rights or stock or assets in a'corporate acquisition are
transferred. Respondent(s) shall provide a copy of this Consent
Order to all contractors, subcontractors, laboratories, and
consultants which are retained to conduct.any work performed
under this Consent Order, within 14 days after the effective date
of this Consent,Order or the date of retaining -their services,
whichever is later. Respondent(s) shall 'condition any such
contracts, upon ..satisfactory compliance with this Consent Order.
Notwithstanding the terms of any contract, Respondent (s) is''~J,
responsible for, compliance with this Consent Order and for '-
ensuring that its subsidiaries, employees,' contractors,
consultants, subcontractors, agents and attorneys comply with
this Consent Order.
IV. - STATEMENT OF PURPOSE
, 6. in entering into this Consent Order, the objectives.of
EPA and the Respondent(s) are: (a) to determine the nature and
extent of contamination and any threat to the public health,
welfare, or the environment/caused by the release,or threatened
release .'of .hazardous; substances, pollutants or contaminants .at or
from,the site or facility, by conducting a remedial .'
investigation; (b) to determine and evaluate alternatives for
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OSWER Directive Number 9835.3-2A
remedial action (if any) to prevent, mitigate or otherwise
respond to or remedy any release or threatened release of
hazardous substances, pollutants, or contaminants at or from the
site or facility, by conducting a feasibility study; and (c) to
recover response and oversight costs incurred by EPA with respect
to this Consent Order.
7. The activities conducted under this Consent Order are
subject to approval by EPA and shall provide all appropriate
necessary information for the RI/FS, with the exception of the
baseline risk assessment performed by EPA, and for a record of
decision that is consistent with CERCLA and the National
Contingency Plan (NCP), 40 C.F.E. Part 300. The activities
conducted under this Consent Order shall be conducted in
compliance with all applicable EPA guidances, policies, and
procedures.
V. FINDINGS OF FACT
[Note: Provide enough information in this section for the
Order to stand on its own. The findings of fact need to
establish and justify the conclusions of law set forth in
the Order.]
8. [Identify the site with the name, location, and
description, including geography, description of aquatic and
terrestrial communities, and brief site history.]
9. [Provide information that there are hazardous
substances at the site by listing the specific chemicals found at
the site, and their locations, concentrations and quantities
where known, including description of studies conducted to find
the hazardous substances.]
10. [Describe actual and/or potential release and
contaminant migration pathways, making clear that these are not
exclusive.]
11. [Briefly note some health/environmental effects of some
major contaminants.]
12. [State that the site is on the [proposed] National
Priorities List. Reference section 105 of CERCLA and Federal
Register in which notice of listing appeared.]
13. [Identify each Respondent, i.e., name/business.]
14. [For each Respondent, state the connection between the
Respondent and the site, e.g., owner or operator of a hazardous
1
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-., " OSWER Directive Number 9835.3-2A
waste site, or person who arranged for disposal or treatment of,
or transporter of hazardous substances found at-the site.]
- - 15. [Identify prior response and enforcement actions, if
any, taken at the site.] . "*->'
VI. CONCLUSIONS OF LAW AND DETERMINATIONS
16. The site is a "facility" as defined in section 101(9)
Of:CERCLA, 42 U.S.G. §9601(9). . .
'* ' "i ' f ""*-*-*
17. Wastes and constituents thereof [at the site, sent to
the site, disposed of at -the site,-and/or transported' to the
site] identified in paragraph 9 are "hazardous substances" as
defined in section 101(14) of CERCLA, 42 U.S.C. §9601(14), or
constitute "any pollutant or contaminant" that may present an
imminent and substantial danger to public health or welfare under
section 104(a)(1) of CERCLA.
' '18. -The presence-'of 'hazardous substances at the-site or the
past, present or potential migration of hazardous substances
currently located at or emanating from the site, constitute
actual and/or threatened "releases11 as defined in section 101(22)
Of CERCLA, 42 U.S.C. §9601(22).
19. Respondent(s) is a "person" as defined in section
101(21) of CERCLA, 42 U.S.C. §9601(21).
20. Respondent(s) is a responsible party-under sections
104, 107 and 122 of CERCLA, 42 U.S.C. §§ 9604, 9607 and 9622.
! - I ' 4
' 21. The actions required by this Consent Order.are
necessary to protect the public health or,welfare or the
environment, are in the public interest, 42 U.S.C. §9622(a), are
consistent with CERCLA and the NCP, 42 U.S.C. §§ 9604(a)(1),
9622(a), and will expedite effective remedial action and minimize
litigation, 42 U.S.C. §9622(a).
VII. NOTICE . .
. .'' ' ^
22. By providing a copy of this consent Order to the state,
EPA is notifying the state of [name of state] that this Order is
being issued and that EPA is the lead agency for coordinating,
overseeing, and enforcing the response action required by the
Order.
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OSWER Directive.Number 9835.3-2A
VIII. WORK, TO BE PJjgFORHEJ?
23. All work performed under this Consent Order shall be
under the direction and supervision of qualified personnel.
Within 30 days of the effective date of this Order, and before
the work outlined below begins, the Respondent(s) shall notify
EPA in writing of the names, titles, and qualifications of the
personnel, including contractors, subcontractors, consultants and
laboratories to be used in carrying out such work. The
qualifications of the persons undertaking the work for
Respondent(s) shall be subject to EPA's review, for verification
that such persons meet minimum technical background and
experience requirements. This Order is contingent on
Respondent(s)' demonstration to EPA's satisfaction that
Respondent(s) is qualified to perform properly and promptly the
actions set forth in this Consent Order. If EPA disapproves in
writing of any person(s)' technical qualifications, Respondent(s)
shall notify EPA of the identity and qualifications of the
replacement(s) within 30 days of the written notice. If EPA
subsequently disapproves of the replacement(s), EPA. reserves the
right to terminate this Order and to conduct a complete RI/FS,
and to seek reimbursement for costs and penalties from '
Respondent(s). During the course of the RI/FS, Respondent(s)
shall notify EPA in writing of any changes or additions in the
personnel used to carry out such work, providing their names,
titles, and qualifications. EPA shall have the same right to
approve changes and additions to personnel as it has hereunder
regarding the initial notification.
24. Respondent(s) shall conduct activities and submit
deliverables as provided by the attached RI/FS Statement of Work,
which is incorporated by reference, for the development of the
RI/FS. All such work shall be conducted in accordance with
CERCLA, the NCP, and EPA guidance including, but not limited to,
the "Interim Final Guidance for Conducting Remedial
Investigations and Feasibility Studies under CERCLA" (OSWER
Directive # 9355.3-01), "Guidance for Data Useability in Risk
Assessment" (OSWER Directive #9285.7-05) and guidances referenced
therein, and guidances referenced in the Statement of Work, as
may be amended or modified by EPA. The general activities that
Respondent(s) is required to perform are identified below,
followed by a list of deliverables. The tasks that Respondent(s)
must perform are described more fully in the statement of Work
and guidances. The activities and deliverables identified below
shall be developed as provisions in the work plan and sampling
and analysis plan, and shall be submitted to EPA as provided.
All work performed under this Consent Order shall be in
accordance with the schedules herein, and in full accordance with
the standards, specifications, and other requirements of the work
plan and sampling and analysis plan, as initially approved or
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< : - * -- 'C. OSWER Directive Number 9835.3-2A
modified by EPA, and as may be' amended or modified by EPA from
time to time. For the purposes of this Order, day means calendar
day unless otherwise noted in the Order. *
" "k * ' '- "'.*,** _ * * *
A. * Task I; .Sc.Qpj.ng. EPA determines the site-specific objectives
of the RI/FS and devises a general management approach for the
site, as stated in the attached Statement of Work. Respondent(s)
shall conduct the remainder of scoping activities as described in
the attached Statement of Work and.referenced guidances. At the
conclusion of the project planning phase, Respondent(s)"shall
provide EPA with the following deliverables: '- , ,
- ".: * 'i ,'...... ; -
1. RI/FS Work plan. Within days of the effective date
of this Order, Respondent(s) shall submit to.EPA a complete
RI/FS work-plan. If EPA disapproves of or..reguires , -3
revisions to the RI/FS work plan, in whole or in part,.
Respondent(s) shall,amend and submit to EPA a revised work
: plan which is responsive to the directions in all EPA
f comments, within days of receiving EPA's comments.
' . ' ..''»:":-.i / . ?:''_
2. Sampling and Analysisplan. Within days*of the.
/:. effective date of this Order, Respondent(s) . shall submit .to
EPA the sampling arid analysis plan. This plan shall consist
t<' of a field sampling plan (FSP) and a quality, assurance ,
"project plan (QAPjP), as described.in the Statement of Work
and guidances. If EPA disapproves of or requires revisions
to the sampling and ana lysis* plan, in whole or in part,? .:
Respondent(s) shall amend and submit to EPA a revised
sampling and analysis plan which is responsive to the
; "directions 'in all EPA comments, within days of receiving
*' EPA's comments, .'',-:"""-' ,; . . ;
f 3; Site Health and Safety Plan. Within v_-days-ofi the ^
effective date of this Order, Respondent(s) shall submit to
EPA-the site health and safety plan.' ' ' ;. ' . -..::
Following approval or modification by EPA, the RI/FS work
, plan- and the sampling and analysis plan are incorporated by
reference herein. _ '--'
~~ ' " **,**"
B. Task 'II; ComjEQinjIby Relations Plan. - EPA will prepare a
community relations plan, in accordance with"EPA guidance and the
NCP. Respondent(s) shall provide information supporting EPA's
community-relations programs. ' > "" . r
. ;" ...."-.'
,.C. Task JXI; Site Characjifrjlzation. Following EPA approval or
modification of the work plan and sampling and analysis plan*,
Respondent(s) shall implement the provisions of these plans to
characterize the site. Respondent(s) shall complete site
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OSWER Directive Number 9835.3-2A
characterization within months of EPA approval or
modification of the work plan and sampling and analysis plan.
'. Respondent (s) shall provide EPA with analytical data within
days of each sampling activity, in a electronic format (i.e.,
computer disk) showing the location, medium and results. Within
7 days of completion of field activities, Respondent(s) shall
notify EPA in writing. During site characterization,
Respondent(s) shall provide EPA with the following deliverables,
as described in the Statement of Work and work plan:
1. Technical Memorandum ofl Modeling of Site
| Characteristics. Where Respondent(s) proposes that
modeling is appropriate, within days of the
initiation of site characterization, Respondent(s)
shall submit a technical memorandum on modeling of site
characteristics, as described in the Statement of Work.
If EPA disapproves of or requires revisions to the
technical memorandum on modeling of site
characteristics, in whole or in part, Respondent(s)
shall amend and submit to EPA a revised technical
memorandum on modeling of site characteristics which is
responsive to the directions in all EPA comments,
within ^ days of receiving EPA's comments.
2. Preliminary Site Characterization Summary. Within
days of completion of the field sampling and
analysis, as specified in the work plan, Respondent(s)
shall submit a site characterization summary to EPA.
D. Draft Remedial Investigation Report [See Task III of the
attached Statement of Work.] within days of receipt,
respondent(s) shall submit a draft remedial investigation report
consistent with the Statement of Work, work plan, sampling and
analysis plan. If EPA disapproves of or requires revisions to
the remedial investigation report, in whole or in part,
Respondent(s) shall amend and submit to EPA a revised remedial
investigation report which is responsive to the directions in all
EPA comments, within days of receiving EPA's comments.
E. Task I₯i Treatabilitv Studies. Respondent(s) shall conduct
treatability studies, except where Respondent(s) can demonstrate
to EPA's satisfaction that they are not needed. Major components
of the treatability studies include determination of the need for
and scope of studies, the design of the studies, and the
completion of the studies, as described in the statement of Work.
During treatability studies, Respondent(s) shall provide
EPA with the following deliverables:
<,
1. Identification of Candidate Technologies Memorandum.
This memorandum shall be submitted within days of
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OSWER Directive Number 9835.3-2A
.the effective date of this Order. If EPA disapproves
of or requires revisions to the technical memorandum
identifying candidate technologies, in whole or in
part, Respondent(s) shall amend and submit to EPA a
revised technical memorandum identifying candidate
technologies which is responsive to the directions in
all EPA comments, within _____ days 7of receiving EPA's
comments. - ' .
2. Treatability Testing Statement of Work. If EPA
determines that treatability testing is required,
within days thereafter [or as specified by EPA],
Respondent (s). shall submit a treatability testing
statement .of work.
3. Treatabilitv Testing Work Plan. Within days
of submission of the treatability testing statement of
work, Respondent(s) shall submit a treatability testing
work plan, including a schedule, if EPA disapproves of
or requires revisions to the treatability testing work
plan, in whole or in part, Respondent(s) shall amend
and submit to EPA a revised treatability testing work
plan which is responsive to the directions in all EPA
comments, within . days of receiving EPA's comments.
4. Treatability Study Sampling and Analysis Plan.
Within days of the identification of the need for a
separate or revised QAPP or FSP, Respondent(s) shall
submit a treatability study sampling and analysis plan.
If EPA disapproves of or requires revisions to the
treatability study sampling and analysis plan, in whole
or in part, Respondent(s) shall amend and submit to EPA
a revised treatability study sampling and analysis plan
which is responsive to the directions in all.EPA
comments, within _._ days of receiving EPA' s comments.
5. Treatabilitv Study Site Health and Safety Plan.
Within days of the identification of the need for a
revised health and safety plan, Respondent(s) shall
submit a treatability study site health and safety
plan. . -
6T-Treatabilitv StudVjEvaluation Report. Within
days of completion of any treatability testing,
Respondent(s) shall submit a treatability study
evaluation report as provided in the Statement of Work
and work plan. If EPA disapproves of or requires*
revisions to the treatability study report, in whole or
in part, Respondent(s) shall amend and submit to EPA a
revised treatability study report which is responsive
a
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OSWER Directive Number 9835.3-2A
to the directions in all EPA comments, within days
of receiving EPA's comments.
F. Task V; Development ancL^Screenincr of Alternatives.
Respondent(s) shall develop an appropriate range of waste
management options that will be evaluated through the development
and screening of alternatives, as provided in the Statement of
Work and work plan. During the development and screening of
alternatives, Respondent(s) shall provide EPA with the following
deliverables:
1. Memorandum on RemediaJ^Aci^pn Objectives. Within i
days of receipt of EPA's baseline risk assessment,
Respondent(s) shall submit a memorandum on remedial action
objectives.
2. Memorandum on Development and Preliminary Screening of
Alternatives.Assembled Alternatives Screening Results and
Final Screening. Within days of submittal of the
memorandum on remedial action objectives. Respondent(s)
shall submit a memorandum summarizing the development and
screening of remedial alternatives, including an
alternatives array document as described in the Statement of
Work.
G. Task VI; Detailed Analyses of_^Alternatives. Respondent(s)
shall conduct a detailed analysis of remedial alternatives, as
described in the Statement of Work and work plan. During the
detailed analysis of alternatives, Respondent(s) shall provide
EPA with the following deliverables and presentation:
1. Report on Comparative Analysis and presentation to EPA.
within days of submission of a memorandum on the
development and screening of remedial alternatives,
Respondent(s) shall submit a report on comparative analysis
to EPA summarizing the results of the comparative analysis
performed between the remedial alternatives. If EPA
disapproves of or requires revisions to the report on
comparative analysis, Respondent(s) shall amend and submit
to EPA a revised report on comparative analysis which is
responsive to the directions in all EPA comments, within
days of receiving EPA's comments. Within two weeks of
submitting the original report on comparative analysis,
Respondent(s) shall make a presentation to EPA during which
Respondent(s) shall summarize the findings of the remedial
investigation and remedial action objectives, and present
the results of the nine criteria evaluation and comparative
analysis, as described in the Statement of Work.
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. .' « ./.*_; : - OSWER Directive Number 9835.3-2A
,. r 2>. Draft Feasibility Study Report. Within days of
the presentation to EPA, Respondent(s) shall submit a
draft feasibility study report which reflects the
.-findings in EPA's baseline risk assessment. ,
c . Respondent(s) shall refer to Table 6-5 of the RI/FS
Guidance for report content and format. .If EPA- , '.
disapproves of or requires revisions to the draft.
"-.r_ , feasibility study report in whole or in part, ~JJ
,. ... ,, Respondent (s) shall amend and submit to EPA a revised
feasibility study report which is responsive to the
directions in all EPA comments, within days of
receiving EPA's comments. The report as amended, and
"' t the administrative record, shall provide the basis for
-- . the proposed plan under CERCLA §5 113(k) and 117(a) by
EPA, and shall document the development and analysis of
remedial alternatives.
, « " 25. EPA reserves the right to comment on, modify arid direct
changes for all deliverables. At EPA's discretion, Respondent(s)
must 'fully correct all deficiencies arid incorporate arid integrate
all information and comments supplied by EPA either in subsequent
or resubmitted deliverables. . .- , . . ''
.'-'. i..
26. Respondent(s) shall not proceed further with any
subsequent activities or tasks until receiving EPA approval for
the following deliverables: RI/FS work plan,and sampling and
analysis plan, draft remedial investigation 'report, treatability
testing work plan and sampling and analysis plan, '[delete.any.of
the foregoing not required as a deliverable] and draft
feasibility study report. While awaiting EPA .approval on these
deliverables, Respondent(s) shall proceed with all other tasks
and activities which may be conducted independently of these
deliverables, in accordance with the schedule set forth in this
Consent Order. - " '."
* * * **"' "»»"* ^ ° , -
27. Upon receipt of the draft FS report,/EPA will evaluate,
as necessary, the estimates of the risk to the' public and
environment that are expected, to remain after a particular
remedial alternative,_has .been' completed. ._"" T. ..
28. For all remaining deliverables not.,enumerated above in
paragraph 26, Respondent(s) shall proceed.with all subsequent
tasks, activities 'and deliverables without awaiting EPA approval
on the submitted deliverable. EPA reserves the right to stop
Respondent(s) from proceeding further, either temporarily or
permanently, .on any task, activity or deliverable," at. any point
during the RI/FS; - ' .. , * -.- '*'".',,
29. In the event that Respondent(s) amends or revises a
report, plan or other submittal upon receipt of EPA comments, if
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OSWER Directive Number 9835.3-2A
EPA subsequently disapproves of the revised submittal, or if
subsequent submittals do not fully reflect EPA's directions for
changes, EPA retains the right to seek stipulated or statutory
penalties; perform its own studies, complete the HI/PS (or any
portion of the RI/FS) under CERCLA and the NCP, and seek
reimbursement from the Respondent(s) for its costs; and/or seek
any other appropriate relief.
30. In the event that EPA takes over some of the tasks, but
not the preparation of the RI/FS, Respondent(s) shall incorporate
and integrate information supplied by EPA into the final RI/FS
report.
31. Neither failure of EPA to expressly approve or
disapprove of Respondent(s)' submissions within a specified time
period(s), nor the absence of comments, shall be construed as
approval by EPA. Whether or not EPA gives express approval for
Respondent(s)' deliverables, Respondent(s) is responsible for
preparing deliverables acceptable to EPA.
32. Respondent(s) shall, prior to any off-site shipment of
hazardous substances from the site to an out-of-state waste
management facility, provide written notification to the
appropriate state environmental official in the receiving state
and to EPA's Designated Project Coordinator of such shipment of
hazardous substances. However, the notification of shipments
shall not apply to any such off-site shipments when the total
volume of such shipments will not exceed 10 cubic yards.
(a) The notification shall be in writing, and shall include
the following information, where available: (1) the name and
location of the facility to which the hazardous substances are to
be shipped; (2) the type and quantity of the hazardous substances
to be shipped; (3) the expected schedule for the shipment of the
hazardous substances; and (4) the method of transportation.
Respondent(s) shall notify the receiving state of major changes
in the shipment plan, such as a decision to ship the hazardous
substances to another facility within the same state, or to a
facility in another state.
(b) The identity of the receiving facility and state will
be determined by Respondent(s) following the award of the
contract for the remedial investigation and feasibility study.
Respondent(s) shall provide all relevant information, including
information under the categories noted in paragraph 31(a) above,
on the off-site shipments, as soon as practical after the award
of the contract and before the hazardous substances are actually
shipped.
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:..--. ' ; . -,:' *'. . . v. OSWER Directive Number 9835.3-2A
: ' ' .IX. EPAJS BASELINE RISK ASSESSMENT
. ; - 33. EPA wili perform the baseline risk assessment. '-
Respondent(s) shall support EPA in the effort by providing
various information to EPA as outlined above. ..The major
components of the baseline risk assessment include contaminant
identification, exposure assessment, toxicity assessment, and
human health and ecological risk characterization.
.EPA will provide,' after review of the respondent's site- char-
acterization summary, sufficient information concerning the*- ,
baseline risks such that the respondent(s) can begin drafting the
feasibility study report and the Memorandum on Remedial Action
Objectives. This information will normally be in the form of two
or more baseline; risk assessment - memoranda- prepared by EPA., One
memorandum:'Will generally.include a list of the chemicals of
concern for human, health and ecological effects and the -
corresponding toxicity values. Another should list the current
and potential future exposure scenarios, exposure'-assumptions,
and exposure point concentrations that EPA plans to use in the
: baseline risk assessment. The public, including- the
Respondent(s), may comment on these memoranda. However, the
Agency is obligated.to respond.only ,to significant comments that
are submitted during .the.formal public comment period.
After considering any significant comments received, EPA will ,
prepare a baseline risk' assessment report .based on the data-: '
collected by the respondents during the site character-
ization. EPA will release this report to the public at the same
. time it releases the final RI report.. Both reports will be put
into the-administrative record^for the site, t -, .
EPA will respond to all- significant comments on the memoranda or
. the- baseline risk assessment that are resubmitted during the
formal comment period in the Responsiveness Summary of the Record
of Decision. '. . /,, _,,» . . - .
X. -MODIFICATION OF THE WORK PLAN
34. If at any time during the RI/FS process, Respondent(s)
identifies a need .for additional data, a memorandum documenting
the need for additional data shall be submitted to the EPA
Project Coordinator within 20 days of"identification. -EPA in its
discretion will determine whether the additional data will be
collected by.Respondent(s) and whether it will be incorporated
into reports and deliverables.
35. In the event of conditions posing an immediate threat
to human health or welfare or the environment, Respondent(sj
shall notify EPA and the state immediately. In the event of
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OSWER Directive Number 9835.3-2A
unanticipated or changed circumstances at the site, Respondent(s)
shall notify the EPA Project Coordinator by telephone within 24
hours of discovery of the unanticipated or changed circumstances.
In addition to the authorities in the NCP, in the event that EPA
determines that the immediate threat or the unanticipated or
changed circumstances warrant changes in the work plan, EPA.shall
modify or amend the work plan in writing accordingly.
Respondent(a) shall perform the work plan as modified or amended.
36. EPA may determine that in addition to tasks defined in
the initially approved work plan, other additional work may be
necessary to accomplish the objectives of the RI/FS as set forth
in the Statement of Work for this RI/FS. EPA may require that
the Respondent(s) perform these response actions in addition to
those required by the initially approved work plan, including any
approved modifications, if it determines that such actions are
necessary for a complete RI/FS. Respondent(s) shall confirm its
willingness to perform the additional work in writing to EPA
within 7 days of receipt of the EPA request or Respondent(s)
shall invoke dispute resolution. Subject to EPA resolution of
any dispute, Respondent(s) shall implement the additional tasks
which EPA determines are necessary. The additional work shall be
completed according to the standards, specifications, and
schedule set forth or approved by EPA in a written modification
to the work plan or written work plan supplement. EPA reserves
the right to conduct the work itself at any point, to seek
reimbursement from Respondent(s), and/or to seek any other
appropriate.relief.
XI.. QUALITY ASSURANCE ' '
37, Respondent(s) shall assure that work performed, samples
taken and analyses conducted conform to the requirements of the
Statement of work, the QAPP and guidances identified therein.
Respondent(s) will assure that field personnel used by
Respondent(s) are properly trained in the use of field equipment
and in chain of custody procedures.
XII. FINAL RI/FS. PROPOSED PLAN. PUBLICCOMMENT.
RECORD OF DECISION. ADMINISTRATIVE RECORD.
38. EPA retains the responsibility for the release to the
public of the RI/FS report. EPA retains responsibility for the
preparation and release to the public of the proposed plan and
record of decision in accordance with CERCLA and the NCP.
39. EPA shall provide Respondent(s) with the final RI/FS
report, proposed plan and record of decision.
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' OSWER Directive Number 9835.3-2A
, . ;, 40. EPA will determine the contents of the administrative
record file for selection of the remedial action.' Respondent(s)
must submit to-EPA documents developed during the course of' the
RI/FS upon'which selection of the response action.may be based.
Respondent(s) shall provide copies of plans, task memoranda ^
including documentation of field modifications, recommendations
for further action, quality assurance memoranda and audits, raw
data, field notes, laboratory analytical reports and other
reports. Respondent(s) must additionally submit any previous
studies conducted,-under state,.local or'other federal authorities
relating to selection of the response action, and all ;_.'
communications between Respondent(s) and state, local or other
federal authorities concerning selection of the response action.
'At EPA's discretion, Respondent(s) may "establish a community -
information repository at or near the site, to house one copy of
, the administrative,,record. ( *'.l ' ,.",T "' ;. ",'_
~ * * -i ' *
'" ' XZIZ.. PROGRESS REPORTS AND MEETINGS . * ' . ' ."
( ' 41. Respondent(s) shall make presentations at, and
participate in, meetings at the request of EPA during,the.
initiation, conduct, and completion of the RI/FS.'^In addition to
discussion of the technical aspects,of the RI/FS, topics will
include anticipated problems, or new; issues... .Meetings will.be
'scheduled at EPA's discretion. *\ ;.". .'"'. "*
42. In addition to the deliverables set forth in this
Order, Respondent(s) shall provide to EPA monthly progress
reports by the 10th day of.the following month. At a minimum,
with respect to the preceding month, these progress reports shall
(1) describe the actions which have been taken to comply with
this Consent ,,Order during that month, ,(2) include all results of
sampling.and tests and all other data received by the
Respondent(s), (3) describe work planned for the next two months
with schedules relating such work to the overall projecf schedule
for RI/FS completion and (4). describe all problems encountered
and any anticipated problems,'any actual or anticipated delays,
and solutions developed and .implemented to address any actual or
anticipated problems or delays., '.:' ,. .- .
XIV. SAMPLING. ACCESS. AND DATA AVAILABILITY/ADMISSIBILITY
.43. All results of sampling, tests,"modeling or other'data
(including raw data) generated by Respondent(s), or on
Respondent(s)' behalf, during implementation of this Consent "
Order, shall be submitted to EPA in the subsequent monthly
progress report as described in.Section XII of this Order. EPA
will make available to the Respondent(s) validated-data generated
by EPA unless it is exempt from disclosure by any federal or
state law or regulation.
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OSWER Directive.Number 9835.3-2A
44. Respondent(s) will verbally notify EPA at least 15 days
prior to conducting significant field events as described in the
Statement of Work, work plan or sampling and analysis plan. At
EPA's verbal or written request, or the request of EPA's
oversight assistant, Respondent(s) shall allow split or duplicate
samples to be taken by EPA (and its authorized representatives)
of any samples collected by the Respondent(s) in implementing
this Consent Order. All split samples of Respondent(s) shall be
analyzed by the methods identified in the QAPP.
45. At all reasonable times, IPA and. its authorized
representatives shall have the authority to enter and freely move
about all property at the site and off-site areas where work, if
any, is being performed, for the purposes of inspecting
conditions, activities, the results of activities, records,
operating logs, and contracts related to the site or
Respondent(s) and its contractor pursuant to this Order;
reviewing the progress of the Respondent(s) in carrying out the
terms of this Consent order; conducting tests as EPA or its
authorized representatives deem necessary; using a camera, sound
recording device or other documentary type equipment; and
verifying the data submitted to EPA by the Respondent(s). The
Respondent(s) shall allow these persons to inspect and copy all
records, files, photographs, documents, sampling and monitoring
data, and other writings related to work undertaken in carrying
out this Consent Order. Nothing herein shall be interpreted as
limiting or affecting EPA's right of entry or inspection
authority under federal law. All parties with access to the site
under this paragraph shall comply with all approved health and
safety plans.
46. The Respondent(s) may assert a claim of business
confidentiality covering part or all of the information submitted
to EPA pursuant to the terms of this Consent Order under 40
C.F.R. §2.203., provided such claim is allowed by section
104(c) (7) of CERCLA, 42 U.S.C. §9604(e)(7). This claim shall be
asserted in the manner described by 40 C.F.R. $2.203(b) and
substantiated at the time the claim is made. Information
determined to be confidential by EPA will be given the protection
specified in 40 C.F.R. Part 2. If no such claim accompanies the
information when it is submitted to EPA,- it may be made available
to the public by EPA or the state without further notice to the
Respondent(s}. Respondent(s) agrees not to assert
confidentiality claims with respect to any data related to site
conditions, sampling, or monitoring.
47. In entering into this Order, Respondent(s) waives any
objections to any data gathered, generated, or evaluated by EPA,
the state or Respondent(s) in the performance or oversight of the
work that has been verified according to the quality
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OSWER Directive Number 9835.3-2A
assurance/quality control (QA/QC) procedures required by the
Consent Order or any EPA-approved work plans or sampling and
analysis plans. If Respondent(s) objects to any other data
relating to the RI/FS, Respondent(s) shall submit to EPA a report
that identifies and explains its objections, describes the
acceptable uses of the data, if any, and identifies any
limitations to the use of the data. The-report must be submitted
to IPA within 15 days of the monthly progress report containing
the data. ..--. :/;..
48. If the site, or the off-site area that is to be used
for access or is within the scope of the RI/FS, is owned in whole
or in part by parties other than those bound by this Consent
Order, Respondent(s) will obtain, or use its best efforts to
obtain, site access agreements from the*present owner(s) within
days of the effective'date'of this Consent Order. - Such
. agreements shall provide access for EPA, its contractors and
oversight officials, the state 'and its contractors, and the
Respondent(s).or its authorized representatives, and such * **
agreements shall specify that Respondent(s) is not EPA's
representative with respect to liability associated with site
activities. Copies of such agreements shall be provided to,EPA
prior to Respondent(s)' initiation of field activities. '
.Respondent(s)' best efforts shall include providing'reasonable
compensation to any offrsite property owner. If access ..-
agreements are not obtained within the time referenced above,
Respondent (s) shall immediately notify EPA of its failure to
obtain access. EPA may obtain access for the Respondent(s},
perform those tasks or activities with EPA contractors, or
terminate the Consent Order in the event that Respondent(s)
cannot obtain access agreements. In the event that EPA performs
those tasks or activities with' IPA contractors and does not
terminate the Consent Order, Respondent(s) shall perform all
other activities not requiring access to that site,'and shall
reimburse,EPA for all costs incurred in performing such i
activities. _. Respondent(s) additionally shall integrate * the
results' of 'any such tasks undertaken by EPA into its reports and
deliverables. Furthermore, the Respondent(s) agrees to' indemnify
the U.S. Government as specified in Section XXV of this Order.
Respondent(s) also shall reimburse' EPA for all costs and-attorney
fees incurred by the United States to obtain access for the
Respondent(s) pursuant to paragraph 70. :, »
* * * * "** *
"-'-' ' ' xvJ RESIGjjATED PROJECT COORDINATORS !> :"' -
, ; 4* . ( , t
49. Documents including reports, approvals, disapprovals,
and other correspondence which must be submitted under this
Consent Order', shall be sent by'certified mail, return receipt
requested,'to.the following addressees or to any other addressees
which the Respondent(s) and EPA designate in writing:
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OSWER Directive Number 9835.3-2A
(a) Documents to be submitted to EPA should be sent to
[indicate number of copies]:
[EPA Project Coordinator,
CERCLA Branch]
US EPA, Region [#],
[Street, City, State, Zip Code].
(b) Documents to be submitted to the Respondent(s) should
be sent to [include number of copies]:
[Name, Title,
Organization,
Street, City, State, Zip Code].
50. On or before the effective date of this consent order,
EPA and the Respondent(s) shall each designate their own Project
Coordinator. Each Project Coordinator shall be responsible for
overseeing the implementation of this Consent order. To the
maximum extent possible, communications between the Respondent(s)
and EPA shall be directed to the Project coordinator 'by mail,
with copies to such other persons as EPA, the state, and
Respondent(s) may respectively designate. Communications
include, but are not limited to, all documents, reports,
approvals, and other correspondence submitted under this Consent
Order.
51. EPA and the Respondent(s) each have the right to change
their respective Project Coordinator. The other party must be
notified in writing at least 10 days prior to the change.
52. EPA's Project Coordinator shall have the authority
lawfully vested in a Remedial Project Manager (RPM) and On-Scene
Coordinator (OSC) by the NCP. In addition, EPA's Project
Coordinator shall have the authority, consistent with the National
Contingency Plan, to halt any work required by this Consent
'Order, and to take any necessary response action when s/he
determines that conditions at the site may present an immediate
endangerment to public health or welfare or the environment. The
absence of the EPA Project Coordinator from the area under study
pursuant to this Consent Order shall not be cause for-the
stoppage or delay of work.
53. EPA shall arrange for a qualified person to assist in
its oversight and review of the conduct of the RI/FS, as required
by section 104(a) of CERCIA, 42 0.S.C. §9604(a). The oversight
assistant may observe work and make inquiries in the absence of
EPA, but is not authorized to modify the work plan.
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v.,. OSWER Directive Number 9835.3-2A
XVI. OTHER APPLICABLE LAWS
54. Respondent(s) shall comply with all' laws that are
applicable when performing the RZ/FS. No local, state, or
federal permit shall be required for any portion of any action
conducted entirely on-site, including studies,'where such action
is selected and carried out in compliance"with section 121 of
CERCLA.
XVII. RECORD PRESERVATION '- '
55. All records and documents in EPA1s and Respondent's
possession that relate in any way to the site shall be preserved
during the conduct of this Consent Order and for a minimum of 10
years after commencement of construction of any remedial action.
The Respondent(s) shall acquire and retain copies of all
documents that relate ,to the'site and are in the possession of
its employees, agents, accountants, contractors, or attorneys.
After this 10 year period, the Respondent(s) shall notify IPA at
least 90 days before the documents are scheduled to be destroyed.
If EPA requests that the. documents be saved, the Respondent(s)
shall, at no cost to EPA, give'EPA the' documents or copies of the
documents. * , - _ .. ;. ^ '''."'
-.*.' ' " . . ' - ' f"
XVIII. DISPUTE RESOLUTION ,
* t
56. Any disputes concerning activities or deliverables
.required under, .this Order, excluding the baseline risk
assessment, for which dispute resolution has been expressly
provided for, shall be resolved as follows: If the Respohdent(s)
objects to any EPA notice of disapproval or requirement made
pursuant to this Consent Order, Respondent(s) shall notify EPA's
Project Coordinator in writing of its objections within 14 days
of receipt of the disapproval notice or requirement. ". . .
.Respondent(s)' written objections shall define the dispute, state
the basis of Respondent(s)' objections, and be sent certified
mail,, return receipt requested. EPA and the Respondent(s) then
have.an additional 14 days to reach agreement. * If an agreement
is. not reached .within 14 days, Respondent may, request a ." '
determination by EPA's-[Branch Chief/Division Director]. The
[Branch Chiefs/Division Director's] determination is EPA's*final
decision. Respondent(s) shall proceed in accordance with EPA's
final decision regarding the matter in dispute, regardless of
whether Respondent(s) agrees with the decision. If the
Respondent(s) does,not agree to perform or does not actually
perform the work.in accordance with EPA's final decision, EPA
reserves the right in .its sole discretion to conduct the work.
itself, to seek reimbursement from the Respondent(s), to seek
enforcement of the decision, to seek stipulated penalties, and/or
to seek any other appropriate relief.
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OSWER Directive Number 9835.3-2A
57. Respondent(s) is not relieved of its obligations to
perform and conduct activities and submit deliverables on the
schedule set forth in the work plan, while a matter is pending in
dispute resolution. The invocation of dispute resolution does
not stay stipulated penalties under this Order.
XIX. DELAY IN PERFORMANCE/STIPULATED PENALTIES
58. For each day that the Respondent(s) fails to complete a
deliverable in a timely manner or fails to produce a deliverable
of acceptable quality, or otherwise fails to perform in
accordance with the requirements of this Order, Respondent(s)
shall be liable for stipulated penalties. Penalties begin to
accrue on the day that performance is due or a violation occurs,
and extend through the period of correction. Where a revised
submission by Respondent(s) is required, stipulated penalties
shall continue to accrue until a satisfactory deliverable is
produced. IPA will provide written notice for violations that
are not based on timeliness; nevertheless, penalties shall accrue
from the day a violation commences. Payment shall be due within
30 days of receipt of a demand letter from EPA.
59. Respondents shall pay interest on the unpaid balance,
which shall begin to accrue at the end of the 30-day period, at
the rate established by the Department of Treasury pursuant to 30
U.S.C. §3717. Respondents shall further pay a handling charge of
1 percent, to be assessed at the end of each 31 day period, and a
6 percent per annum penalty charge, to be assessed if the penalty
is not paid in full within 90 days after it is due.
60. Respondent(s) shall make all payments by forwarding a
check to:
U.S. Environmental Protection Agency
Superfund Accounting
[insert Regional Lock Box]
Checks should identify the name of the site, the site
identification number, the account number, and the title of this
Order. A copy of the check and/or transmittal letter shall be
forwarded to the EPA Project Coordinator.
61. For the following major deliverables, stipulated
penalties shall accrue in the amount of per day, per
violation, for the first seven days of noncompliance; per
day, per violation, for the 8th through 14th day of
noncompliance; per day, per violation, for the 15th day
through the 30th day; and per day per violation for all
violations lasting beyond 30 days.
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OSWER Directive Number 9835.3-2A
1) An original and any revised.work plan.
2) . An original and any revised sampling and analysis plan.
- " r \ i
3) An original and any revised remedial investigation
report.
4) An original and any revised treatability testing work
plan. ..; ,
5) An original and any revised treatability study sampling
and analysis plan. ,
6) An original and any revised feasibility study report.
62. For. the- following interim deliverables, stipulated
penalties shall accrue in the amount of - per day, per .. ,
violation, for the 'first week of noncompliance; per day, per
violation, for the 8th through 14th day of noncompliance;
per day, per violation, for the 15th day through the 30th day of
noncompliance; and per day per violation for all violations
lasting beyond 30 days.
1) Technical memorandum on modeling of site
characteristics.- . ' .
1 " ' ' «- *
2) Preliminary site characterization summary.
i "
3) summary of RI data, . ; , .
4) Identification of candidate technologies memorandum.
5) Treatability testing statement of work.
6) Treatability, study evaluation report.
7) Memorandum on remedial action objectives.
8) Memoranda on development and preliminary screening of
'alternatives,- assembled alternatives screening .
results, and.final screening. >
9) Comparative analysis report.
63. For the monthly progress reports, stipulated penalties
shall accrue in the amount of per day, per violation, for
the first week of noncompliance; 'per day, per-violation, for
the 8th through 14th day of noncompliance; per day, per
violation, for the 15th day through the 30th day; and per
day, per violation, for all violations lasting beyond 30 days.
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OSWER Directive Number 9835.3-2A
64. Respondent(s) may dispute EPA's right to the stated
amount of penalties by invoking the dispute resolution procedures
under Section XVII herein. Penalties shall accrue but need not
be paid during the dispute resolution period. If Respondent(s)
do not prevail upon resolution, all penalties shall be due to EPA
within 30 days of resolution of the dispute. If Respondent(s)
prevails upon resolution, no penalties shall be paid.
65. In the event that EPA provides for corrections to be
reflected in the next deliverable and does not require
resubmission of that deliverable, stipulated penalties for that
interim deliverable shall cease to accrue on the date of such
decision by EPA.
66. The stipulated penalties provisions do not preclude EPA
from pursuing any other remedies or sanctions which are available
to EPA because of the Respondent(s)' failure to comply with this
Consent Order, including but not limited to conduct of all or
part of the RI/FS by EPA. Payment of stipulated penalties does
not alter Respondent(s)' obligation to complete performance under
this Consent Order.
XX. FORCE MAJEURE
67. "Force majeure", for purposes of this Consent Order, is
defined as any event arising from causes entirely beyond the
control of the Respondent(s) and of any entity controlled by
Respondent(s), including their contractors and subcontractors,
that delays the timely performance of any obligation under this
Consent Order notwithstanding Respondent(s)' best efforts to
avoid the delay. The requirement that the Respondent(s) exercise
"best efforts to avoid the delay" includes using best efforts to
anticipate any potential force majeure event and -best efforts to
address the effects of any potential force majeure event (1) as
it is occurring and (2) following the potential force majeure
event, such that the delay is minimized to the greatest extent
practicable. Examples of events that are not force majeure
events include, but are not limited to, increased costs or
expenses of any work to be performed under this Order or the
financial difficulty of Respondent(s) to perform such work.
68. If any event occurs or has occurred that may delay the
performance of any obligation under this Order, whether or not
caused by a force majeure event. Respondent(s) shall notify by
telephone the Remedial Project Manager or, in his or her absence,
the Director of the Hazardous Waste Management Division, EPA
Region , within 48 hours of when the Respondent(s) knew or
should have known that the event might cause a delay. Within
five business days thereafter, Respondent(s) shall provide in
writing the reasons for the delay; the anticipated duration of
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Directive Number 9835.3-2A
the delay; all actions taken or to be taken to prevent or
minimize the delay; a schedule for 'implementation of any measures
-to be taken to-mitigate the effect of the delay; and a statement
as to whether, in the opinion of Respondent(s), such event nay
'cause or contribute to an endangerment to public health, welfare
or the environment. Respondent(s) shall exercise best efforts to
avoid or minimize any delay and any effects of. a delay. Failure
to comply with the above requirements shall preclude
Respondent(s) from 'asserting.any 'claim of force majeure.
' --,,, ,fc... ;
69. if EPA agrees that the delay or anticipated-delay is
attributable to force majeure, the time for performance of the
obligations under this Order that are directly affected by the
force majeure event shall be extended,by agreement of the
parties, pursuant to section XXVI of this Order, for a period of
time not to exceed the actual duration of the delay caused by the
force majeure event. .An extension of the time for performance of
the obligation directly affected by the force majeure event shall
not,:of itself, extend the-time for performance of any subsequent
obligation.- '- " . \.; . . - : - : ' .
1 * i ' *, '
70. If EPA does not agree that the delay or anticipated
delay has been or will be'caused by a force majeure event, or
does not agree with Respondent(s) on the length of the extension,
the "issue' shall be-'subject to the 'dispute'resolution procedures
set forth in section XVII of this Order. In any such proceeding,
to qualify for a .force majeure defense, Respondent(s) shall have
the burden of demonstrating by a preponderance of the evidence
'that the 'delay or anticipated delay-has been or .will be caused by
a force majeure event, that the duration of the*delay was or will
:be warranted'under the'' circumstances, that Respondent (s) .did
'exercise or is exercising due diligence by using its best efforts
to avoid and mitigate the effects of the delay, and that -
Respondent(s) complied with the requirements of paragraph 66.
71. Should Respondent(s) carry the burden set forth in
paragraph 65, the delay at issue shall be deemed not.to be a
violation of the affected obligation of this Consent Order.*
XXI. REIMBURSEMENT OF PAST COSTS . .
[Note that the Agency cannot compromise past costs unless the
consent order is also issued under $122(h)(1),,and the.
requirements of §122(h)(l) are also met, i.e., prior written
approval of the Attorney General is obtained if the total past
and projected response costs exceed $500,000, excluding 1
interest.] - ' . '-._.'-
'-72. ' Within 15 days of the effective date of: this Order,
Respondent(s) shall remit a certified or cashiers check to EPA in
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OSWER Directive; Number 9835.3 -2A
the amount of $ _ , as previously demanded in the RI/FS Special
Notice Letter dated , together with interest that has
accrued thereon at -the rate of interest specified for the ,
Hazardous Substances Superfund under CERCLA section 107(a), for
all past response costs incurred by the United States in its
[e.g., conduct of the removal action] at the site from
[date] to [date].
73. Checks should be made payable to the Hazardous
Substances Superfund and should include the name of the site, the
site identification number, the operable unit, if any, the
Regional Lock Box Number account number and the title of this
Order. Checks should be forwarded to:
U.S. Environmental Protection Agency
Superfund Accounting
[insert Regional Lock Box]
74. A copy of the check should be sent simultaneously to
the EPA Project Coordinator.
XXII. REIMBURSEMENT OF RESPONSE AND OVERSIGHT COSTS
75. Following the issuance of this Consent Order, EPA shall
submit to the Respondent(s) on a periodic basis an accounting of
all response costs including oversight costs incurred by the U.S.
Government with respect to. this RI/FS. Response costs may
include, but are not limited to, costs incurred by the U.S.
Government in overseeing Respondent(s)' implementation of the
requirements of this Order and activities performed by the
government as part of the RI/FS and community relations,
including any costs incurred while obtaining access. Costs shall
include all direct and indirect costs, including, but not limited
to, time and travel costs of EPA personnel and associated
indirect costs, contractor costs, cooperative agreement costs,
compliance monitoring, including the collection and analysis of
split samples, inspection of RI/FS activities,-'site visits,
discussions regarding disputes that may arise as a result of this
Consent Order, review and approval or disapproval of reports,
costs of performing the baseline risk assessment, and costs of
redoing any of Respondent(s)' tasks. Any necessary summaries,
including, but not limited to EPA's certified Agency Financial
Management System summary data (SPUR Reports), or such other
summary as certified by EPA, shall serve as basis for payment
demands. ;
76. Respondent(s) shall, within 30 days of receipt of each
accounting, remit a certified or cashier's check for the amount
of those costs. Interest shall accrue from the later of: the
date payment of a specified amount is demanded in writing; or the
23
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OSWER Directive Number 9835.3-2A
t* 6 ' I *
date of the expenditure. The interest rate is the rate of
interest on investments for the Hazardous Substances Superfund in
section 107(a) of CERCLA. " ..-,
> .77. - Checks should be made payable to the Hazardous
Substances Superfund and should include the'name of the site, the
site identification number, the account number and the title of
this Order. Checks should be forwarded to: .
> U.S. Environmental Protection Agency
_'"-' '- Superfund Accounting '-« -
[insert Regional Lock Box]
78. Copies of the transmittal" letter and check should be
sent simultaneously to the EPA Project Coordinator.
79. Respondent(s) agrees to limit any disputes concerning
costs to accounting errors and the inclusion of costs outside the
scope of this Consent Order. Respondent(s) shall identify any
contested costs and the basis of its objection. All undisputed
costs shall be remitted by Respondent(s) in accordance vith the
schedule set forth above. Disputed costs shall be paid by
Respondent(s) into an escrow account while the dispute is
pending. Respondent(s) bears the burden of establishing an EPA
accounting error or the inclusion of costs outside the scope of
this Consent" Order. - " -': ".-' .'-'-'
XXIII. RESERVATIONS OF RIGHTS AND REIMBURSEMENT OF OTHER COSTS
80.- EPA reserves the right to bring an action against the
Respondent (s) under section 107 of CERCLA.s f or recovery of all
response'costs including oversight costs, incurred by the United
States at the site that are not reimbursed by the Respondent(s),
any'costs incurred in the event that EPA performs*the RX/FS of
any part thereof, and any future costs incurred by the United
States in connection with response activities conducted under
CERCLA at this site.-. ",, ' ' . *
81. EPA reserves the right to bring an action against
Respondent(s) to enforce the past .costs and response and
oversight cost reimbursement' requirements of this Consent Order,
to collect stipulated penalties-assessed pursuant to section
XVIII of this Consent Order,1 and to seek penalties pursuant to
section 109 Of CERCLA, 42 U.S.C., §9609.
82. Except as expressly provided in this Order, each party
reserves all rights and defenses it may have. Nothing in this
Consent Order shall affect EPA's removal authority or EPA's
response or enforcement authorities'including, but not limited
.,-'.- .- ''f. : ' _ , . .::.
24
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OSWER Directive Number 9835.3-2A
to, the right to seek injunctive relief, stipulated penalties,
statutory penalties, and/or punitive damages.
83. Following satisfaction of the requirements of this
Consent Order, Respondent(s) shall have resolved its liability to
EPA for the work performed by Respondent (s) pursuant to this
Consent Order. Respondent(s) is not released from liability, if
any, for any response actions taken beyond the scope of this
Order regarding removals, other operable units, remedial
design/remedial action of this operable unit, or activities
arising pursuant to section 121(c) of CERCLA..
XXIV. DISCLAIMER
84. By signing this consent Order and taking actions under
this Order, the Respondent(s) does not necessarily agree with
EPA's Findings of Fact and conclusions of Law. Furthermore, the
participation of the Respondent(s) in this Order shall not be
considered an admission of liability and is not admissible in
evidence against the Respondent(s) in any judicial or
administrative proceeding other than a proceeding by the United
States, including EPA, to enforce this Consent Order or a
judgment relating to it. Respondent(s) retains its rights to
assert claims against other potentially responsible parties at
the site. However, the Respondent(s) agrees not to contest the
validity or terms of this Order, or the procedures underlying or
relating to it in any action brought by the United States,
including EPA, to enforce its terms.
XXV. OTHER CLAIMS
85. Zn entering into this Order, Respondent(s) waives any
right to seek reimbursement under section 106(b) of CERCLA.
Respondent also waives any right to present a claim under section
ill or 112 of CERCLA. This Order does not constitute any
decision on preauthorization of funds under section 111(a)(2) of
CERCLA. Respondent(s) further waives all other statutory and
common law claims against EPA, including, but not limited to,
contribution and counterclaims, relating to or arising out of
conduct of the RI/FS,
86. Nothing in this order shall constitute or be construed
as a release from any claim, cause of action or demand in law or
equity against any person, firm, partnership, subsidiary or
corporation not a signatory to this Consent Order for any
liability it may have arising out of or relating in any way to
the generation, storage, treatment, handling, transportation,
release, or disposal of any hazardous substances, pollutants, or
contaminants found at, taken to, or taken from the site.
25
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- ' f' OSWER Directive Number 9835.3-2A
" '87. Respondent (s) 'shall bear its own costs and attorneys
fees. ».---' _ _
XXVI. FINANCIAL ASSURANCE. INSURANCE. AND INDEMNIFICATION
88. Respondent(s) shall establish and maintain a financial
instrument or trust account or other financial mechanism
acceptable to EPA, funded sufficiently to perform the work and
any other obligations required under this Consent Order,
including a margin for cost overruns. Within 15 days after the
effective date of this Consent Order, Respondent(s) shall fund
the financial instrument or trust account sufficiently to perform
the work required under this Consent Order projected for the
period beginning with the effective date of the Order through
__. Beginning- ' , and on or before the 15thcalendar
day of each calendar .year quarter thereafter, Respondent(s) shall
fund the financial instrument or trust account sufficiently to
perform the work and other activities required under this Order
projected for the succeeding calendar year quarter. -'
' - = « ,t. . . ,' r
89. If at any time the net worth of the financial " \
instrument or trust account is insufficient to perform the work
and other obligations under the Order for the upcoming quarter,
Respondent(s) shall provide written notice to EPA within 7 days
after the net worth of the financial instrument or trust account
becomes-insufficient. The .written notice shall'describe why'the
financial instrument or trust account is funded 'insufficiently
and explain what actions have been or will be taken to fund the
financial instrument or. trust account adequately.
90, (a) Prior to commencement of any work under this
Order, Respondent(s) shall secure, and shall maintain in force
for the duration'of this Order, and for two years after the
completion of all activities required by this Consent Order,
Comprehensive General Liability ("CGL11} and automobile insurance,
with limits of S million dollars, combined single limit,
naming as insured the United States. The CGL insurance shall
include Contractual Liability Insurance in the amount of 9,
per occurrence, and Umbrella Liability Insurance in the amount of
$2 million per occurrence. ''. ' -
* (b) Respondent(s) shall also secure, and maintain in
"force for the duration of this Order and for two years after the
completion of all' activities .required by this'Consent Order the
following: ^
i.' Professional Errors and Omissions Insurance in
the/amount of $1,000,000.00-per occurrence.
26
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OSWER Directive Number 983S. 3-2A
ii. Pollution Liability Insurance in the amount of
$1,000,000.00 per occurrence, covering as
appropriate both general liability and
professional liability arising from pollution
conditions.
(c) For the duration of this Order, Respondent(s)
shall satisfy, or shall ensure that their contractors or
subcontractors satisfy, all applicable lavs and regulations
regarding the provision of employer's liability insurance and
workmen's compensation insurance for all persons performing work
on behalf of the Respondent(s), in furtherance of this Order.
(d) If Respondent(s) demonstrates by evidence
satisfactory to EPA that any contractor or subcontractor
maintains insurance equivalent to that described above, or
insurance covering the same risks but in a lesser amount, then
with respect to that contractor or subcontractor Respondent(s)
need provide only that portion of the insurance described above
which is not maintained by the contractor or subcontractor.
(e) Prior to commencement of any work under this
Order, and annually thereafter on the anniversary of the
effective date of this Order, Respondent(s) shall provide to EPA
certificates of such insurance and a copy of each insurance
policy.
91. At least 7 days prior to commencing any work under this
Consent Order, Respondent(s) shall certify to EPA that the
required insurance has been obtained by that contractor.
92. The Respondent(s) agrees to indemnify and hold the
United States Government, its agencies, departments, agents/ and
employees harmless from any and all claims or causes of action
arising from or on account of acts or omissions of Respondent(s),
its employees, agents, servants, receivers, successors, or
assignees, or any persons including, but not limited to, firms,
corporations, subsidiaries and contractors, in carrying out
activities under this Consent order. The United States
Government or any agency or authorized representative thereof
shall not be held as a party to any contract entered into by
Respondent(s) in carrying out activities under this Consent
Order.
XXVII. EfFECT^E DA.TE ANDSUBSEQUENT MODIFICATION
93. The effective date of this Consent Order shall be the
date it is signed by EPA.
27
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. OSWER Directive Number 9S35.3-2A
94. This Consent Order may be amended by mutual agreement
of EPA and Respondent (s) . Amendments shall be in writing and
shall be effective when signed by EPA. EPA Project Coordinators
do not have the authority to sign amendments to the Consent
Order. ' ."''...'
95. No informal advice, guidance, suggestions, or comments
by EPA regarding reports, plans, specifications, schedules, and
any other writing submitted by the Respondent (s) will be -
construed as relieving the Respondent (s) of its obligation tp
obtain such formal approval as may be required by this Order.
Any deliverables, plans, technical memoranda, reports (other than
progress reports), specifications, schedules and attachments,
required by this; consent Order are, upon approval by EPA,
incorporated into this Order/' ' . * -
XXVIII. TERMINATION AND SATISFACTION
f " . . . f
96. This Consent Order shall terminate when the
Respondent (s) .demonstrates in writing and certifies to the
satisfaction of EPA that all activities required under this
Consent Order, including any additional work, payment of past
costs, response and oversight costs, and any stipulated penalties
demanded by EPA, have been performed and EPA has approved the
certification. This .notice shall not, however, terminate
Respondent (s) ' obligation to comply with Sections XVI, XXI, and
XXII of this Consent Order.
' - 'r . .;.',.--, x, i ..
97. The certification shall" be signed by a responsible
official representing each Respondent. Each representative shall
make the following attestation: "I certify that the information
contained in or accompanying this certification is true,
accurate, and complete." For purposes of this Consent Order, a
responsible official is a corporate official who is in charge of
a principal business function. -
, . - jf -
B₯: ' DATE: :
(Respondent (s)) Title
BY; ' . ____ _ ' _ DATE;
Regional Administrator for Delegatee]
U.S. Environmental Protection Agency
28
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MODEL STATEMENT OF WORK FOR A
REMEDIAL INVESTIGATION AND FEASIBILITY STUDY
CONDUCTED BY POTENTIALLY RESPONSIBLE PARTIES
INSTRUCTIONS
This model statement of work (SOW) was developed to provide
potentially responsible parties (PRPs) direction in performing
the tasks that are required to successfully complete a remedial
investigation/feasibility study (RI/FS). A SOW for a PRP-lead
RI/FS must be used in conjunction with the Office of Emergency
and Remedial Response's October 1988 Guidance for Conducting
Remedial Investigations and Feasibility^ Studies Under CERCLA
(hereafter referred to as the RI/FS Guidance) and with the Office
of Waste Programs Enforcement's Guidance on Oversight of
Potentially Responsible Party Remedial Investicrations and
Feasibility S_tudies. The organization of this model SOW is
according to the tasks that must be performed during a PRP-
conducted RI/FS. These tasks include:
Task 1 Scoping;
Task 2 Community Relations;
Task 3 Site Characteristics;
Task 4 Treatability Studies;
Task 5 Development & Screening of Remedial .
Alternatives;
Task 6 Detailed Analysis of Remedial Alternatives.
This model sow is written on the general approach that a PRP
RI/FS is commenced pursuant to an Administrative Order on Consent
(AOC) with an attached SOW, and that the PRPs perform work and
submit deliverables to EPA. Depending on site circumstances and.
the relationship to PRPs, it may be necessary to modify this
management approach. Moreover, because the work required to
perform a RI/FS is dependent on a site's complexity and the
amount of available information, it may be necessary to modify
the components of this model SOW in order to tailor the.tasks to
the specific conditions at a site. Similarly, the level of
detail within the model SOW will vary according to the site. The
Regions have discretion to develop a site-specific sow .that
follows this model SOW, including portions of the work to be
performed by EPA, technical provisions, deliverables and
approvals. EPA, however, will perform the baseline risk
assessment, and no baseline risk assessment deliverables will be
required of PRPs. While not preferred as a general approach, at
some sites EPA may develop itself, or in negotiations, a work
plan rather than a sow and then enter into an AOC.
When special notice for a RI/FS is issued, at most sites a
draft SOW should be attached as an addendum to a draft AOC.
Prior to the issuance of special notice, EPA, generally with
contractor assistance, will determine both the objectives of the
RI/FS and a general approach for managing the site. Determining
2,3
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11 9835.8A
-. ****£. ,
the site objectives and a general site strategy will be required
regardless.of -whether an administrative order is signed with the
PRPs or the RI/FS is Fund-financed.
The site objectives should specify the purpose of any
activities to be* conducted at the site, including any interim
actions that may be necessary, as well as the objectives of the
required remedial actions (e.g., the preliminary remediation-
goals, PRGs).-" These objectives should specify "the potential
contaminants and media of concern, the likely exposure pathways
and receptors, and an acceptable contaminant level or range of
levels for each exposure route. The site objectives are
developed and based on existing site information, contaminant-
specific AEAEs, when available, and risk related factors.
1 The site management ''strategy is developed once'the
objectives have been established and identifies the study, l
boundary areas and the optimal sequence of site activities, '
including whether the site may best be remedied as separate
operable units. The general management approach should include:
identifying the types of actions 'that may be required to address
site problems, identifying any interim actions that are necessary
to mitigate potential threats or prevent further environmental
degradation, and determining the optimal sequence of activities
to be conducted at the site. Also included in the site
management strategy should be the decision as to whether the RI
will serve as a continuation of the PRP search. This would be
appropriate at sites such as area wide groundwater contamination
or stream contamination where all of the sources of contamination
are not yet well defined. - * '
****-,, * ' *" ,.
The deliverables described in this model SOW fall under one
of three management categories. Under the first category, '
deliverables must be approved by EPA before work.can either begin
or continue: This includes the work plan and the site sampling
and analysis plan.- Similarly, EPA approval of the RI report;-'
treatability studies and FS is the general approach. Under the
second category, EPA may exercise an option, in drafting the
site-specific«SOW, "to either comment on or review and, approve "the
deliverables. Review and approval of deliverables under this"
second category will be based on the particular circumstances of
the site or practices of the Regional office.' This category will
include most of the deliverables that are'described in this model
SOW, such as technical memoranda and reports, A middle ground is
to allow .work in these"areas to proceed without resubmittal and
approval so long as the changes required by 1PA are fully
reflected in subsequent deliverables. This approach of
commenting strikes a balance between excessive approval and .
dispute resolution of numerous interim activities by. PRPs7 which
cumulatively results in a lengthy RI/FS, and review at the end of
the six major components of the RI/FS, which could result in.f!*
months of unacceptable work not detected until late In the '
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ill 9835.8A
process. It also assures focus on the major deliverables. In
addition, consistent with the RI/FS guidance, some work is
simultaneously done. Under the third category, deliverables do
not require comment from EPA. This category includes PEP
progress reports. A summary of the major deliverables under
categories one and two, as outlined in this model SOW, is
included in the document.
Interim deliverables in addition to those required by the
RI/FS Guidance are described in this model SOW. These
deliverables are appropriate because of the different
relationships and interactions between a Fund-lead and PRP-lead
RI/FS. Review of these deliverables will help to assure EPA that
the work being performed meets the terms and conditions of the
AOC. Those deliverables other than what are required by the
RI/FS Guidance that are described within this model SOW may not
be necessary .or appropriate for all sites. Similarly,
deliverables other than what are described in this model SOW may
be more appropriate for a particular site. The deliverables
determined to be appropriate for a particular site should be
approved by EPA management and must be specified in the AOC. The
timing of the RI/FS and available oversight resources should be
considered prior to determining the appropriate deliverables.
Offices within the Region other than Superfund which will concur
or comment on PRP deliverables should be consulted during the
scoping process..
The Remedial Project Manager (RPM) should assure good
communications with the PRPs. This includes meetings to discuss
EPA's expectations before major phases of work are begun and to
review the conclusions of major components of the RI/FS. In
addition, the RPN should assure that EPA management is informed
and has input on major components of the RI/FS. While this
varies from site to site, management review usually is
appropriate at scoping, final review of the work plan, before
final comments are submitted on the RI, before EPA finalizes the
baseline risk assessment, and as the FS is finally developed.
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iv
9835.8A
SUMMARY OF MAJOR DELIVERABLES
(AS OUTLINED IN THIS MODEL SOW FOR PRP-CONDUCTED. RI/FS)
TASK/DELIVERABLE
TASK 1 SCOPING
RI/FS Work Plan
Sampling and
Analysis Plan (SAP)
Site Health and
Safety Plan
MANAGEMENT CATEGORY
(1) Review and Approve
, (1). Review and Approve
' i .1 ~ " .'-.''
(2) Review and Comment
TASK.3 SITE CHARACTERIZATION
- . Technical Memorandum
. *on Modeling of Site
. Characteristics (where
appropriate)
- _ Preliminary Site . t
-. Characterization
Summary
- , Draft Remedial
.- ..-.:.- .-'Investigation . (RI) -
Report
[Task 4 - Baseline Risk Assessment]
" t i ;
TASK 4 TREATABILITY STUDIES
__ r ' * ' .
" . f *
Technical Memorandum
Identifying,
./Candidate
Technologies
- Treatability Testing
Statement of Work
- Treatability Testing
Work Plan (or amendment
to original)
(2) Review and Approve
(2) Review and Comment
(1) Review and Approve
(2) Review and Approve
r " >
(2) Review and Comment
(1) Review and Approve
See the Model RI/FS Administrative Order on Consent
(AOC) for additional reporting requirements, and
further instructions on submittal and dispositions of
deliverables.
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Treatability Study
SAP (or amendment to
original)
Treatability Study
Site Health and
Safety Plan (or
amendment to original)
Treatability Study
Evaluation Report
9835.8A
(1) Review and Approve
(2) Review and Comment
(1) Review and Approve
TASK 5
TASK 6
DEVELOPMENT AND SCREENING OF REMEDIAL ALTERNATIVES
(2) Review and Approve
(2) Review and Approve
- Technical Memorandum
Documenting Revised
Remedial Action
Objectives
- Technical Memorandum
on Remedial
Technologies,
Alternatives and
Screening
DETAILED ANALYSIS OF REMEDIAL ALTERNATIVES
(2) Review and Approve
Technical Memorandum
Summarizing Results of
Comparative Analysis of
Alternatives
Draft Feasibility
Study (FS) Report
(1) Review and Approve
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MODEL STATEMENT OP WORK FOR PRP-CONDUCTED
REMEDIAL INVESTIGATIONS AND FEASIBILITY STUDIES
>...''.' ' . -1 ..>" ' .' i- ': '' >
INTRODUCTION ...»'.
r.The purpose of this remedial investigation/feasibility study
(RI/FS) is to investigate the nature and extent of contamination
at a site and develop and evaluate potential remedial
alternatives. The RI and FS are-interactive and may be conducted
concurrently ..so that the data collected .in the'RI influences the
development of remedial alternatives in the FS, which in turn
affects the data needs and the scope of treatability studies.
.*' The .respondent will conduct this* RI/FS (except for the
baseline risk assessment component) and will produce a draft RI
and FS report that are in accordance with this statement of work,
the Guidance for Conducting Remedial Investigations and
Feasibility studies Under C1RCLA (U.S. EPA, Office of Emergency
and Remedial Response, October 1988),.and any other guidances
that EPA uses in conducting a RI/FS (a list of the primary
guidances is attached), as well as any additional requirements in
the administrative order. The RI/FS Guidance describes the
report format and the required report content. The respondent
will furnish all necessary personnel, materials, and services
needed, or incidental to, performing the RI/FS, except as
otherwise specified in.the administrative order.
.At the completion of the -RI/FS, EPA will be responsible for
the selection of a site remedy and will document this selection
in a Record of Decision (ROD). tThe remedial action alternative
selected by EPA will meet the cleanup standards specified in
CERCLA Section 121. That is, the selected remedial action will
be protective of human health and the environment, will be in
compliance with, or include a waiver of, applicable or relevant
and appropriate requirements of other laws, will be cost-
effective, will utilize permanent solutions and alternative
treatment technologies or resource recovery technologies, to the
maximum extent practicable, and will address the statutory
preference for treatment as a principal element. The final RI/FS
report, as adopted by EPA, and EPA's baseline risk assessment
will, with the administrative record, form the basis for the
selection of the site's remedy and will provide the information
necessary to support the development of the ROD.
As specified in CERCLA Section 104(a)(1), as amended by
SARA, EPA will provide oversight of the respondent's activities
throughout the RI/FS. The respondent will support EPA's
initiation and conduct of activities related to the
implementation of oversight activities.
Jf
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2 9835.8A
TASK 1 - SCOPING (RI/FS Guidance, Chapter 2)
Scoping is the initial planning process of the RI/FS and is
initiated by EPA prior to issuing special notice. During this
time, the site-specific objectives of the RI/FS, including the
preliminary remediation goals (PRGs), are determined by EPA.
Scoping is therefore initiated prior to negotiations between the
PRPs and EPA, and is continued, repeated as necessary, and
refined throughout the RI/FS process. In addition to developing
the site specific objectives of the RI/FS, EPA will determine a
general management approach for the site. Consistent with the
general management approach, the specific project scope will be
planned by the respondent and EPA. The respondent will document
the specific project scope in a work plan. Because the work
reguired to perform a RI/FS is not fully known at the onset, and
is phased in accordance with a site's complexity and the amount
of available information, it may be necessary to modify the work
plan during the RI/FS to satisfy the objectives of the study.
The site objectives for the ; site
located in the State of have been determined
preliminarily, based on available information, to be the
following: '
The strategy for the general management of the_
site will include the following:
When scoping the specific aspects of a project, the
respondent must meet with EPA to discuss all project planning
decisions and special concerns associated with the site. The
following activities shall be performed by the respondent as a
function of the project planning process.
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: 3 9*835.8A
a. site Background »;(2.2)- ,,-,,-.. r: ' \ : - ' ' TV, '
' - The;respondent will gather and analyze.the existing site
.background information and will conduct a site visit to assist in
/planning the scope of the RI/FS ..-,-; --. -'. * , . ''.
, ;-, gol lect^and analyze existing data 'and document the need for
additional data (2.2..2; 2.2.6; 2.2.7) , ,
. - -\ -* , . : *.. . '.*''" \v :- ".''.:'
jv Before planningrRI/FS activities, all-existing site data
will be thoroughly compiled and reviewed by the respondent.
-. Specifically, this will include presently available data
relating to the varieties and quantities of hazardous
;t substances at the site, and.past disposal practices. This
, will also include results from-any previous sampling.events
i v_- that may-have been conducted. The respondent will refer to
Table 2-1, of the RI/FS Guidance for a comprehensive list of
data collection information sources. This information will
be utilized in determining additional data needed to
characterize the site, better define potential applicable or
relevant and appropriate requirements (ARARs), and develop a
range of preliminarily "identified remedial alternatives.
Data Quality Objectives (DQOs) will be established subject
to IPA approval which specify the usefulness of existing
data. Decisions on the necessary data and DQOs will be made
by EPA.
Conduct site Visit
The respondent will conduct a site visit during the project
scoping phase to assist in developing a conceptual
understanding of sources and areas of contamination as well
as potential exposure pathways and receptors at the site.
During the site visit the respondent should observe the
site's physiography, hydrology, geology, and demographics,
as well as natural resource, ecological and cultural
features. This information will be utilized to better scope
the project and to determine the extent of additional data
necessary to characterize the site, better define potential
ARARs, and narrow the range of preliminarily identified
remedial alternatives.
b. Project Planning (2.2)
Once the respondent has collected and analyzed existing data
and conducted a site visit, the specific project scope will be
planned. Project planning activities include those tasks
described below as well as identifying data needs, developing a
work plan, designing a data collection program, and identifying
health and safety.protocols. The respondent will meet with EPA
regarding the following activities and before the drafting of the
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4 9835.8A
»*
scoping deliverables below. These tasks are described in Section
c. of this task since they result in the development of specific
required deliverables.
Refine and documentpreliminary remedial action objectives
and alternatives (2.2.3)
Once existing site information has been analyzed and an
understanding of the potential site risks has been
determined by EPA, the respondent will review and, if
necessary, refine the remedial action objectives that have
been identified by EPA for each actually or potentially
contaminated medium. The revised remedial action objectives
will be documented in a technical memorandum and subject to
EPA approval. The respondent will then identify a
preliminary range of broadly defined potential remedial
action alternatives and associated technologies. The range
of potential alternatives should encompass where
appropriate, alternatives in which treatment significantly
reduces the toxicity, mobility, or volume of the waste;
alternatives that involve containment with little or no
treatment; and a no-action alternative.
Document the need for treatabilj.ty studies (2.2.4)
If. remedial actions involving treatment have been identified
by the respondent or EPA, treatability studies will be
required except where the respondent can demonstrate to
EPA'S satisfaction that they are not needed. Where
treatability studies are needed, initial treatability
testing activities (such as research and study design) will
be planned to occur concurrently with site characterization
activities (see Tasks 3 and 5).
Begin preliminary identiCicatioji of Potential ARARs (2.2.5)
The respondent will conduct a preliminary identification of
potential state and federal ARARs (chemical-specific,
location-specific and action-specific) to assist in the
refinement of remedial action objectives, and the initial
identification of remedial alternatives and ARARs associated
with particular actions. ARAR identification will continue
as site conditions, contaminants, and remedial action
alternatives are better defined.
c. Scoping Deliverables (2.3)
At the conclusion of the project planning phase, the
respondent will submit a RI/FS work plan, a sampling and analysis
plan, and a site health and safety plan. The RI/FS work plan and
sampling and analysis plan must be reviewed and approved by EPA
prior to the initiation of field activities.
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9835.8A
RI/FS-Work Plan f2'.3.11 -'
A work plan documenting the decisions and evaluations
completed during the.scoping process will be submitted to
EPA for review and approval. The work plan should be
developed in conjunction with the sampling and analysis plan
and the site health and safety plan, although each plan may
be delivered under>separate cover.* ' The work-plan will
include a comprehensive description of the work to be
performed, including the methodologies to be utilized, as
well as a corresponding schedule for completion.' *In
addition, the work plan must include the rationale for
performing the required activities. Specifically, the work
plan will present a statement -of the problem(s) and
potential'problem(s) posed by the site and the objectives of
the RI/FS. Furthermore, the plan will include a site
background summary setting forth the site description
including'the geographic location of the site, and to the
'extent possible, a description of the site's physiography,
hydrology,"geology, demographics, ecological, cultural and
natural resource features;-a synopsis of the site history
and a description of previous responses that have been
conducted at the site by local, state, federal, or private
parties; a summary of the existing data in terms of physical
and chemical characteristics of the contaminants identified,
arid their distribution among the environmental media at the
site. The plan will recognize EPA's preparation of the
baseline risk'assessment: In addition, the plan will
include a description of the site management strategy
developed by EPA during scopingf a preliminary
'identification of remedial-alternatives and data needs for
evaluation of remedial .alternatives. The plan will reflect
coordination with treatability study requirements (see Tasks
l and 4). It will include a process for and manner of
identifying Federal and state ARARs (chemical-specific,
location-specific and action-specific). , .
- *' , . ' * -r . - - , ' ;. .70 \.
Finally, ther major part of the work plan is a-"detailed
description of the tasks to be performed,' information needed
for each task'and for EPA's baseline risk assessment,
information to be produced during and at theconclusion of
each task, and a description of the work products that will
be submitted to EPA. This -includes the deliverables set
forth in the remainder of this statement of work; a schedule
for each of the required activities which is consistent with
the RI/FS guidance; and a project management plan, including
a data management plan (e.g., requirements for project
management 'systems and software, minimum data requirements,
data format and backup data management), monthly reports to
EPA and meetings and presentations to EPA at the conclusion
of each major phase of'the>fRI/FS. The respondent will refer
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' : 6 9835.8A
to Appendix B of the RI/FS Guidance for a comprehensive
description of the contents of the required work plan.
Because of the unknown nature of the site and iterative
nature of the RI/FS, additional data requirements and
analyses may be identified throughout the process. The
respondent will submit a technical memorandum documenting
the need for additional data, and identifying the DQOs
whenever such requirements are identified.. In any event,
the respondent is responsible for fulfilling additional data
and analysis needs identified by EPA consistent with the
general scope and objectives of this RI/FS.
Samp1ing and^Analys i s P Ian (2.3,2)
The respondent will prepare a sampling and analysis plan
(SAP) to ensure that sample collection and analytical
activities are conducted in accordance with technically
acceptable protocols and that the data meet DQOs. The SAP
provides a mechanism for planning field activities and
consists of a field sampling plan (FSP) and a quality
assurance project plan (QAPP).
The FSP will define in detail the sampling and data-
gathering methods that will be used on the project. It will
include sampling objectives, sample location and frequency,
sampling equipment and procedures, and sample handling and
analysis. The QAPP will describe the project objectives and
organization, functional activities, and quality assurance
and quality control (QA/QC) protocols that will be used to
achieve the desired DQOs. The-DQOs will at a minimum
reflect use of analytic methods to identifying, contamination
and remediating contamination consistent with the levels for
remedial action objectives identified in the proposed
National Contingency Plan, pages 51425-26 and 51433
(December 21, 1988). In addition, the QAPP will address
sampling procedures, sample custody, analytical procedures,
and data reduction, validation, reporting and personnel
qualifications. Field personnel should be available for EPA
QA/QC training and orientation where applicable. The
respondent will demonstrate, in advance to EPA's
satisfaction, that each laboratory it may use is qualified
to conduct the proposed work. This includes use of methods
and analytical protocols for the chemicals of concern in the
media of interest within detection and quantification limits
consistent with both QA/QC procedures and DQOs approved in
the QAPP for the site by IPA, The laboratory must have and
follow an approved QA program. If a laboratory not in the
Contract Laboratory Program (CLP) is selected, methods
consistent with CLP methods that would be used at this site
for the purposes proposed and QA/QC procedures approved by
IPA will be used. If the laboratory is not in the CLP
program, a laboratory QA program must be submitted for EPA
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c,-, 7 S835.8A
r . review and approval. EPA may require that' the respondent
submit detailed information to demonstrate that the
laboratory is qualified to conduct the work, including
information on personnel-qualifications, equipment'and
material specifications., .The respondent will provide
-_,-,--. 'assurances that EPA has access to laboratory personnel,
-equipment and records for .'sample collection, transportation
.and. analysis. :'w .:- <. . " ' '
Site Health and Safety Plan (2.3.3)- >. ' .
- <> '_. ..- . ' . ' . > - '- .'-r
A health and safety plan will be prepared in conformance
with the respondent's health and safety program, and in
compliance with OSHA regulations and protocols. The health
and safety plan-will-include.the 11 elements described in
the RI/FS Guidance,,.such as a health and safety risk
analysis, a descriptions of monitoring and personal
protective equipment;' medical,-monitoring,' and-site control.
It should be noted that EPA does not "approve" the
respondent's health and safety plan, but rather EPA reviews
it to ensure that all necessary .elements are included, and
that the plan provides for the protection of human health
and the environment. ';v:;-c*- . ".: - ?;<-.
»,r ' .1 .,,- .t .4 , ,.
- TASK 2 * COMMUNITY RELATIONS .-::-. . . ' "
j The development and implementation of community relations
activities are the responsibility of EPA. The critical'community
relations planning steps performed by EPA include conducting
community interviews and developing a community relations plan.
Although implementation of'the community relations plan is the
responsibility of EPA,.the .respondent may assist by providing
information regarding the site's history, participating in public
meetings, ;or by preparing fact sheets'for distribution to the
general public. EPA will prepare two or more'baseline risk
assessment memoranda which will summarize the toxicity assessment
and exposure assessment components of the baseline risk -
assessment. .SPA will make these4 memoranda available to all
interested parties'.for comment and- place them in- the
Administrative Record. (1PA is-not'required, however,1 to
formally respond to significant comments except during the formal
public comment period on the proposed plan.) In addition, the
respondent .may establish a community information repository, at
or near the site, to house one'copy of the administrative record.
The extent of PRP involvement? in- community relations activities
is left to the discretion of EPA'. The respondents' community
relations responsibilities, if any, are specified in the
community relations.plan. All PRP-cohducted community relations
activities will be subject to oversight by EPA. -
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' "* '8 -*':' ' ' 9835.8A
TASK 3 - SITE CHARACTERIZATION (RI/FS Guidance, Chapter 3)
As part of the RI, the respondent will perform the
activities described in this task, including the preparation of a
site characterization summary and a RI report. The overall
objective of site characterization is to describe areas of a site
that may pose a threat to human health or the environment. This
is accomplished by first determining a site's physiography,
geology, and hydrology. Surface and subsurface pathways of
migration will be defined. The respondent will identify the
sources of contamination and define the nature, extent, and
volume of the sources of contamination, including their physical
and chemical constituents as well as their concentrations at
incremental locations to background in the affected media. The
respondent will also investigate the extent of migration of this
contamination as well as its volume and any changes in its
physical or chemical characteristics, to provide for a
comprehensive understanding of the nature and extent of
contamination at the site. Using this information, contaminant
fate and transport is then determined and projected.
During this phase of the RI/FS, the work plan, SAP, and
health and safety plan are implemented. Field data are collected
and analyzed to provide the information required to accomplish
the objectives of the study. The respondent will notify EPA at
least two weeks in advance of the field work regarding the
planned dates for field activities, including ecological field
surveys, field lay out of the sampling grid, excavation,
installation of wells, initiating sampling, installation and
calibration of equipment, pump tests, and initiation of analysis
and other field investigation activities. The respondent will
demonstrate that the laboratory and type of laboratory analyses
that will be utilized during site characterization meets the
specific QA/QC requirements and the DQOs of the site
investigation as specified in the SAP. In view of the unknown
site conditions, activities are often iterative, and to satisfy
the objectives of the RI/FS it may be necessary for the
respondent to supplement the work specified in the initial work
plan. In addition to the deliverables below, the respondent will
provide a monthly progress report and participate in meetings at
major points in the RI/FS.
a. Field Investigation (3.2)
The field investigation includes the gathering of data to
define site physical and biological characteristics, sources of
contamination, and the nature and extent of contamination at the
site. These activities will be performed by the respondent in
accordance with the work plan and SAP. At a minimum, this shall
address the following:
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9 9835.8A
:Implement and document field support activities (3.2.1) .
The respondent will initiate*field support activities
following approval of the work plan and SAP. Field'support
/activities may include-obtaining access to-the* site, '>.
scheduling, and procuring equipment, office space,
laboratory.services, and/or contractors.. .The respondent
will notify EPA at least two weeks prior to initiating field
support activities so that EPA may adequately schedule
oversight tasks. The respondent will also notify EPA ih-
writing-'Upon completion: of .field support activities. .
* * J- ,- ' . - * *
Investigate and define site physical and biologic_aJL
characteristics (3.2;2) -.. . . > '
The respondent will collect data on the physical and .
biological*characteristics of the site and its surrounding
areas including the physiography, geology, and hydrology,
and specific physical characteristics identified in the work
plan. This information will be ascertained through a .
combination of physical measurements, observations, and
sampling efforts and will be utilized to define potential
transport pathways and human and ecological receptor
populations. In "defining the site's physical
. characteristics the respondent will also obtain sufficient
engineering data (such:as pumping characteristics) for the
projection of .contaminant fate and transport,.and
development and screening of, remedial action alternatives,
including information to^assess treatment technologies. .
. r - . ' ':, .-,. .-. . :.
Define,..sources of...contamination. (3.2.3) '," . '
. « ', - - -'.,.J i
The respondent will locate each source of. contamination.
For each location, the area1 .extent and depth of :
contamination will be.determined by sampling at incremental
depths on a sampling grid.. The physical characteristics and
chemical constituents and their concentrations will be
determined- for all "'known, and discovered sources of
contamination. The respondent shall conduct sufficient*
sampling to define'the boundaries"of the contaminant sources
to the level established in the QA/QC plan and DQOs.
Defining the source of contamination will "include analyzing
the potential for contaminant release (e.g., long term
.leaching from soil), contaminant mobility and persistence,
and characteristics important for evaluating* remedial
actions, including information to assess treatment
technologies. .
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«< 9835.8A
Describe the nature and extent of contamination (3,2.4)
The respondent will gather information to describe the
nature and extent of contamination as a final step during
the field investigation. To describe the nature and extent
of contamination, the respondent will utilize the
information on site physical and biological characteristics
and sources of contamination to give a preliminary estimate
of the contaminants that may have migrated. The respondent
will then implement an iterative monitoring program and any
study program identified in the work plan or SAP such that
by using analytical techniques sufficient to detect and
quantify the concentration of contaminants, the migration of
contaminants through the various media at the site can be
determined. In addition, the respondent will gather data for
calculations of contaminant fate and transport. This
process is continued until the area and depth of
contamination are known to the level of contamination
established in the QA/QC plan and DQOs. EPA will use the
information on the nature and extent of contamination to
determine the level of risk presented by the site.
Respondents will use this information to help to determine
aspects of the appropriate remedial action alternatives to
. be evaluated.
b. Data Analyses (3.4)
Evaluate_site characteristics (3.4.1)
The respondent will analyze and evaluate the data to
describe: (1) site physical and biological characteristics,
(2) contaminant source characteristics, (3) nature and
extent of contamination and (4) contaminant fate and
transport. Results of the site physical characteristics,
source characteristics, and extent of contamination analyses
are utilized in the analysis of contaminant fate and
transport. The evaluation will include the actual and
potential magnitude of releases from the sources, and
horizontal and vertical spread of contamination as well as
mobility and persistence of contaminants. Where modeling is
appropriate, such models shall be identified to EPA in a
technical memorandum prior to their use. All data and
programming, including any proprietary programs, shall be
made available to EPA together with a sensitivity analysis.
The RI data shall be presented in a format (i.e., computer
disc or equivalent) to facilitate EPA's preparation of the
baseline risk assessment. The Respondent shall agree to
discuss and then collect any data gaps identified by the EPA
that is needed to complete the baseline risk assessment.
(See "Guidance for Data Useability in Risk Assessment -
OSWER Directive # 9285.7-05 - October 1990.) Also, this
evaluation shall provide any information relevant to site
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. 11 9835.8A
' ' characteristics necessary for -evaluation of the need for
remedial action in the baseline risk assessment and for the
development .and.evaluation of remedial alternatives.
Analyses of data collected for site.characterization will
, meet the DQOs developed in the .QA/QC plan stated in the SAP
(or revised, during the RI). , ' ,.
i ' .'*".**'"
c. Data Management Procedures (3.5)
The respondent will consistently document .the quality and
validity of field and laboratory data compiled during'the RI.
Document field activities (3.5.1) : ,
* i. t \
d. Site Characterization Deliverables (3.7)
The respondent will prepare the preliminary site
characterization summary and the remedial investigation report.
- Preliminary Site Characterization Summary (3.7.2)
- .'* * .
After completing field sampling and analysis, the respondent
will prepare a concise site characterization summary. This
summary will review the investigative activities that have
taken place, and describe and display site data documenting
the location and characteristics of surface and subsurface
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..
12 9835.8A
features and contamination at the site including the
affected medium, location, types, physical state,
concentration of contaminants and quantity. In addition,
the location, dimensions, physical condition and varying
concentrations of each contaminant throughout each source
and the extent of contaminant migration through each of the
affected media will be documented. The site
characterization summary will provide EPA with a preliminary
reference for developing the risk assessment, and evaluating
the development and screening of remedial alternatives and
the refinement and identification of ARARs.
Remedial Investigation fRIi Report (3.7.3)
The respondent will prepare and submit a draft RI report to
EPA for review and approval. This report shall summarize
results of field activities to characterize the site,
sources of contamination, nature and extent of contamination
and the fate and transport of contaminants. The respondent
will refer to the RI/FS Guidance for an outline of the
report format and contents. Following comment by EPA, the
respondent will prepare a final RI report which
satisfactorily addresses EPA's comments.
TASK 4 - TREATABILITY STUDIES (Rl/FS Manual, Chapter 5)
Treatability testing will be performed by the respondent to
assist in the detailed analysis of alternatives. In addition, if
applicable, testing results and operating conditions will be used
in the detailed design of the selected remedial technology. The
following activities will be performed by the respondent.
a. Determination of Candidate Technologies and of the Need for
Testing (5.2; 5.4)
The respondent will identify in a technical memorandum,
subject to EPA review and approval,' candidate technologies for a
treatability studies program during project planning (Task 1).
The listing of candidate technologies will cover the range of
technologies required for alternatives analysis (Task 6 a.) The
specific data requirements for the testing program will be
determined and refined during site characterization and the
development and screening of remedial alternatives (Tasks 2 and
6, respectively).
Conduct literature survey and determine the need fjag
treatabilitv testing (5.2)
The respondent will conduct a literature survey to gather
information on performance, relative costs, applicability,
removal efficiencies, operation and maintenance (O&M)
requirements, and implementability of candidate
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13 9835. 8A
technologies. If practical candidate technologies have not
been sufficiently demonstrated, or cannot be adequately
evaluated' for this site on the basis of available
information, treatability testing will be conducted. Where
" it is determined by EPA that treatability testing is
required, and unless the respondent can demonstrate to EPA's
satisfaction that they are not needed, the4 respondent will
1 ' "' r submit » ..statement of -work to "EPA outlining the" steps and
r~- data - necessary to evaluate1 and initiate the treatability
testing program. '':-''.-'
Evaluate treatabilitY studj.es (5.4) L,
Once a decision has been made to perform treatability
.studies, the respondent 'and EPA will decide on the type of
treatability testing to use (e.g., bench!' versus pilot) .
Because of the 'time required to design, fabricate, and
-'install* pilot scale equipment as well'as perform testing for
various, operating conditions, the decision to perform pilot
* ''testing ' should be'made as early in the process- as possible
to minimize potential delays of the FS. To assure that a
treatability testing program is completed on time, and with
accurate results, -the respondent will either submit" a .
separate treatability testing work plan or an amendment to
the "original site work plan for EPA review ;and approval.'
b. Treatability Testing arid Deliverables (5;5;J 5.6; "5.8)
The deli verables that are required, in addition to the
memorandum identifying candidate technologies, where treatability
testing is conducted include a work plan, a sampling and analysis
plan, and a final treatability evaluation report. EPA may also
require a treatability study health and safety plan, 'where
appropriate. *
Treatability testing work plan (sis) : \ - - _ ;.
' " '" ' ' ' * " '"
The respondent ^will: prepare a 'treatability testing work plan
or amendment to the original site work plan for EPA review
and approval describing the site Background, remedial
technology { ies) to be 'tested, test -objectives, ;- experimental
procedures, 'treatability "conditions "to be tested, ' "~ "
measurements of performance, analytical methods; data
management and analysis, health and safety, and residual
waste management. The DQOs for treatability testing should
be documented as well. If pilot -scale treatability testing
is to be performed, the pilot-scale work plan will describe
pilot plant installation and start-up, pilot plant operation
and maintenance procedures, operating conditions to be
tested, a sampling plan to determine pilot plant
performance, and a detailed health and safety 'plan. If
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14 9835.8A
testing is to be performed off-site, permitting requirements
will be addressed.
tTreatability_ study_ SAP (5.5)
If the original QAPP or FSP is not adequate for defining the
activities to be performed during the treatability tests, a
separate treatability study SAP or amendment to the original
site SAP will be prepared by the respondent for EPA review
and approval. Task 1, Item c. of this statement of work
provides additional information on the requirements of the
, SAP.
Treatability study health and safety plan (5.5)
If the original health and safety plan is not adequate for
defining the activities to be performed during the treatment
tests, a separate or amended health and safety plan will be
developed by the respondent. Task lf Item c. of this
statement of work provides additional information on the
requirements of the health and safety plan. EPA does not
"approve" the treatability study health and safety plan.
Treatability study evaluation report (5.6)
Following completion of treatability testing, the respondent
will analyze and interpret the testing results in a
technical report to IPA. Depending on the sequence of
activities, this report may be a part of the RI/FS report or
a separate deliverable. The report will evaluate each
technology's effectiveness, implementability, cost and
actual results as compared with predicted results. The
report will also evaluate full scale application of the
technology, including a sensitivity analysis identifying the
key parameters affecting full-scale operation.
TASK 5 - DEVELOPMENT AND SCREENING OF Remedial Alternatives
(Rl/FS Manual, Chapter 4)
The development and screening of remedial alternatives is
performed to develop an appropriate range of waste management
options that will be evaluated. This range of alternatives
should include as appropriate, options in which treatment is used
to reduce the toxicity, mobility, or volume of wastes, but
varying in the types of treatment, the amount treated, and the
manner in which long-term residuals or untreated wastes are
managed; options involving containment with little or no
treatment; options involving both treatment and containment; and
a no-action alternative. The following activities will be
performed by the respondent as a function of the development and
screening of remedial alternatives.
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. .- 15 9835. 8A
a. Development and Screening of Remedial, Alternatives (4.2)
The respondent will begin to develop and evaluate a range of
appropriate waste management options that at a minimum ensure
protection of human health and the environment; concurrent with
the RI site characterization task. , _- %
Refine -and document remedial action objectiyes'' (4.2.1)
_. Based on EPA 's baseline risk .assessment,', the -respondent will
.review 'and if necessary modify the site-specific remedial
action objectives, ' specifically "the PRGs, that were*
established by EPA prior to or during negotiations between
EPA and the respondent. The revised PRGs will be documented
in a technical memorandum that will be reviewed arid approved
...by EPA. These modified PRGs will- specify , the contaminants
and media of interest, exposure pathways and receptors, and
an acceptable contaminant level or range of levels (at
particular -locations f or' 'each, exposure, route) ... y,- .. :
-''~i. " ,.-' :" ';.' '~ . . ' ' -'-,,, .-'., " - ,
Develop genera, ^response actions (4.2.2). ' ,. '
.'-'-- ' ' -; . .- . ' ---/
The respondent will develop general response actions for
each medium of interest defining containment, treatment,
excavation, pumping, or other actions, singly or in
combination , to satisfy the remedial action objectives.
' Identify _ areas or volumes ofUmedJ.3* ('4. 2. 3.)
The respondent will identify areas or volumes of, media to
which general response actions may apply, taking: into
account requirements for protect iveness as. identified in the
remedial action objectives. The chemical and physical
- characterization of the site will also be taken into
account. . "-, -, , . ,-. "'. , . '.'
Identify, screen^. ....an^ document remedial technologies (4.2.4;
4.2.5) . .
The respondent will identify and evaluate technologies
applicable to each general " response action to' eliminate
those that cannot* be implemented at the site. ,. General
response actions will be refined to specify remedial , .
technology types . Technology process options -for, each of
the, technology types will, be identified either concurrent
with the identification of technology types, or following
the screening of. the considered technology types. Process
options will be evaluated on the basis of effectiveness,
implement ability, and cost, factors to select and retain one
or, if necessary, more representative processes 'for each
technology type. The technology types and process^ options
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, . .,
16 9835.8A
will be summarized for inclusion in a technical memorandum.
The reasons for eliminating alternatives must be specified.
Assemble and document alternatives (4.2.6)
The respondent will assemble selected representative
technologies into alternatives for each affected medium or
operable unit. Together, all of the alternatives will
represent a range of treatment and containment combinations
that will address either the site or the operable unit as a
whole. A summary of the assembled alternatives and their
related action-specific ARARs will be prepared by the
respondent for inclusion in a technical memorandum. The
reasons for eliminating alternatives during the preliminary
screening process must be specified.
Refine alternatives
The respondent will refine the remedial alternatives to
identify contaminant volume addressed by the proposed
process and sizing of critical unit operations as necessary.
Sufficient information will be collected for an adequate
comparison of alternatives. PRGs for each chemical in each
medium will also be modified as necessary to incorporate'any
new risk assessment information presented in EPA's baseline
risk assessment report. Additionally, action-specific ARARs
will be updated as the remedial alternatives are refined.
Conductand document .screening evaluation of each
alternative (4.3)
The respondent may perform a final screening process based
on short and long term aspects of effectiveness,
implemeritability, and relative cost. Generally, this
screening process is only necessary when there are many
feasible alternatives available for detailed analysis. If
necessary, the screening of alternatives will be conducted
to assure that only the alternatives with the most favorable
composite evaluation of all factors are retained for further
analysis. As appropriate, the screening will preserve the
range of treatment and containment alternatives that was
initially developed. The range of remaining alternatives
will include options that use treatment technologies and
permanent solutions to the maximum extent practicable. The
respondent will prepare a technical memorandum summarizing
the results and reasoning employed in screening, arraying
alternatives that remain after screening, and identifying
the action-specific ARARs for the alternatives that remain
after screening.
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17 9835.8A
b. Alternatives Development,and Screening beliverables (4.5)
The respondent will prepare a technical memorandum,
summarizing the work performed in and the results of each task
above, including an alternatives array summary. These will be
modified by the respondent if required by EPA's comments, to
assure identification of a complete and appropriate range of
.viable alternatives to be considered in the detailed analysis.
'This deliverable will document the methods, rationale, and
results of ' the alternatives screening process. _. -
TASK'S - DETAILED ANALYSIS OF REMEDIAL 'ALTERNATIVES (RI/FS
. " Guidance,' Chapter 6) ".'' ""_.*_
, _* ,, ' ,, "'
The detailed analysis will be conducted* by the respondent to
provide EPA with the information needed to allow for the
selection of a site remedy. This analysis is the final task to
be performed by the respondent during the ,FS., . . . , .--,,
a. '.Detailed Analysis of .Alternatives (6.2) . , : _.' '. '"1^
" * The respondent'will conduct a detailed analysis'of
alternatives which,will consist of an analysisrof each option
against a set of nine evaluation criteria and.a*comparative
'analysis.of all options using the same evaluation criteria as a
basis-.tor comparison. .,-.; ". - .- .
Apply nine criteria and document .-analyses (6.2.1 ,6.2.4)
The respondent will apply nine evaluation criteria to the
assembled remedial alternatives to ensure that the selected
remedial alternative will be protective of human health and
the environment; will be in compliance witri, or include a
,. waiver of, ARARs; will be"cost-effective; will utilize
,. permanent solutions and alternative treatment technologies,
or resource recovery ..technologies, to the maximum .extent
./practicable; and'will address the statutory preference for
- .. treatment as a principal element.; The evaluation criteria
include: (1) overall protection"of human health and the
environment; (2) compliance with ARARs; (3) long-term
effectiveness and permanence; (4) reduction of toxicity,
mobility,l,-or volume;, (5) short-term.effectiveness;;(6)
, r" implementability; (7) cost; (8) state (or support agency)
acceptance; and (9) community acceptance. (Note: criteria 8
and 9 are considered after the RI/FS report.has been
.released to the general public.) For each,alternative the
respondent should provide: (1) a description of the.
alternative that outlines the waste management strategy
involved and identifies the key ARARs associated with each
alternative, and (2) a discussion of the individual
criterion assessment. If the respondent does not have
direct input on criteria (8) state (or support agency)
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18 9835.8A
acceptance and (9) community acceptance, these will be
addressed by EPA.
Compare alternatives against each other and document the
comparison of alternatives (6.2.5; 6.2.6)
The respondent will perform a comparative analysis between
the remedial alternatives. That is, each alternative will
be compared against 'the others using the evaluation criteria
as a basis of comparison. Identification and selection of
the preferred alternative are reserved by EPA. The
respondent will prepare a technical memorandum summarizing
the results of the comparative analysis.
b. Detailed Analysis Deliverables (6.5}
In addition to the technical memorandum summarizing the
results of the comparative analysis, the respondent will submit a
draft FS report to EPA for review and approval. Once EPA's
comments have been addressed by the respondent to EPA's
satisfaction, the final FS report may be bound with the final RI
report.
Feasibility study report (6.5)
The respondent will prepare a draft FS report for EPA review and
comment. This report, as ultimately adopted or amended by EPA,
provides a basis for remedy selection by EPA and documents the
development and analysis of remedial alternatives. The
respondent will refer to the RI/FS Guidance for an outline of the
report format and the required report content. The respondent
will prepare a final FS report which satisfactorily addresses
EPA's comments.
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* 19 9835.8A
REFERENCES FOR CITATION , , J: -.
-'.;>>
The following list, although not comprehensive, comprises
many of the regulations and guidance documents that apply to the
RI/FS process: . " .; , _~~- ., _ -. ....
The (revised) National Contingency Plan- ',.'-.'
"Guidance for Conducting Remedial Investigations and Feasibility
Studies Under CERCLA," U.S. EPA,.Office of Emergency and.Remedial
Response, October 1988, QSWER Directive. No. 9355.3-01.
, r. » . , - - , * <,' ' * " "
"Interim Guidance on Potentially Responsible)Party Participation
in Remedial Investigation and Feasibility Studies," U.S. EPA,
Office of Waste Programs Enforcement, Appendix A to OSWER
Directive No. 9355.3-01.
<""" n i - , * _- j." .«">"
-"Guidance on Oversight of Potentially Responsible party Remedial
"investigations and Feasibility. Studies," U.S. EPA, Office of
Waste Programs Enforcement, OSWER Directive No. 9835.3 .
.i .' ' '*., "< . '.' '". "-'. ... ' .»'
"A Compendium of Superfund Field Operations Methods," Two .- .'
Volumes, U.S. EPA,.Office of Emergency and Remedial Response,
EPA/54Q/P-87/001a, August 1987, OSWER Directive. No. 9355.0-14.
"EPA NEIC Policies and Procedures Manual," May 1978, revised
November 1984, EPA-330/9r78-001-R. . .', '
' J * . , r ' - * " ' ' " i' - *
"Data Quality Objectives for-.Remedial Response Activities," U.-S.
EPA, Office of Emergency;and Remedial Response and Office of
Waste Programs Enforcement, -EPA/540/G-87/Q03,- March 1987, OSWER
Directive No. 9335.0-7B. L . " .,
"Guidelines and Specifications for Preparing Quality Assurance
Project Plans," U.S. EPA, Office of Research and Development,
Cincinnati, OH, QAMS-004/80, December 29, 1980.
"Interim Guidelines and Specifications for Preparing Quality
Assurance Project Plans," U.S. EPA, Office of Emergency and
Remedial Response, QAMS-005/80, December 1980.
"Users Guide to the EPA Contract Laboratory Program," U.S. EPA,
Sample Management Office, August 1982.
"Interim Guidance on Compliance with Applicable or Relevant and
Appropriate Requirements," U.S. EPA, Office of Emergency and
Remedial Response, July 9, 1987, OSW1R Directive No. 9234.0-05.
"CERCLA Compliance with Other Laws Manual," Two Volumes, U.S.
EPA, Office of Emergency and Remedial Response, August 1988
(draft), OSWER Directive No. 9234.1-01 and -02.
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20 9835.8A
"Guidance on Remedial Actions for Contaminated Ground Water at
Superfund Sites,11 U.S. EPA, Office of Emergency and Remedial
Response, (draft), OSWER Directive No. 9283.1-2.
"Draft Guidance on Preparing Superfund Decision Documents," U.S.
EPA, Office of Emergency and Remedial Response, March 1988, OSWER
Directive No. 9355.3-02
"Risk Assessment Guidance for Superfund - Volume I Human Health
Evaluation Manual (Part A)," December 1989, EPA/540/1-89/002
"Risk Assessment Guidance for Superfund - Volume II
Environmental Evaluation Manual," March 1989, EPA/540/1-89/001
"Guidance for Data Useability in Risk Assessment," October, 1990,
EPA/540/G-90/008
"Performance of Risk Assessments in Remedial Investigation
/Feasibility studies (RI/FSs) Conducted by Potentially
Responsible Parties (PRPs)," August 28, 1990, OSWER Directive No.
9835.15.
"Role of the Baseline Risk Assessment in Superfund Remedy
Selection Decisions," April 22, 1991, OSWER Directive No. 9355.0-
30.
"Health and Safety Requirements of Employees Employed in Field
Activities," U.S. EPA, Office of Emergency and Remedial Response,
July 12, 1981, EPA Order No. 1440.2.
OSHA Regulations in 29 CFR 1910.120 (Federal Register 45654,
December 19, 1986).
"Interim Guidance on Administrative Records for Selection of
CERCLA Response Actions," U.S. EPA, Office of Waste Programs
Enforcement, March 1, 1989, OSWER Directive No. 9833.3A.
"Community Relations in Superfund: A Handbook," U.S. EPA, Office
of Emergency and Remedial Response, June 1988, OSWER Directive
No. 9230.0*36.
"Community Relations During Enforcement Activities And
Development of the Administrative Record," U.S. EPA, Office of
Programs Enforcement, November 1988, OSWER Directive No.
9836.0-1A.
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,( I
-------
Annotated OSWER Directive Number 9835. 3-2A
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION [*]
IN THE MATTER OF: )
>
[SITE NAME] [SITE NUMBER] )
)
[COMPANY NAME )
Address] )
)
RESPONDENT[S] )
)
)
Proceeding Under Sections 104, 122(a), ) U.S. EPA Docket No,
and I22(d}(3) of the Comprehensive }
Environmental Response, Compensation, )
and Liability Act as amended * )
(42 U.S.C §§ 9604, 9622(a), )
9622(d)(3)J. >
ADMINISTRATIVE ORDER ON CONSENT
FOR REMEDIAL INVESTIGATION/FEASIBILITY STUDY
Operable Unit No.
I. INTRODUCTION
1. This Administrative Order on Consent (Consent Order) is
entered into voluntarily by the United States Environmental
Protection Agency (EPA) and [name of Respondent(s)]
(Respondent(s)). The Consent Order concerns the preparation of,
performance of, and reimbursement for all costs incurred by EPA
in connection with a remedial investigation and feasibility study
(RI/FS) for the [operable unit consisting of] at the [site name]
located in [site location] ("site") [as well as past response
costs].
II. JURISDICTION
2. This Consent Order is issued under the authority vested
in the President of the United States by sections 104, 122(a) and
122(d)(3) of the Comprehensive Environmental Response,
Compensation, and Liability Act, as amended, 42 U.S.C. §§ 9604,
9622(a), 9622(d)(3) (CERCLA). This authority was delegated to
the Administrator of EPA on January 23, 1987, by Executive Order
12580, 52 Fed. Reg. 2926 (1987), and further delegated to
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Annotated OSWER Directive Number 9835.3-2A
Regional Administrators on September 13, 1987, by EPA Delegation
No. 14-14-c. [This authority has been redelegated by the
Regional Administrator to - 3
I *£.
3. The Respondent(s) agrees to undertake all actions
required by the terms and conditions of this Consent Order. In
any action by EPA or the United States to enforce the terns of
this Consent Order, Respondent(s) consents to and agrees not to
contest the authority or jurisdiction of the Regional
Administrator to issue or enforce this Consent Order, and agrees
not to contest the validity of this Order or its terms.
.XXX. PARTIES BOUND
4. This Consent Order shall apply to and be binding upon
EPA and shall be binding upon the Respondent(s), its agents,
successors, 'assigns,' officers, directors and principals. '
Respondent(s) is jointly and severally responsible for carrying
out all actions required of it by this Consent Order. The
signatories to this Consent Order certify that they are
authorized to execute and legally bind the parties they represent
to this Consent Order. No change in the ownership or corporate
status of the Respondent(s) or of the facility or site shall
alter Respondent(s}' responsibilities under this Consent Order.
" ' * ,..... ..
S. The Respondent(s) shall provide a copy of this Consent
Order to any subsequent owners or successors before ownership
rights or stock or assets in a corporate acquisition are
transferred. Respondent(s) shall .provide a copy of this Consent
Order to all contractors, subcontractors, laboratories, and
consultants which are retained to conduct any work performed
under this consent order, within 14 days after the- effective date
of this Consent Order or the date of retaining their services,
whichever is later. Respondent(s) shall condition any such
contracts upon satisfactory compliance with this Consent Order.
Notwithstanding -the terms of any contract, Respondent(s) is
responsible'for compliance with this Consent Order and for
ensuring that its subsidiaries, employees, contractors,
consultants, subcontractors, agents and attorneys comply with
this Consent Order.
^ . . »,
IV. STATEMENT OF PURPOSE
6. In entering into this Consent Order,* the'objectives of
EPA and the Respondent(s) are:, (a) to determine the nature and
extent of contamination and any threat to the public health,
welfare, or the environment caused by the release or threatened
release of hazardous substances, pollutants or contaminants at or
from the site or-facility, by conducting a remedial - '
investigation; (b) to determine and evaluate alternatives for
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Annotated OSWER Directive Number 9835.3-2A
remedial action (if any) to prevent, mitigate or otherwise
respond to or remedy any release or threatened release of
hazardous substances, pollutants, or contaminants at or from the
site or facility, by conducting a feasibility study,* and (c) to
recover response and oversight costs incurred by EPA with respect
to this Consent Order.
7. The activities conducted under this Consent Order are
subject to approval by EPA and shall provide all appropriate
necessary information for the RI/FS, with the exception of the
baseline risk assessment performed by EPA, and for a record of
decision that is consistent with CERCLA and the National
Contingency Plan (NCP), 40 C.F.R. Part 300. The activities
conducted under this Consent Order shall be conducted in
compliance with all applicable EPA guidances, policies, and
procedures.
V. FINDINGS OF FACT
[Note: Provide enough information in this section for the
Order to stand on its own. The findings of fact need to
establish and justify the conclusions oflaw set forth in
the Order.]
8. [Identify the site with the name, location, and
description, including geography, description of aquatic and
terrestrial communities, and brief site history.]
9. [Provide information that there are hazardous
substances at the site by listing the specific chemicals found at
the site, and their locations, concentrations and quantities
where known, including description of studies conducted to find
the hazardous substances.]
10. [Describe actual and/or potential release and
contaminant migration pathways, making clear that these are not
exclusive.]
11. [Briefly note some health/environmental effects of some
major contaminants.}
12. [State that the site is on the [proposed] National
Priorities List. Reference section 105 of CERCLA and Federal
Register in which notice of listing appeared.]
13. [Identify each Respondent, i.e., name/business.]
14. [For each Respondent, state the connection between the
Respondent and the site, e.g., owner or operator of a hazardous
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': Annotated OSWER Directive Number 9835.3-2A
waste site, or person who arranged for disposal .or treatment of,
or transporter of hazardous substances found at the site*. ]
^ *
- * 15. [identify'prior ..response and enforcement actions, if
any, taken at the site.]
VI. CONCLUSIONS OF LAW AND DETERKINATIQHS
16. The site is a "facility" as defined in section 101(9}
Of CERCLA, 42 U.S.C. $9601(9). \ s.'.. ,. _. ' --I./. 'f
*^"** .«. _- ,
17. Wastes and constituents thereof [at the site, sent to
the site, disposed of at the site, and/or transported to' the .
site] identified in paragraph 9 are "hazardous substances" as
defined in section 101(14) of CERCLA, 42 U.S.C. 59601(14), or
constitute "any pollutant or contaminant" that may present an
imminent and substantial danger to public health or welfare under
section 104(a)(1) of CERCLA.
18. r'The presence of hazardous substances at the site or the
past, present or potential migration.of hazardous substances
currently -located " at or emanating. from; the. site, constitute
actual and/or threatened "releases" as defined in section 101(22)
Of CERCLA, 42 U.S.C. §9601(22).
* * - >""">-- X '
19. Respondent(s) is a "person" as defined in section
101(21) Of CERCLA,. 42 U.S.C. S9601,(21) . ",
20. Respondent(s) is a responsible- party.under sections
104, 107 and 122 of CERCLA, 42 U;S.C. §§ 9604, 9607 and 9622.
.',-.**: " !-,''. "" ", '
21. The actions required, by'this ; Consent .Order are
necessary to protect the public health or welfare or the
environment, are in the public interest, 42 U.S.C. §9622(a), are
consistent with CERCLA and the NCP, 42 U.S.C. §§ 9604(a)(1),
9622(a), and will expedite effective remedial action and minimize
litigation, 42 U.S.C. §9622(a). , * ;r
> <;'' "... VII. NOTICE -..,-
22. By providing a copy of this Consent" Order "to the state,
EPA is: notifying the state of [name of state] that>this Order is
being issued and that EPA is the lead agency for coordinating,
overseeing, and enforcing the.response action required by the
Order.
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Annotated OSWER Directive Number 9835.3-2A
VIII. WORK TO BE PERFORMED
23. All work performed under this Consent Order shall be
under the direction and supervision of qualified personnel.
Within 30 days of the effective date of this Order, and before
the work outlined below begins, the Respondent(s) shall notify
1PA in writing of the names, titles, and qualifications of the
personnel, including contractors, subcontractors, consultants and
laboratories to be used in carrying out such work. The
qualifications of the persons undertaking the vork for
Respondent(s) shall be subject to EPA's review, for verification
that such persons meet minimum technical background and
experience requirements. This Order is contingent on
Respondent(s)' demonstration to EPA's satisfaction that
Respondent(s) is qualified to perform properly and promptly the
actions set forth in this Consent Order. If EPA disapproves in
writing of any person(s)' technical qualifications, Respondent(s)
shall notify EPA of the identity and qualifications of the
replacement(s) within 30 days of the written notice. Zf EPA
subsequently disapproves of the replacement(s), EPA reserves the
right to terminate this Order and to conduct a complete RI/FS,
and to seek reimbursement for costs and penalties from
Respondent(s). During the course of the RI/FS, Respondent(s)
shall notify EPA in writing of any changes or additions in the
personnel used to carry out such work, providing their names,
titles, and qualifications. EPA shall have the same right to
approve changes and additions to personnel as it has hereunder
regarding the initial notification.
24. Respondent(s) shall conduct activities and submit
deliverables as provided by the attached RI/PS Statement of Work,
which is incorporated by reference, for the development of the
RI/FS. All such work shall be conducted in accordance with
CERCLA, the NCP, and EPA guidance including, but not limited to,
the "Interim Final Guidance for Conducting Remedial
Investigations and Feasibility Studies under CERCLA" (OSWER
Directive # 9355.3-01), "Guidance for Data Dseability in Risk
Assessment" (OSWER Directive #9285.7-05) and guidances referenced
therein, and guidances referenced in the Statement of Work, as
may- be amended or modified by EPA. The general activities that
Respondent(s) is required to perform are identified below,
followed by a list of deliverables. The tasks that Respondent(s)
must perform are described more fully in the statement of Work
and guidances. The activities and deliverables identified below
shall be developed as provisions in the work plan and sampling
and analysis plan, and shall be submitted to EPA as provided.
All work performed under this Consent Order shall be in
accordance with the schedules herein, and in full accordance with
the standards, specifications, and other requirements of the work
plan and sampling and analysis plan, as initially approved or
-------
" Annotated OSWER.Directive Number 9835.3-2A
modified by EPA, and as may be amended or modified by EPA from
time to tine. For the purposes of this Order, day means calendar
day unless otherwise noted in the order. . '
A. TaskI; Scoping. EPA determines the site-specific objectives
of the RI/FS and .devises a general management approach for the
site, as stated in the attached Statement of Work. Respondent(s)
shall conduct the remainder of scoping activities as described in
the attached statement of Work and referenced guidances. At the
conclusion of the project planning phase, Respondent(s) shall
provide EPA with the following deliverables:
\ * - . - -, ^
.1. RI/FS work Plan, within days of the effective date
of this Order, Respondent(s) shall submit to EPA a complete
. RI/FS work plan. If EPA disapproves of or requires
revisions to the"RI/FS work plan, in whole or in part, ..
Respondent(s) shall amend and 'submit to EPA a revised work
plan which is responsive to the directions in all EPA
comments, within days of receiving EPA's comments. -
t * ., _ * * - , *
2. Sampling and Analysis: Plan-. ' Within days of .-'the ... -
effective date-of this Order, Respondent(s) shall submit to
EPA the sampling and analysis plan. This plan shall consist
* of a field sampling plan (FSP) and a quality assurance
project plan (QAPjP), as described in the Statement of Work
'and guidances. If EPA disapproves of or requires revisions
to the sampling and analysis plan, in whole,or in part,
Respondent(s) shall amend and submit to EPA a revised
sampling and analysis plan which is,responsive*to the
directions in all EPA comments, within days of" receiving
* EPA's comments.'- ' ' '-- .. -* ,., ...... ; . -".
< .' , ,:. : ,. :-., " i . . 't ' .. , ' ,
'w 3. Site Health and Safety Plan. Within \ days of the ".
effective date of this Order, Respondent(s) shall submit to
. ' EPA the site health "and safety-plan. * ;,, :'.'.; " r
Following approval or modification by EPA, the RI/FS work
plan and the sampling and analysis plan are incorporated by
. , reference.herein. ... . .. .
B. Task II; -Community Relations Plan. EPA .will, prepare a
.community relations plan, in accordance with EPA guidance and the
NCP. Respondent(s) shall provide information supporting EPA's
community relations programs. : .*..* -
C. Task III; Site Characterization. Following EPA-approval "or
modification of the work plan and sampling and analysis plan,
Respondent(s) shall implement the provisions of these plans to
characterize the site. Respondent(s) shall complete site
-------
Annotated OSWER Directive Number 98 3 5.3-2A
characterization within months of EPA approval or
modification of the work pTan and sampling and analysis plan.
Respondent(s) shall provide EPA with analytical data within
days of each sampling activity, in a electronic format (i.e.,
computer disk) showing the location, medium and results. Within
7 days of completion of field activities, Respondent(s) shall
notify EPA in writing. During site characterization,
Respondent(s) shall provide EPA with the following deliverables,
as described in the Statement of Work and work plan:
1. Technical Memorandum on Modeling of Site
Characteristics> Where Respondent(s) proposes that
modeling is appropriate, within days of the
initiation of site characterization, Respondent(s)
shall submit a technical memorandum on modeling of site
characteristics, as described in the statement of Work.
If EPA disapproves of or requires revisions to the
technical memorandum on modeling of site
characteristics, in whole or in part, Respondent(s)
shall amend and submit to EPA a revised technical
memorandum on modeling of site characteristics which is
responsive to the directions in all EPA comments,
within days of receiving EPA's comments.
2. PrjB 1 im anary S ite Character i z at ion Summary. Within
days of completion of the field sampling and
analysis, as specified in the work plan, Respondent(s)
shall submit a site characterization summary to EPA.
D. Draft Remedial Investigation Report [See Task III of the
attached Statement of Work.) Within days of receipt,
respondent(s) shall submit a draft remedial investigation report
consistent with the Statement of Work, work plan, sampling and
analysis plan. If EPA disapproves of or requires revisions to
the remedial investigation report, in whole or in part,
Respondent(s) shall amend and submit to EPA a revised remedial
investigation report which is responsive to the directions in all
EPA comments, within days of receiving EPA's comments.
E. task IV* Treat-ability studies. Respondent (s) shall conduct
treatability studies, except where Respondent(s) can demonstrate
to EPA's satisfaction that they are not needed. Major components
of the treatability studies include determination of the need for
and scope of studies, the design of the studies, and the
completion of the studies, as described in the Statement of Work.
During treatability studies, Respondent(s) shall provide
EPA with the following deliverables:
1.Identification of Candidate Technologies Memorandum.
This memorandum shall be submitted within days of
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. . - Annotated OSWER Directive Number 9835.3-2A
the effective date of this Order. If EPA disapproves
of.or requires revisions to. the technical memorandum
identifying candidate technologies, in Whole or in
part, Respondent(s) shall amend and submit to EPA a
revised technical.memorandum identifying candidate
technologies which is responsive to the directions in
alliEPA comments, within days of receiving EPA's
comments. '' '-,*", -
r
2. Treatability Testing Statement of Work. If EPA
determines that treatability testing is required,
within -.days thereafter [or as specified by EPA],
Respondent(s) shall submit a treatability testing
statement of work. '_\,', ..' _, --
3. "Treatability Testing Work Plan. Within days
of submission of the treatability testing statement of
work, Respondent(s) shall submit a treatability testing
work plan, including a schedule. If EPA disapproves of
or requires revisions to the treatability testing work
r .plan, in whole or in part, Respondent(s) shall amend
and submit to EPA a revised treatability. testing work
plan which is responsive to the directions in all EPA
comments, within days of receiving EPA's comments.
,4. . Treatabilitv StudylJSampling and Analysis Plan.
Within days; of the identification of the need for a
separate or revised QAPP or FSP, ', Respondent(s) shall
submit a treatability study sampling and analysis plan.
If EPA disapproves of or requires revisions to the
treatability study sampling and analysis plan, in whole
or in part, Respondent(s)l shall amend and submit to ,EPA
a revised treatability study sampling and analysis plan
which is responsive to -the directions in all EPA
comments, within ._ days of receiving EPA's comments.
5.. Treatabilitv Study Site Health and Safety Plan.
Within . days of the identification of the need for a
revised health and safety plan. Respondent(s) shall
.submit: a treatability study site health and safety
plan. . . - - . - , '-" '
6. Treatabilitv Study Evaluation Report. Within _^''__
. days of completion of any treatability testing,
: Respondent(s) shall submit a treatability study
evaluation report as provided in the Statement of Work
and work plan. If EPA disapproves of or requires
revisions to the treatability study report, in whole or
in part, Respondent(s) shall amend and submit ito EPA a
revised treatability study report which is responsive
8
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Annotated OSWER Directive Number 9835.3-2A
to the directions in all EPA comments, within days
of receiving EPA's comments.
p. Task V' Development- and Screening of Alternatives.
Respondent(s) shall develop an appropriate range of waste
management options that will be evaluated through the development
and screening of alternatives, as provided in the statement of
Work and work plan. During the development and screening of
alternatives, Respondent(s) shall provide EPA with the following
deliverables:
1» Memorandum on Remedial Action Objectives. Within ___
days of receipt of EPA'» ba»«lin« risk assessment,
Respondent(s) shall submit a memorandum on remedial action
objectives.
2. Memorandum on Development and Preliminary^ Screening of
Alternatives. Assembled Alternative^ Screening Results and
Final ScreenjLnq. Within days.of submittal of the
memorandum on remedial action objectives, Respondent(s)
shall submit a memorandum summarizing the development and
screening of remedial alternatives, including an
alternatives array document as described in the Statement of
work.
G. Task^ VI; Detailed A.naJJ.ysis of Alternatives. Respondent (s)
shall conduct a detailed analysis of remedial alternatives, as
described in the Statement of Work and work plan. During the
detailed analysis of alternatives, Respondent(s) shall provide
EPA with the following deliverables and presentation:
1. Report on Comparative J^palysis a.nd Presentation, to EPA.
Within days of submission of a memorandum on the
development and screening of remedial alternatives,
Respondent{s) shall submit a report on comparative analysis
to EPA summarizing the results of the comparative analysis
performed between the remedial alternatives. If EPA
disapproves of or requires revisions to the report on
comparative analysis, Respondent(s) shall amend and submit
, to EPA a revised report on comparative analysis which is
responsive to the directions in all EPA comments, within
days of receiving EPA's comments. Within two weeks of
submitting the original report on comparative analysis,
Respondent(s) shall make a presentation to EPA during which
Respondent(s) shall summarize the findings of the remedial
investigation and remedial action objectives, and present
the results of the nine criteria evaluation and comparative
analysis, as described in the statement of Work.
-------
1 Annotated OSWER Directive Number 9835.3-2A
; 2. Draft Feasibility study Report." Within days of
the presentation to EPA, Respondent(s).shall submit a
draft feasibility study report whien reflects the
findings in EPA'e baseline risk assessment.
Respondent (s) -.shall refer to Table 6-5 of the RI/FS
Guidance for report content and format. If EPA
disapproves of or requires revisions.to,the draft
feasibility study report in whole orrin part,
Respondent(s) shall amend'and submit to EPA a revised
feasibility study report vhich is responsive to the
directions in all EPA comments, within days of
- receiving EPA's comments. The report as amended, and
the administrative record, shall provide the basis for
:the proposed plan under CERCLA SS 113(k) and 117(a) by
EPA, and shall document the development and. analysis of
remedial alternatives.
25. EPA reserves the right to comment on, modify and direct
changes for all deliverables. At EPA's discretion, Respondent(s)
must fully correct all deficiencies and incorporate and integrate
all information and comments supplied by EPA either in subsequent
or resubmitted deliverables. -
- - -' * J ."','<
26. Respondent(s) shall not proceed further with any
subsequent activities or tasks until receiving EPA approval for
the following deliverables: RI/FS work plan and sampling and'
analysis plan, draft remedial investigation report, treatability
testing work plan* and* sampling and analysis plan, .[delete .any of
the foregoing not required as a deliverable] and draft.
feasibility study report. While awaiting EPA: approval on these
deliverables, Respondent(s) shall proceed with all other tasks
and activities which may be conducted independently of these
deliverables, in accordance with the schedule set forth in this
Consent Order. '' "' ... - .?
' ' ' '"' " "- < ... . -'.: ; . .-«!
27. Upon receipt of the draftrFS report, EPA will evaluate,
as necessary, the estimates of the risk to the public and
environment that are expected to remain .after a particular
remedial alternative has been completed. .. , .,
28. For all remaining deliverables not enumerated .above in
paragraph 26, Respondent(s) shall proceed with all subsequent
tasks, 'activities and deliverables without awaiting EPA approval
on the submitted deliverable. EPA reserves the right to stop
Respondent(s) from proceeding further, either temporarily or
permanently, on any task, activity or deliverable at any point
during the RI/FS. ' . : . * : ,
»* , . t . .... - .
* * - * * " v
29. in the event that Respondent(s) amends or revises a
report, plan or other submittal upon receipt of EPA comments, if
10
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Annotated OSWER Directive Number 9835.3-2A
EPA subsequently disapproves of the revised submittal, or if
subsequent submittals do not fully reflect EPA's directions for
changes, EPA retains the right to seek stipulated or statutory
penalties; perform its own studies, complete the RI/FS (or any
portion of the RI/FS) under CERCLA and the NCP, and seek
reimbursement from the Respondent(s) for its costs; and/or seek
any other appropriate relief.
30. In the event that EPA takes over some of the tasks, but
not the preparation of the RI/FS, Respondent(B) shall incorporate
and integrate information supplied by EPA into the final RI/FS
report. '
31. Neither failure of EPA to expressly approve or
disapprove of Respondent(s)' submissions within a specified time
period(s), nor the absence of comments, shall be construed as
approval by EPA. Whether or not EPA gives express approval for
Respondent(s)* deliverables, Respondent(s) is responsible for
preparing deliverables acceptable to EPA.
32. Respondent(s) shall, prior to any off-site shipment of
hazardous substances from the site to an out-of-state waste
management facility, provide written notification to, the
appropriate state environmental official in the receiving state
and to EPA's Designated Project Coordinator of such shipment of
hazardous substances. However, the notification of shipments
shall not apply to any such off-site shipments when the total
volume of such shipments will not exceed 10 cubic yards.
(a) The notification shall be in writing, and shall include
the following information, where available: (1) the name and
location of the facility to which the hazardous substances are to
be shipped; (2) the type and quantity of the hazardous substances
to be shipped; (3) the expected schedule for the shipment of the
hazardous substances; and (4) the method of transportation.
Respondent(B) shall notify the receiving state of major changes
in the shipment plan, such as a decision to ship the hazardous
substances to another facility within the same state, or to a
facility in another state.
(b) The identity of the receiving facility and state will
be determined by Respondent(s) following the award of the
contract for the remedial investigation and feasibility study.
Respondent(s) shall provide all relevant information, including
information under the categories noted in paragraph 31(a) above,
on the off-site shipments, as soon as practical after the award
of the contract and before the hazardous substances are actually
shipped.
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-.--.... . Annotated OSW1R Directive Number 9835.3-2A
*'- >-,. .,. , **
IX. EPA'S BASELINE RISK ASSESSMENT
" " ' ' - r ' " \- ' ~t ' *"?"***
33. EPA will perfora the baseline risk assessment.
Respondent shall support EPA in the effort by providing various
information to EPA as outlined above. The major components of
the baseline risk assessment include contaminant identification/
exposure assessment, toxicity assessment, and human health and
ecological risk character i Bat ion. - --
EPA will provide, after review of the respondent's site-char-
acterisation summary, sufficient information concerning the
baseline risks such that the respondents can begin drafting the
feasibility study report and the Memorandum on Remedial Action
Objectives. This information, will normally be in the form of two
or more baseline risk assessment memoranda; prepared by EPA. One
memorandum will generally include a list of the chemicals of
concern for human health and ecological effects and the
corresponding toxicity values. Another should list the current
and potential future exposure scenarios, exposure assumptions, -
and exposure point concentrations that EPA plans to use in the
baseline risk assessment* The public, including the potentially
responsible parties, may'comment on these memoranda. However,
the Agency is obligated to respond only to significant comments
that are submitted during the formal public comment period.
. ' . " * - . ». * . < i-" ^
After considering any significant comments received, EPA will
prepare*a baseline risk assessment report based on the'data "
collected by the respondents'during the site character-
ization. EPA will release this report to the public at the same
time it releases the final Ri report. Both reports will be put
into the Administrative Record for the site.
EPA will respond to all significant comments on the memoranda or
the baseline risk assessment that are resubmitted during the
formal comment period in the Responsiveness Summary of the Record
of Decision.- " , _.' ' , . '" .
* - " ..*""* ' * ' .4
X. MODIFICATION OF THE WORK PIAN
34. If at any time during the RI/FS process, Respondent(s)
identifies a need for additional data,, a memorandum documenting
the need for additional data shall be submitted to the EPA
Project Coordinator within 20 days of identification. EPA in its
discretion will determine whether the additional data will be
collected by Respondent(s) and whether it will be incorporated
into reports and deliverables. ,
" '-' .- . ' '.''..I.'1'''-
35. In the event of conditions posing an immediate/threat
to human health or welfare or the environment. Respondent(s)
shall notify EPA and the state immediately. In the event of
12
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Annotated OSWER Directive Number 9835.3-2A
unanticipated or changed circumstances at the site, Respondent(s)
shall notify the EPA Project Coordinator toy telephone within 24
hours of discovery of the unanticipated or changed circumstances.
In addition to the authorities in the NCP, in the event that EPA
determines that the immediate threat or the unanticipated or
changed circumstances warrant changes in the work plan, EPA shall
modify or amend the work plan in writing accordingly.
Respondent(s) shall perform the work plan as modified or amended.
36. EPA may determine that in addition to tasks defined in
the initially approved work plan, other additional work may be
necessary to accomplish the objectives of the RI/FS as set forth
in the Statement of Work for this RI/FS. EPA may require that
the Respondent(s) perform these response actions in addition to
those required by the initially approved work plan, including any
approved modifications, if it determines that such actions are
necessary for a complete RI/FS. Respondent(s) shall confirm its
willingness to perform the additional work in writing to EPA
within 7 days of receipt of the EPA request or Respondent(s)
shall invoke dispute resolution. Subject to EPA resolution of
any dispute, Respondent(s) shall implement the additional tasks
which EPA determines are necessary. The additional work shall be
completed according to the standards, specifications, and
schedule set forth or approved by EPA in a written modification
to the work plan or written work plan supplement. EPA reserves
the right to conduct the work itself at any point, to seek
reimbursement from Respondent(s), and/or to seek any other
appropriate relief.
XI. QUALITY ASSURANCE '
37. Respondent(s) shall assure that work performed, samples
taken and analyses conducted conform to the requirements of the
Statement of Work, the QAPP and guidances identified therein.
Respondent(s) will assure that field personnel used by
Respondent(s) are properly trained in the use of field equipment
and in chain of custody procedures.
XII. FINAL RI/FS. PROPOSED PLAN. PUBLIC COMMENT.
RECORD OF DECISION. ADMINISTRATIVE RECORD
36. EPA retains the responsibility for the release to the
public of the RI/FS report. EPA retains responsibility for the
preparation and release to the public of the proposed plan and
record of decision in accordance with CERCLA and the NCP.
39. EPA shall provide Respondent(s) with the final RI/FS
report, proposed plan and record of decision.
13
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. . . Annotated OSWER Directive Number 9835.3-2A
40. EPA will determine the contents of the administrative
record file for selection of the remedial action. Respondent(s)
must submit to EPA documents developed during the course of the
RI/FS upon which selection of the response action may be based.
Respondent(s) shall provide copies of plans, task memoranda
including documentation of field modifications, recommendations
for further action, quality assurance memoranda and audits, raw
.data, field notes, laboratory analytical reports and other
reports. Respondent(s) must additionally submit any previous
. studies conducted under state, local or other federal authorities
relating to selection of the response action, and all
communications-between Respondent(s) and state, local or other
federal authorities concerning selection of the response action.
At EPA's discretion, Respondent(s) may establish a community
information repository at or near the site, to house one copy of
'the administrative record. -
..*-,- XIII. , EROGRESS REPORTS AND JCEETINGS
41. Respondent(s) shall make presentations at, and
participate in, meetings at the request of EPA during the
initiation, conduct, and completion of the RI/FS. In addition to
discussion of the technical aspects of.the.RI/FS, topics will
include anticipated problems or new issues. Meetings will be
scheduled at EPA's discretion. * '
t '. "* ,
42. In addition to the deliverables set forth in-this
Order, Respondent(s) shall provide to EPA monthly progress
reports by the 10th day of the following month. At a minimum,
with respect to the preceding month, these progress reports shall
(1) describe the actions which have been taken to comply with
this Consent Order during that month, (2) include all results of
sampling and tests and all other data received by the
Respondent (s), (3) describe work planned for the next two months
with schedules relating such work to the overall project schedule
for RI/FS completion and (4) describe all problems encountered
and any anticipated problems, any actual or anticipated delays,
and solutions developed and implemented to address any actual or
anticipated problems or delays.
XIV. SAMPLING. ACCESS. AND DATA AVAILABILITY/ADKISSIBILITY
43. All results of sampling, tests, modeling or other data
(including raw data) generated by Respondent(s), or on
Respondent(s)* behalf, during implementation of this Consent
Order, shall be submitted to EPA in the subsequent monthly
progress report as described in section XII of this Order. EPA
will make available to the Respondent(s) validated data generated
by EPA unless it is exempt from disclosure by any federal or
state law or regulation.
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Annotated OSWER Directive Number 9835.3-2A
44. Respondent(s) will verbally notify EPA at least 15 days
prior to conducting significant field events as described in the
Statement of Work, work plan or sampling and analysis plan. At
EPA's verbal or.written request, or the request of EPA's
oversight assistant, Respondent(s) shall allow split or duplicate
samples to be taken by EPA (and its authorized representatives)
of any samples collected by the Respondent(s) in implementing
this Consent Order. All split samples of Respondent(s) shall be
analyzed by the methods identified in the QAPP.
45. At all reasonable times, EPA and its authorized
representatives shall have the authority to enter and freely move
about all property at the site and off-site areas where work, if
any, is being performed, for the purposes of inspecting
conditions, activities, the results of activities, records,
operating logs, and contracts related to the site or
Respondent(s) and its contractor pursuant to this Order;
reviewing the progress of the Respondent(s) in carrying out the
terms of this Consent Order; conducting tests as EPA or its
authorized representatives deem necessary; using a camera, sound
recording device or other documentary type equipment; and
verifying the data submitted to EPA by the Respondent(s). The
Respondent(s) shall allow these persons to inspect and copy all
records, files, photographs, documents, sampling and monitoring
data, and other writings related to work undertaken in carrying
out this Consent Order. Nothing herein shall be interpreted as
limiting or affecting EPA's right of entry or inspection
authority under federal law. All-parties with access to the site
under this paragraph shall comply with all approved health and
safety plans.
46. The Respondent(s) may assert a claim of business
confidentiality covering part or all of the information submitted
to EPA pursuant to the terms of this Consent Order under 40
C.F.R. §2.203, provided such claim is allowed by section
104(e)(7) of CERCLA, 42 U.S.C. §904{e)(7)* This, claim shall be
asserted in the manner described by 40 C.F.R. $2.203(b) and
substantiated at the time the claim is made. Information
determined to be confidential by EPA will be given the protection
specified in 40 C.F.R. Part 2. If no such claim accompanies the
information when it is submitted to EPA, it may be made available
to the public by EPA or the state without further notice to the
Respondent(s). Respondent(s) agrees not to assert
confidentiality claims with respect to any data related to site
conditions, sampling, or monitoring.
47. in entering into this Order, Respondent(s) waives any
objections to any data gathered, generated, or evaluated by EPA,
the state or Respondent(s) in the performance or oversight of the
work that has been verified according to the quality
15
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: , Annotated OSWER Directive Number 9835.3-2A
assurance/quality control (QA/QC) procedures required by the
1 Consent Order or any EPA-approved work plans or sampling and
analysis plans. If Respondent(s) objects to any other data
relating to the RI/FS, Respondent(s) shall submit to EPA a report
that identifies and .explains its; objections, describes the
acceptable uses, of the .data, if any, and identifies any
limitations to the use of the data. The report\nust be submitted
to EPA within 15.days of the monthly progress report containing
the data. *...-. .. ' -.''.:.', *' " . " ' , ',
48. if''the site, or the, of f -site area that is to be used
for access or is within the scope of the RI/FS, is owned in vhole
or in part by parties other than those bound by this Consent
Order, Respondent(s) will obtain, or use its best efforts to
obtain, site access agreements from the present owner(s) within
days of the effective date of this Consent Order. Such;
agreements shall provide access for EPA,,its contractors and ~
oversight officials, the state and its contractors, and the
Respondent(s) or its authorized representatives,'and such
agreements.shall specify that Respondent(s) is'not EPA1s
representative with respect to liability associated'with*site .
activities. Copies of such agreements shall be provided to EPA
prior to Respondent(s)' initiation of field activities.
Respondent(s)* -best efforts shall include providing reasonable
compensation to any off-site property owner. If access" . ,.
agreements are not, obtained within the time referenced above, ,
Respondent (s) shall immediately notify EPA, of, its failure,.to
obtain access.''EPA may obtain access for the Respondent{B}, t
perform-those tasks or activities with EPA contractors, or
terminate the Consent Order in the event that Respondent(s)
cannot obtain access agreements. In the event that EPA performs
those tasks or activities with EPA contractors,and does not
terminate the Consent Order, Respondent(s) shall perform all _
other activities "not requiring access to that site, and shall,.'
reimburse EPA for all costs incurred in performing such
activities. Respondent (s), .additionally shall integrate. the ;
results of any such .tasks undertaken by EPA into its reports and
deliverables; Furthermore, the Respondent(s) agrees to indemnify
the U.S. Government as specified in Section XXV of this.Order,
Respondent(s) also shall reimburse EPA for all costs and attorney
fees incurred by the.,United-States to obtain access, for the
Respondent(s) pursuant to paragraph 70. . -
XV. -DESIGNATED PROJECT COORDINATORS ' ]' '.
JrL - ' 7iu.' ,
-.--.' ' -* , ft
49. Documents including reports, approvals, disapprovals,
and other correspondence,which must be submitted under this
Consent Order,'Shall be sent by certified mail, return receipt
requested, to the following addressees or to any other'addressees
which the Respondent(s) and EPA designate in writing:.
:.: 16
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Annotated OSWER Directive Number 983 5.3-2A
(a) Documents to be submitted to 1PA should be sent to
[indicate number of copies]:
[EPA project Coordinator,
CERCLA Branch]
US EPA, Region [#],
[Street, City, State, Zip Code].
(b) Documents to be submitted to the Respondent(s) should
be sent to [include number of copies]:
[Name, Title,
Organization,
Street, City, State, Zip Code].
50. On or before the effective date of this consent Order,
EPA and the Respondent(s) shall each designate their own Project
Coordinator. Each Project Coordinator shall be responsible for
overseeing the implementation of this Consent Order. To the
maximum extent possible, communications between the Respondent(s)
and EPA shall be directed to the Project Coordinator by mail,
with copies to such other persons as EPA, the state, and
Respondent(s) may respectively designate, communications
include, but are not limited to, all documents, reports,
approvals, and other correspondence submitted under this Consent
Order.
51. EPA and the Respondent(s) each have the right to change
their respective Project coordinator. The other party must be
notified in writing at least 10 days prior to the change.
52, EPA's Project Coordinator shall have the authority
lawfully vested in a Remedial Project Manager (RPM) and On-Scene
Coordinator (OSC) by the NCP. In addition, EPA's Project
Coordinator shall have the authority consistent with the National
Contingency Plan, to halt any work required by this Consent
Order, and to take any necessary response action when s/he
determines that conditions at the site may present an immediate
endangerment to public health or welfare or the environment. The
absence of the EPA Project Coordinator from the area under study
pursuant to this Consent Order shall not be cause for the
stoppage or delay of work.
53. EPA shall arrange for a qualified person to'assist in
its oversight and review of the conduct of the RI/FS, as required
by section 104(a) of CERCLA, 42 U.S.C. §9604(a). The oversight
assistant may observe work and make inquiries in the absence of
EPA, but is not authorized to modify the work plan.
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- . _: .-?"* Annotated OSWER Directive Number 9835.3-2A
-- XVI. OTHER APPLICABLE LAWS , ,
54. Respondent(s) shall comply with all laws that are
applicable when performing the RI/FS. No local, state, or
federal permit shall be required for any portion of any action
conducted entirely on-site, including studies, where such action
is selected and carried out in compliance..with section 121 of
CERCLA. " ' ' ' ' '
. XVII. RECORD PRESERVATION '
55. All records and documents in EPA's and Respondent's
possession that relate in any way to the site shall be preserved
during the conduct of this Consent Order and for a minimum of 10
years after commencement of construction of any 'remedial action.
The Respondent(s) shall acquire and retain copies of all
documents that'relate.to the site and are in the;possession of
its employees, agents, accountants, contractors, or attorneys.
After this 10. year period, the Respondent(B) shall notify EPA at
least 90 days before the documents are scheduled to be destroyed.
If EPA requests that the documents be saved, the Respondent(s)
shall, at no cost to EPA, give EPA the documents or copies of the
documents. : ,;. J . ; ,, \
'" - ' " ' -;. XVIII. " DISPUTE RESOLUTION '
56. Any disputes concerning activities or deliverablcs
required under this Order, excluding the baseline risk
assessment, for which dispute resolution has been expressly
provided for; shall be resolved as follows: If the Respondent(s)
objects to any EPA notice of disapproval or requirement made
pursuant to this Consent Order, Respondent(s) shall notify EPA's
Project Coordinator in writing of its objections within 14 days
of receipt of the; disapproval notice or requirement. '
Respondent (s)'' written objections, shall define the dispute, state
the basis of Respondent(s)* objections, and be sent certified
mail, return receipt requested. EPA and the Respondent(s) then
have an additional 14 days to reach agreement. If an agreement
is not reached within 14 days, Respondent may request-a
determination by EPA's (Branch Chief/Division Director]. The
[Branch Chiefs/Division Director's} determination is EPA's final
decision. Respondent(s) shall proceed in accordance with EPA's
final decision regarding the matter in dispute, regardless of
whether Respondent(s) agrees with the decision. If .the
Respondent(s) does not agree to perform ,or does not actually
perform the work in accordance with EPA's final decision, EPA
reserves the right in its sole,discretion to conduct the work
itself, to seek reimbursement from the Respondent(s), to seek
enforcement of the decision, to seek stipulated*penalties, and/or
to.seek any other appropriate relief.
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Annotated OSWER Directive Number 9835.3-2A
57. Respondent(s) is not relieved of its obligations to
perform and conduct activities and submit deliverables on the
schedule set forth in the work plan, while a matter is pending in
dispute resolution. The invocation of dispute resolution does
not stay stipulated penalties under this order.
XZX. pELAY IN PERFORMANCE/STIPIIIATED PENALTIES
58. For each day that the Respondent(s) fails to complete a
deliverable in a timely manner or fails to produce a deliverable
of acceptable quality, or otherwise fails to perform in
accordance with the requirements of this Order, Respondent(s)
shall be liable for stipulated penalties. Penalties begin to
accrue on the day that performance is due or a violation occurs,
and extend through the period of correction. Where a revised
submission by Respondent(s) is required, stipulated penalties
shall continue to accrue until a satisfactory deliverable is
produced. EPA will provide written notice for violations that
are not based on timeliness; nevertheless, penalties shall accrue
from the day a violation commences. Payment shall be due within
30 days of receipt of a demand letter from EPA..
59. Respondents shall pay interest on the unpaid.balance,
which shall begin to accrue at the end of the 30-day period, at
the rate established by the Department of Treasury pursuant to 30
U.S.C. §3717. Respondents, shall further pay a handling charge of
1 percent, to be assessed at the end of each 31 day period, and a
6 percent per annum penalty charge, to be assessed if the penalty
is not paid in full within 90 days after it is due.
60. Respondent(s) shall make all payments by forwarding a
check to:
U.S. Environmental Protection Agency
Superfund Accounting
[insert Regional Lock Box]
Checks should identify the name of the site, the site
identification number, the account number, and the title of this
Order. A copy of the check and/or transmittal letter shall be
forwarded to the EPA Project Coordinator.
61. For the following major deliverables, stipulated
penalties shall accrue in the amount of per day, per
violation, for the first seven days of noncompliance; per
day, per violation, for the 8th through 14th day of
noncompliance; per day, per violation, for the 15th day
through the 30th day; and per day per violation for all
violations lasting beyond 30 days.
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", . Annotated OSWER Directive Number 9835.3-2A
<"!) An original and any revised work plan.
" ' - ' j ' > -
2) An original and any revised sampling and analysis plan.
3} An original and any revised remedial investigation
report. -..-..
4) An original and any revised treatability testing work
_>'__ -plan. f " a : - : .-'-.
5) An original and any revised treatability study sampling
i and analysis plan. , .
*
. ** * ,
6) An original and any revised feasibility study report.
" -.'> - , r . , ." -
62. For the following interim deliverables, stipulated
penalties shall accrue, in the-.amount of '' ._ 'per day, per
violation, for the first week of noncompliance; ' per day, per
violation, for :the 8th through 14th day of noncompliance; *-
per day, per violation,/for the 15th day through the 30th day of
noncompliance,* and per day per violation for all violations
lasting beyond 30 days.
1) Technical memorandum on-modeling of site .
' ' characteristics. - , " ' " t '.'''.
-2) - Preliminary site characterization summary." ._;. ' Jr
r " » , . ** *- .,..» '.
3) Summary of RI data (electronically formattied),
4)~ ''Identification of,candidate technologies memorandum.
5) Treatability testing statement of work.
'''' '« -.- T
6) Treatability study evaluation report.
** ' - _ " i
7) Memorandum on remedial action objectives.
8) Memoranda on development and preliminary screening of
' ~ -. -. , alternatives, assembled alternatives screening '''
results, and final screening., ._ -^ "v -_.'-,
f) ."."Comparative analysis report.. ,._.-
63. For the monthly progress reports, 'stipulated penalties
shall accrue in the amount of per day, per violation, for
the first week of noncompliance; -. per day,' per violation, for
the 8th through 14th day of noncompliance; per day, per
violation, for the 15th day through the 3oth.day; and '';' "per
day, per violation, for all violations lasting beyond 30 days.
, p 20
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Annotated OSWER Directive Number 9835.3-2A
64. Respondent(s) nay dispute EPA's right to the stated
amount of penalties by invoking the dispute resolution procedures
under Section XVII herein. Penalties shall accrue but need not
be paid during the dispute resolution period. If Respondent(s)
do not prevail upon resolution, all penalties shall be due to EPA
within 30 days of resolution of the dispute. If Respondent(s)
prevails upon resolution, no penalties shall be paid.
65. in the event that EPA provides for corrections to be
reflected in the next deliverable and does not require
resubmission of that deliverable, stipulated penalties for that
interim deliverable shall cease to accrue on the date of such
decision by EPA. ,
66. The stipulated penalties provisions do not preclude EPA
from pursuing any other remedies or sanctions which are available
to EPA because of the Respondent(s) failure to comply with this
Consent Order, including but not limited to conduct of all or
part of the RI/FS by EPA. Payment of stipulated penalties does
not alter Respondent(s)' obligation to complete performance under
this Consent order.
XX. FORCE HAJEURE
67. "Force majeure11, for purposes of this Consent Order, is
defined as any event arising from causes entirely beyond the
control of the Respondent(s) and of any entity controlled by
Respondent(s), including their contractors and subcontractors,
that delays the timely performance of any obligation under this
Consent order notwithstanding Respondent(s)V best efforts to
avoid the delay. The requirement that the Respondent(s) exercise
"best efforts to avoid the delay" includes using best efforts to
anticipate any potential force majeure event and best efforts to
address the effects, of any potential force majeure event (1) as
it is occurring and (2) following the potential force majeure
event, such that the delay is minimized to the greatest extent
practicable. Examples of events that are not force majeure
events include, but are not limited to, increased costs or
expenses of any work to be performed under this Order or the
financial difficulty of Respondent(s) to perform such work.
68. If any event occurs or has occurred that may delay the
performance of any obligation under this Order, whether or not
caused by a force majeure event, Respondent(s) shall notify by
telephone the Remedial Project Manager or, in his or her absence,
the Director of the Hazardous Waste Management Division, EPA
Region , within 48 hours of when the Respondent(s) knew or
should have known that the event might cause a delay, within
five business days thereafter, Respondent(s) shall provide in
writing the reasons for the delay; the anticipated duration of
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Annotated OSWER Directive Number 9835.3-2A
the delay; all actions taken or to be taken to prevent or
minimize the delay; a schedule for implementation of any measures
to be taken to mitigate the effect of the delay; .and a statement
as to whether, in the opinion of Respondent(s), such event may
cause .or contribute to an endangerment to public health, welfare
or the environment. Respondent(s) shall exercise best efforts to
avoid or minimize any delay and any effects of a delay. Failure
to comply with the above requirements shall preclude
Respondent(s) from asserting any claim of force majeure.
69. if EPA agrees that the delay or anticipated delay is
attributable to force majeure, the time for performance of the
obligations under this Order that are directly affected'by the:
force majeure event shall be extended by agreement of the
parties, pursuant' to section XXVI of this Order, for a period of
time not*to exceed the actual duration of the delay caused by the
'force majeure event. An extension of the time for performance of
the obligation directly affected by the force majeure event-shall
not, of itself, extend the time for performance of any-'subsequent
obligation.' " ' ' -''.... .-.,, -k. .-. ,-,-.
* » *' * " '
70. If EPA does not agree that the delay or anticipated
delay has been or will be caused by a force majeure event, or
does not agree with Respondent(s) on the length of the extension,
the'issue, shall be subject to 'the'dispute resolution"procedures
set forth in section XVII of this Order. In''-any such proceeding,
to qualify for a force majeure defense, Respondent(s) shall have
the burden of demonstrating ;by a preponderanceof the evidence'
that-the delay or,anticipated-"delay has been or will be caused by
a, force majeure event,'that the duration of the'delay''was or will
be warranted under, the circumstances', - that Respondent (s)* did :
exercise or is exercising due diligence by using its best efforts
to avoid and mitigate the effects of the delay, and that . . , .
Respondent(s) complied with the requirements of paragraph 66.
' 71.. Should Respondent(s) carry the burden set forth in
paragraph 65, the delay at issue shall be deemed not to be a
violation of the affected obligation9' of this Consent Order. '
XXI. REIMBURSEMENT OF PAST COSTS
fNote that.the Agency cannot compromise past costs unless the
consent order is also issued under 5122 (h)(l), and the
requirements of S122(h)(l) are also met, i.e., prior written* .
approval of the Attorney General is obtained if the total past
and projected response costs exceed $500,000," excluding
interest.] ' ; ' ' ' * - -
72. Within is' days of the effective date of this Order,
Respondent(s) shall remit a certified or cashiers check to EPA in
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Annotated OSWER Directive Number 9835.3-2A
the amount of $ , as previously demanded in the RI/FS special
Notice Letter dated , together with interest that has
accrued thereon at the rate of interest specified for the
Hazardous Substances Superfund under CERCLA section 107(a), for
all past response costs incurred by the United States in its
[e.g., conduct of the removal action) at the site from
[date] to _ [date].
73. Checks should be made payable to the Hazardous
Substances Superfund and should include the name of the site, the
site Identification number, the operable unit, if any, the
Regional Lock Box Number account number and the title of this
Order. Checks should be forwarded to;
U.S. Environmental Protection Agency
Superfund Accounting
[insert Regional Lock Box]
74. A copy of the check should be sent simultaneously to
the EPA Project Coordinator.
XXII. REIMBURSEMENt1 OF RESPONSE AND OVERSIGfff COSTg
75. Following the issuance of this Consent Order, EPA shall
submit to the Respondent(s) on a periodic basis an accounting of
all response costs including oversight costs incurred by the U.S.
Government with respect to this RI/FS. Response costs may
include, but are not limited to, costs incurred by the U.S.
Government in overseeing Respondent(s)' Implementation of the
requirements of this order and activities performed by the
government as part of the RI/FS and community relations,
including any costs incurred while obtaining access. Costs shall
include all direct and indirect costs, including, but not limited
to, time and travel costs of EPA personnel and associated
indirect costs, contractor costs, cooperative agreement costs,
compliance monitoring, including the collection and analysis of
split samples, inspection of RI/FS activities, site visits,
discussions regarding'disputes that may arise.as a result of this
Consent order, review and approval or disapproval of reports,
costs of performing the baseline risk assessment, and costs of
redoing any of Respondent(s)* tasks. Any necessary summaries,
including, but not limited to EPA's certified Agency Financial
Management System summary data (SPUR Reports), or such other
summary as certified by EPA, shall serve as basis for payment
demands.
76. Respondent(s) shall, within 30 days of receipt of each
accounting, remit a certified or cashier's check for the amount
of those costs. Interest shall accrue from the later of: the
date payment of a specified amount is demanded in writing; or the
23
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' Annotated OSWER Directive Number 9835.3-2A
date of the expenditure. The interest rate is the rate of
interest on investments for-the Hazardous Substances Superfund,in
section 107(a) of CERCLA. . .,--..
* - - . ^ ,
77. Checks should be made payable to.the Hazardous -
Substances Superfund and should include the name of the site, the
site identification number, the account number and the title of
this Order. Checks should be forwarded to:
' *
U.S. Environmental Protection.Agency / ,
.': superfund Accounting
[insert Regional Lock Box] . - ,
78. Copies of the transmittal letter and check should be
sent simultaneously to the EPA Project Coordinator.
79. Respondent(s) agrees to limit any disputes concerning
costs to accounting errors and the inclusion of costs outside the
scope of this Consent Order. Respondent(s) shall identify any
contested costs and the basis of its objection. All undisputed
costs shall be remitted by Respondent(s) in accordance with the
schedule set forth above. Disputed costs shall be paid by
Respondent(s) into an escrow account while the dispute is
pending,. Respondent(s) bears the burden of establishing an EPA
accounting error or the inclusion of costs.- outside the scope of
this Consent' Order. ' - '.-:.- t
XXIII. RESERVATION^ OF RIGHTS AND REIMBURSEMENT OF OTHER COSTS
80. 'EPA reserves** the right to bring an action against the
Respondent(s) under section 107 'of CERCLA for recovery of all
response costs including oversight costs, incurred by the United
States at the site that are not reimbursed by the Respondent(s),
any costs incurred in the event that EPA performs the RI/FS or
any part thereof, and any future costs incurred by the United
States in connection with response activities conducted under
CERCLA at this site;'''-'- ' * - ''.'-
81. EPA reserves the right to bring an action against . t
Respondent(s) to enforce the past costs and response and
oversight* cost reimbursement requirements of, this Consent Order,
to collect stipulated penalties assessed pursuant to section
XViii of this consent Order, and to seek penalties pursuant to
section 109 Of CERCLA, 42 U.S.C. §9609. ,
.82. Except as expressly provided in this Order, each party
reserves all rights and defenses it may have. Nothing in this
Consent .Order shall affect EPA's removal authority or EPA's
response or enforcement authorities including, but not limited
' * ' .,,;!
24
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Annotated OSWER Directive Number 9835.3-2A
to, the right to seek injunctive relief, stipulated penalties,
statutory penalties, and/or punitive damages.
83. Following satisfaction of the requirements of this
Consent Order, Respondent(s) shall have resolved its liability to
EPA for the work performed by Respondent(s) pursuant to this
Consent Order. Respondent(s) is not released from liability, if
any, for any response actions taken beyond the scope of this
Order regarding removals, other operable units, remedial
design/remedial action of this operable unit, or activities
arising pursuant to section 121(c) of CERCLA.
XXIV. MS2LAJM1B
84. By signing this Consent Order and taking actions under
this Order, the Respondent(s) does not necessarily agree with
EPA's Findings of Fact and Conclusions of Law. Furthermore, the
participation of the Respondent(s) in this Order shall not be
considered an admission of liability and is not admissible in
evidence against the Respondent(s) in any judicial or
administrative proceeding other than a proceeding by the United
States, including EPA, to enforce this Consent Order or a
judgment relating to it. Respondent(s) retains its rights to
assert claims against other potentially responsible parties at
the site. However, the Respondent(s) agrees not to contest the
validity or terms of this Order, or the procedures underlying or
relating to it in any action brought by the United States,
including EPA, to enforce its terms.
XXV. Of HER CLAIMS
85. In entering into this order, Respondent(s) waives any
right to seek reimbursement under section 106(b) of CERCLA.
Respondent also waives any right to present a claim under section
111 or 112 of CERCLA. This Order does not constitute any
decision on preauthorization of funds under section 111(a)(2) of
CERCLA. Respondent(s) further waives all other statutory and
common law claims against EFA, including, but not limited to,
contribution and counterclaims, relating to or arising out of
conduct of the RI/FS.
86. Nothing in this Order shall constitute or be construed
as a release from any claim, cause of action or demand in law or
equity against any person, firm, partnership, subsidiary or
corporation not a signatory to this Consent Order for any
liability it may have arising out of or relating in any way to
the generation, storage, treatment, handling, transportation,
release, or disposal of any hazardous substances, pollutants, or
contaminants found at, taken to, or taken from the site.
25
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Annotated OSWER Directive Number 9835. 3~2A
87. Respondent (s) shall bear its own costs and attorneys
fees, _ *'-
XXVI. FINAHCIAL ASSURJINCE. INSURANCE. ^AND IHDEMlfJFICATION
88. Respondent (s) shall establish and maintain a financial
instrument or trust account or other financial mechanism
acceptable to EPA, funded sufficiently to perform the work and
any other obligations required under this Consent Order,
including a margin for cost overruns, within 15 days after the
effective date of this Consent Order, Respondent (s) shall fund
the financial instrument or trust account sufficiently to perform
the vork required under this Consent Order projected for the
period beginning vith the effective date of the Order through
_ . Beginning _ , and on or before the 15th calendar
day of each calendar year quarter thereafter, -Respondent (s) shall
fund the financial instrument or trust account sufficiently to
perform the work and other activities required under this Order
projected for the succeeding calendar year quarter.
89. If at- any time the net worth of the financial
instrument or trust account is insufficient to perform the vork
and other obligations under the Order for the upcoming quarter,
Respondent (s) shall provide written notice to EPA within 7 days
after the net worth of the financial instrument or trust account
becomes insufficient. The written notice shall describe why the
financial instrument or trust account is funded insufficiently
and explain what actions have been or will be taken to fund the
financial instrument or trust account adequately.
90. (a) Prior to commencement of any work under this
Order, Respondent (s) shall secure, and shall maintain in force
for the duration of this Order, and for two years after the ,
completion of all activities required by this Consent Order,
Comprehensive General Liability ("CGL") and automobile insurance,
with limits of S _ million dollars, combined single limit,
naming as insured the United States. The CGL insurance shall
include Contractual Liability Insurance in the amount of $ _
per occurrence, and Umbrella Liability Insurance in the amount of
$2 .million per occurrence.
(b) Respondent (s) shall also secure, and maintain in
force for the duration of this Order and for two years after the
completion of all activities required by this consent Order the
following:: .
.- i. Professional Errors and Omissions Insurance in
the amount of $1,000,000.00 per occurrence.
26
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Annotated OSWER Directive Number 9835.3-2A
ii. Pollution Liability Insurance in the amount of
$1,000,000.00 per occurrence, covering as
appropriate both general liability and
professional liability arising from pollution
conditions.
(c) For the duration of this Order, Respondent(s)
shall satisfy, or shall ensure that their contractors or
subcontractors satisfy, all applicable lavs and regulations
regarding the provision of employer's liability insurance and
workmen's compensation insurance for all persons performing work
on behalf of the Respondent(s), in furtherance of this Order.
(d) if Respondent(s) demonstrates by evidence
satisfactory to EPA that any contractor or subcontractor
maintains insurance equivalent to that described above, or
insurance covering the same risks but in a lesser amount, then
with respect to that contractor or subcontractor Respondent(s)
need provide only that portion of the insurance described above
which is not maintained by the contractor or subcontractor. .
(e) Prior to commencement of any work under this
Order, and annually thereafter on the anniversary of the
effective date of this Order, Respondent(s) shall provide to EPA
certificates of such insurance and a copy of each insurance
policy.
91. At least 7 days prior to commencing any work under this
Consent Order, Respondent(s) shall certify to EPA that the
required insurance has been obtained by that contractor.
92. The Respondent(s) agrees to indemnify and hold the
United States Government, its agencies, departments, agents, and
employees harmless from any and all claims or causes of action
arising from or on account of acts or omissions of Respondent(s),
its employees, agents, servants, receivers, successors, or
assignees, or any persons including, but not limited to, firms,
corporations, subsidiaries and contractors, in carrying out
activities under this Consent Order. The United States
Government or any agency or authorized representative thereof
shall not be held as a party to any contract entered into by
Respondent(s) in carrying out activities under this Consent
Order.
XXVII. EFFECTIVE DATE AND SUBSEQUENT MODIFICATION
93. The effective date of this Consent Order shall be the
date it is signed by EPA.
27
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i--"". , . Annotated OSWER Directive Number 9835.3-2A
; 94. This Consent Order may be amended by mutual agreement
of EPA and Respondent(s). Amendments shall be in writing and
shall be effective when signed by EPA. EPA Project Coordinators
do not have the authority to sign amendments to the Consent
Order. ' " -" /
95. No informal advice, guidance, suggestions, or comments
by EPA regarding reports, plans, specifications, schedules, and
any other writing submitted by the Respondent(s) will be
construed as relieving the Respondent(s) of its obligation to
obtain such formal approval as may be required by this Order.
Any deliverables, plans,--technical memoranda, reports1 (other than
progress reports), specifications, schedules and attachments
required by this Consent Order are,, upon approval by EPA,
incorporated into this Order.
XXVIII." TERMIKATyOK AKp SATISFACTION
96. This Consent Order shall terminate!when the
Respondent(s) demonstrates in writing and certifies to the
satisfaction of EPA that all activities required under this" *
Consent Order,.including any additional work, payment of past
costs, response and oversight costs, and any stipulated penalties
demanded by EPA, have been performed and EPA lias approved the
certification. This notices shall not,'"however, terminate
Respondent (s)« obligation to comply with Sections XVI,' XXI, and
XXII of this consent Order. ;
> ,...''
97. The certification shall be signed by a responsible
official'.representing each Respondent 1 Each representative 'shall
make the following attestation: WI certify that the information
contained.in or accompanying this certification, is true,
accurate, and complete." For,, purposes of this Consent Order, a
responsible official is a corporate official who'is in charge-of
a principal .business function.'', "..'','.';..
DATE:
( Re spondent ( s ) ) Title
BY; - / '"''' "-'' ' _ ' -' '" DATE:
Regional Administrator [or oelegatee]
U.S. Environmental Protection Agency
i.
28
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MODEL STATEMENT OF WORK FOR A
REMEDIAL INVESTIGATION AND FEASIBILITY STUDY
CONDUCTED BY POTENTIALLY RESPONSIBLE PARTIES
INSTRUCTIONS
This model statement of work (SOW) was developed to provide
potentially responsible parties (PRPs) direction in performing
the tasks that are required to successfully complete a remedial
investigation/feasibility study (RI/FS) A SOW for a PRP-lead
RI/FS must be used in conjunction with the Office of Emergency
and Remedial Response's October 1988 Guidance for Conducting
Remedial Investigations and Feasibility Studies- Under CERCLA
(hereafter referred to as the RI/FS Guidance) and [should be
used] with the Office of Waste Programs Enforcement's
[forthcoming] Guidance on Oversight of Potentially Responsible
Party Remedial Investigations and Feasibility Studies. The
organization of this model SOW is according to the tasks that
must be performed during a PRP-conducted RI/FS. These tasks
includei
Task 1 Scoping;
Task 2 Community Relations?
Task 3 Site Characteristics;
[Task 4 Baseline Risk Assessment;]
Task 4 Treatability Studies;
Task 5 Development & Screening of Remedial
Alternatives;
Task 6 Detailed Analysis of Remedial Alternatives.
This model SOW is written on the general approach that a PRP
RI/FS is commenced pursuant to an Administrative Order on Consent
(AOC) with an attached SOW, and that the PRPs perform work and
submit deliverables to EPA. Depending on site circumstances and
the relationship to PRPs, it may be necessary to modify this
management approach. Moreover, because the work required to
perform a RI/FS is dependent on a site's complexity and the
amount of available information, it may be necessary to modify
the components of this model SOW in order to tailor the tasks to
the specific conditions at a site. Similarly, the level of
detail within the model SOW will, vary according to the site. The
Regions have discretion to develop a site-specific SOW that
follows this model SOW, including portions of the work to be
performed by EPA, technical provisions, deliverables and
approvals. [An example of an alteration to this model sow may
include the PRP's responsibilities concerning the baseline risk
assessment. Because the baseline risk assessment serves as a
primary means for supporting enforcement decisions at most
sites,] EPA, however, will perform the baseline risk assessment,
and no baseline risk assessment deliverables will be required of
PRPs. While not preferred as a general approach, at some sites
EPA may develop itself, or in negotiations, a work plan rather
than a SOW and then enter into an AOC.
-------
, , ,, ii Annotated SOW (9835.8A)
When special notice for a RI/FS is issued, at most sites a
draft SOW should be attached as an addendum to a draft AOC.
Prior to the issuance of special notice, EPA, generally with
.contractor assistance, will determine both the objectives of the
RI/FS and a general approach for managing the site. Determining
, the site objectives/and a general site strategy will be required
regardless of whether an administrative order is signed with the
PRPs or the RI/FS is Fund-financed. " r .
*_ . . , '..: .- . . .- _.--.-. :-..,-. . - . XV;
r V The site 'objectives'.should' specify'the purpose of any 's
activities to be conducted at-.the site/ including any interim
actions that may be necessary, as well as the .objectives of the
required remedial actions (e.g., the preliminary remediation
goals; PROS). These objectives should specify the potential ,
contaminants and media of concern, the likely exposure pathways
and receptors, and an acceptable contaminant -level or range of
levels for each' exposure route. The'site'objective's are
developed and based on existing site information, contaminant-
specific ARARs, when available, and risk related factors.
The site management strategy is developed once the
objectives have been, established and identifies the study
boundary areas and the optimal sequence of site activities,
including whether .the site may best be remedied as separate
operable units'.*** The general management approach should include:
identifying,,the .types of actions that may be required to address
site problems, identifying any interim actions that are necessary
to mitigate.potential threats or prevent .further environmental
degradation, and 'determining the .optimal 'sequence of activities
to be conducted at the site. Also included in the site . ,.
.management strategy, should be the decision as to whether the RI
"will serve as'a continuation of the PRP search'. This would be
appropriate at sites such as area wide groundwater contamination
or stream contamination where all of the sources of contamination
are not yet well defined. "V. "'-,,.
The deliverables described in this, model; SOW fall under one
i. of three management categories.! Under »the first category,.
deliverables must be approved by EPA before work can either begin
or continue. This includes the work plan and"the site sampling
and analysis plan, "similarly, EPA approval of the [final risk
assessment], RI report, treatability studies and FS is the
vgeneral approach. , Under the second category, EPA may exercise an
"option, in drafting the site-specific"SOW, to either comment on
or review and approve the deliverables. Review and approval of
. deliverables under this second category will be based on the
particular circumstances of the.site or practices of the Regional
office. This category will include most of the deliverables that
are described in this model SOW, such as technical memoranda and
reports. *A middle ground is .to allow work in these areas to
proceed without resubmittal and approval so long as the changes
required by EPA are fully reflected in subsequent deliverables.
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iii Annotated SOW (9835.8A)
This approach of commenting strikes a balance between excessive
approval and. dispute resolution of numerous interim activities by
PRPs, which cumulatively results in a lengthy RI/FS, and review
at the end of the six major components of the RI/FS, which could
result in months of unacceptable work not detected until late in
the process. It also assures focus on the major deliverables.
In addition, consistent with the RI/FS guidance, some work is
simultaneously done. Under the third category, deliverables do
not require comment from EPA. This category includes PRP
progress reports. A summary of the major deliverables under
categories one and two, as outlined in this model SOW, is
included in the document.
Interim deliverables in addition to those required by the
RI/FS Guidance are described in this model SOW. These
deliverables are appropriate because of the different
relationships and interactions, between a Fund-lead and PRP-lead
RI/FS. Review of these deliverables will help to assure EPA that
the work being performed meets the terms and conditions of the
AOC. Those deliverables other than what are required by the
RI/FS Guidance that are described within this model SOW may not
be necessary or appropriate for all sites. Similarly,
deliverables other than what are described in this model SOW may
be more appropriate for a particular site. The deliverables
determined to be appropriate for a particular site should be
approved by EPA management and must be specified in the AOC. The
timing of the RI/FS and available oversight resources should be
considered prior to determining the appropriate deliverables.
Offices within the Region other than Superfund which will concur
or comment on PRP deliverables should be consulted during the
scoping process.
The Remedial Project Manager (RPM) should assure good
communications with the PRPs. This includes meetings to discuss
EPA's expectations before major phases of work are begun and to
review the conclusions of major components of the RI/FS. In
addition, the RPM should assure that EPA management is informed
and has input on major components of the RI/FS. While this
varies from site to site, management review usually is
appropriate at scoping, final review of the work plan, before
final comments are submitted on the RI, before EPA finalizes the
baseline risk assessment, and as the FS is finally developed.
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Annotated SOW (9835.8A)
i SUMMARY OF MAJOR DELIVERABLES , ,
;-. (AS OUTLINED IN THIS MODEL SOW FOR PRP-CONDUCTED RI/FS)
TASK/DELIVERABLE
TASK 1
SCOPING,
RI/FS Work Plan
Sampling and .
Analysis Plan (SAP)
Site Health and . .
Safety Plan
MANAGEMENT CATEGORY
(1) Review and Approve
(l) Review and Approve
(2)},-. Review and Comment
TASK 3 SITE CHARACTERIZATION .
» ' » .» " * * *
-.-' .*.- , Technical-,Memorandum
.- / » on. Modeling of Site . .
. Characteristics (where
; : ' appropriate) :
( ';";~;- 'Preliminary Site*'. .-, ,
Characterization .
c ' Summary . »
. - . -; - Draft Remedial ; :; T
Investigation* (RI) '.-.*
.. -.- . . Report_ _ ' - .. .
[Task 4 - Baseline Risk Assessment];
TASK .4 ..-.-. TREATABILITY -STUDIES ;.- - ,
- Technical Memorandum
Identifying ~
. - , Candidate
. - - _ - Technologies-, .- .-
- Treatability Testing
.-..'... . Statement of Work ',
Jt-_s /- Treatability; Testing
.* Work Plan (or amendment
,~". ,- ..«. - to/original).
(2) \, Review and Approve
(2) Review and .Comment
:(1) Review;and Approve
(2) Review and Approve
i, . " - ' * *
- * - 1 ' - ^ * ' ,*
(2) Review and-Comment
(1) Review and Approve
See the Model RI/FS Administrative Order on Consent
(AOC) for additional reporting requirements, and
further instructions on submittal and dispositions of
deliverables.
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v Annotated SOW (983S.8A)
v*
- Treatability Study (1) Review and Approve
SAP (or amendment to
original)
Treatability Study (2) Review and Comment
Site Health and
Safety Plan (or
amendment to original)
Treatability Study (1) Review and Approve
Evaluation Report
TASK 5 DEVELOPMENT AND SCREENING OF REMEDIAL ALTERNATIVES
Technical Memorandum (2) Review and Approve
Documenting Revised
Remedial Action
Objectives ;
- Technical Memorandum (2) Review and Approve
on Remedial
Technologies,*
Alternatives and
Screening
TASK 6 DETAILED ANALYSIS OF REMEDIAL ALTERNATIVES
Technical Memorandum (2) Review and Approve
Summarizing Results of
Comparative Analysis of
Alternatives
Draft Feasibility (1) Review and Approve
Study (FS) Report
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MODEL STATEMENT OF WORK FOR PEP-CONDUCTED
"' REMEDIAL INVESTIGATIONS AND FEASIBILITY STUDIES
INTRODUCTION , , , " , .
" 1 ,
^ The purpose of this remedial investigation/feasibility study
(RI/FS) is to investigate the nature and extent of contamination
at a site, [assess the potential risk to human health and the
environment,] and develop and evaluate .potential remedial
alternatives. The RI and FS are interactive and may be conducted
concurrently so that the data collected in the RI influences the
development of remedial alternatives in the FS, which in turn
affects the data needs and the scope of treatability studies.
The respondent will conduct this RI/FS (except for the
. baseline risk assessment component) and will-.produce a draft RI
and FS report that are in accordance,with this statement of work,
the Guidance for Conducting Remedial Investigations and
Feasibility Studies Under CERCLA (U.S. ,EPA, Office of Emergency
-and Remedial Response, October 1988), and any other guidances
that EPA uses in conducting a RI/FS (a list of the primary
guidances is attached), as well as any additional requirements in
the administrative order. The RI/FS Guidance describes the
report format and the required report content. The respondent
will furnish all necessary personnel, materials, and services
needed, or incidental to, performing the RI/FS, except as
otherwise specified in the administrative order.
At the completion of the RI/FS, EPA will be responsible for
the selection of a site remedy and will document this selection
in a Record of Decision (ROD). The remedial action alternative
selected by- EPA will meet the cleanup standards specified in
CERCLA Section 121. That is, ;the selected-remedial action will
be protective of human health and the environment, will be in
compliance with, or include a waiver of, applicable or relevant
and appropriate requirements of other laws, will be cost-
effective, will utilize permanent solutions and alternative
treatment technologies or resource recovery technologies, to the
maximum extent practicable, and will address the statutory
preference for treatment as a principal element. The final RI/FS
report, as adopted by IPA, and EPA's baseline risk assessment
will, with the administrative record, form the basis for the
selection of the site's remedy and will provide the information
necessary to support the development of the ROD.
As specified in CERCLA Section 104(a)(1), as amended by
SARA, EPA will provide oversight of the respondent's activities
throughout the RI/FS. The respondent will support EPA's
initiation and conduct of activities related to the
implementation of oversight activities.
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2 Annotated SOW (9835.8A)
TASK 1 - SCOPING (RI/FS Guidance, Chapter 2)
Scoping is the initial planning process of the RI/FS and is
initiated by EPA prior to issuing special notice. During this
time, the site-specific objectives of the RI/FS, including the
preliminary remediation goals (PRGs), are determined by EPA.
Scoping is therefore initiated prior to negotiations
between the PRPs and EPA, and is continued, repeated as
necessary, and refined throughout the RI/FS process. In addition
to developing the site specific objectives of the RI/FS, EPA will
determine a general management approach for the site. Consistent
with the general.management approach, the specific project scope
will be planned by the respondent and.EPA. The respondent will
document the specific project scope in a work plan. Because the
work required to perform a RI/FS is not fully known at the onset,
and is phased in accordance with a site's complexity and the
amount of available information, it may be necessary to modify
the work plan during the RI/FS to satisfy the objectives of the
study.
The site objectives for the site
located in the State of have been determined
preliminarily, based on available information, to be the
following:
The strategy for-the general management of the_
site will include the following:
When scoping the specific aspects of a project, the
respondent must meet with EPA to discuss all project planning
decisions and special concerns associated with the site. The
following activities shall be performed by the respondent as a
function of the project planning process.
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:'>-. 3 Annotated SOW (9835.8A)
a. Site Background~(2.2) ,' t
The respondent will gather and analyze the existing site
background information and will conduct a site visit to assist in
planning the scope-of the RI/FS. --,-«,
Collect and -analyze, existing data and document the need for
additional data.(2.2.2; 2.2.6; 2.2.7)
* , ' '« **" .. «*
Before planning RI/FS activities, all existing site data
will be thoroughly compiled .and reviewed by the respondent.
'- Specifically, this will include presently available data
relating to the varieties and quantities of hazardous
substances at the site, and past disposal practices. "This
will also include results from any previous sampling events
that may have been conducted. The respondent will refer to
Table 2-1 of-:the RI/FS Guidance for a comprehensive list of
. . ' data collection information .sources. This information will
be utilized in determining additional data needed to
characterize the site, better define potential applicable or
relevant and .appropriate requirements (ARARs) , and "develop a
range of preliminarily identified remedial alternatives.
Data Quality Objectives (DQOs) will be established subject
to 1PA approval which specify the usefulness of existing
data. Decisions on the necessary data and DQOs will be made
by IFA.
Conduct Site ₯isit
The respondent will conduct a site visit during the project
scoping phase to assist in developing a conceptual
understanding of sources and areas of contamination as well
as potential exposure pathways and receptors at the site.
During the site visit the respondent should observe the
site's physiography, hydrology, geology, and demographics,
., as well as natural resource, ecological and cultural
features. This information will be utilized to better scope
the project and to determine the extent of additional data
necessary to characterize the site, better define potential
ARARs, and narrow the range of preliminarily identified
remedial alternatives.
b. Project Planning (2.2)
Once the respondent has collected and analyzed existing data
and conducted a site visit, the specific project scope will be
planned. Project planning activities include those tasks
described below as well as identifying data needs,-developing a
work plan, designing a data collection program, and identifying
health and safety protocols. The respondent will meet with EPA
regarding the following activities and before the drafting of the
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4 Annotated SOW (9835.8A)
scoping deliverables below. These tasks are described in Section
c. of this task since they result in the development of specific
required deliverables.
Refine and document preliminary remedial action objectives
and alternatives (2.2.3)
Once existing site information has been analyzed and an
understanding of the potential site risks has been
determined by EPA, the respondent will review and, if
necessary, refine the remedial action objectives that have
been identified by EPA for each actually or potentially
contaminated medium. The revised remedial action objectives
will be documented in a technical memorandum and subject to
EPA approval. The respondent will then identify a
preliminary range of broadly defined potential remedial
action alternatives and associated technologies. The range
of potential alternatives should encompass where
appropriate, alternatives in which treatment significantly
reduces the toxicity, mobility, or volume of the waste;
alternatives that involve containment with little or no
treatment; and a no-action alternative.
Document the need for treatability studies (2.2.4)
If remedial actions involving treatment have been identified
by the respondent or EPA, treatability studies will be
required except where the respondent can demonstrate to
IPA's satisfaction that they are not needed. Where
treatability studies are needed, initial treatability
testing activities (such as research and study design) will
be planned to occur concurrently with site characterization
activities (see Tasks 3 and 5).
Begin preliminary identification of Potential ARARs (2.2.5)
The respondent will conduct a preliminary identification of
potential state and federal ARARs (chemical-specific,
location-specific and action-specific) to assist in the
- refinement of remedial action objectives, and the initial
identification of remedial alternatives and ARARs associated
with particular actions. .ARAR identification will continue
as site conditions, contaminants, and remedial action
alternatives are better defined.
c. Scoping Deliverables (2.3)
At the conclusion of the project planning phase, the
respondent will submit a RI/FS work plan, a sampling and analysis
plan, and a site health and safety plan. The RI/FS work plan and
sampling and analysis plan must be reviewed and approved by EPA
prior to the initiation of field activities.
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5 Annotated SOW (9835.8A)
RI/FS Work Plan (2.3.1) /
r h
"''»-* -. . . ,' jl
A work plan documenting the decisions and evaluations/
completed during the scoping process will be submitted to
EPA for review and approval. The work plan should be
developed in conjunction with the.sampling and analysis plan
and the site health and safety plan, although each plan may
be delivered under separate cover. The work plan will
include a comprehensive description of the work tobe
'performed, including the methodologies to be utilized, as
well as a corresponding *schedule for completion. . In
addition/ the work plan must include the rationale for
performing the required activities. Specifically, the work
plan will present a statement of the problem(s) and
potential problem(s) posed by the site and the objectives of
the RI/FS. Furthermore, the plan will include a site
background summary setting forth the site description
including the geographic location of the site, and.to the
extent possible, a description of the site's physiography,
hydrology, geology, demographics, ecological, cultural and
-natural resource features; a synopsis of the site history
and a description of previous responses that have been
conducted at the site by local, state, federal, or private
parties; a summary of the existing data in terms of physical
and chemical characteristics of the contaminants identified,
and their distribution among the environmental media at the
site. The plan will recognize EPA's preparation of the
baseline risk assessment. In addition, the plan will
include a description of the site management strategy
developed, by EPA during scoping; a preliminary
.identification of remedial alternatives and data needs for
evaluation of remedial alternatives. The .plan will reflect
coordination with treatability study requirements (see Tasks
1 and 4), It will include a process for and manner of
identifying Federal and state ARARs (chemical-specific,
location-specific and action-specific).
Finally, the major part of the work plan is a detailed
description of the tasks to be performed, information needed
for each task and for EPA's,baseline risk assessment,
information to be produced during and at the conclusion of
each task, and a description of the work products that will
be submitted to EPA. This includes the deliverables set
forth in the remainder of this statement of work; a schedule
for each of the required activities which is consistent with
the RI/FS guidance; and a project management plan, including
a data management plan (e.g., requirements for project
management systems and software, minimum data requirements,
data format and backup data management), monthly reports to
EPA and meetings and presentations to EPA at the conclusion
of each major phase of the RI/FS. The respondent will refer
to Appendix B of the RI/FS Guidance for a comprehensive
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6 Annotated SOW (9835.8A)
description of the contents of the required work plan.
Because of the unknown nature of the site and iterative
nature of the RI/FS, additional data requirements and
analyses may be identified throughout the process. The
respondent will submit a technical memorandum documenting
the need for additional data, and identifying the DQOs
whenever such requirements are identified. In any event,
the respondent is responsible for fulfilling additional data
and analysis needs identified by EPA consistent with the
general scope and objectives of this RI/FS.
Sampling .and .Analysis P,la.iL (2.3.2)
The respondent will prepare a sampling and analysis plan
(SAP) to ensure that sample collection and analytical
activities are conducted in accordance with technically
acceptable protocols and that the data meet DQOs. The SAP
provides a mechanism for planning field activities and
consists of a field sampling plan (FSP) and a quality
assurance project plan -(QAPP).
The FSP will define in detail the sampling and data-
gathering methods that will be used on the project. It will
include sampling objectives, sample location and frequency,
sampling equipment and procedures, and sample handling and
analysis. The QAPP will describe the project objectives and
organization, functional activities, and quality assurance
and quality control (QA/QC) protocols that will be used to
achieve the desired DQOs. The DQOs will at a minimum
reflect use of analytic methods to identifying contamination
and remediating contamination consistent with the levels for
remedial action objectives identified in the proposed
National Contingency Plan, pages 51425-26 and 51433
(December 21, 1988). In addition, the QAPP will address
sampling procedures, sample custody, analytical procedures,
and data reduction, validation, reporting and personnel
qualifications. Field personnel should be available for EPA
QA/QC training and orientation where applicable. The
respondent will demonstrate, in advance to EPA's
satisfaction, that each laboratory it may use is qualified
to conduct the proposed work. This includes use of methods
and analytical protocols for the chemicals of concern in the
media of interest within detection and quantification limits
consistent with both QA/QC procedures and DQOs approved in
the QAPP for the site by EPA. The laboratory must have and
follow an approved QA program. If a laboratory not in the
Contract Laboratory Program (CLP) is selected, methods
consistent with CLP methods that would be used at this site
for the purposes proposed and QA/QC procedures approved by
EPA will be used. If the laboratory is not in the CLP
program, a laboratory QA program must be submitted for EPA
review and approval. EPA may require that the respondent
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.....'.- 7 Annotated SOW (9835.8A)
submit detailed information to demonstrate that the
laboratory is qualified to conduct the work, including
information on personnel qualifications, equipment and
material specifications. The respondent.will provide
assurances that EPA has access, to laboratory personnel,
, ^equipment and records for sample collection, transportation
, and_analysis. . . .» -.-..-.
' '-^ . ..- . .' . . . -
Site Health and Safety Plan (2.3.3)
A health and safety plan will be prepared in conformance
with the respondent's health and safety program, and in
compliance with OSHA regulations and protocols. The health
and; safety plan will include the 11 elements described in
i the RI/FS .Guidance, such as a health and*safety.risk
'.analysis, a description of monitoring and personal
-.,.- protective equipment, medical monitor ing,,-and site control.
It .should be noted that EPA does not ?approve"__the
respondent"s/health and safety plan, but rather EPA reviews
it to ensure that all necessary elements are.included, and
that the plan provides for the protection of human health
and the environment. . . * .. . .. v >."
TASK 2v- COMMUNITY-RELATIONS L- ... ' '." '
/.-'..- . ' " - .:- , i.r». "
The development andrlimplementation of community ^relations
activities are the responsibility of EPA. The critical, community
relations planning steps performed by IPA include-conducting
community interviews and developing a community relations plan.
Although implementation of the community relationsnplan is the
responsibility of EPA, the respondent may assist by providing
information regarding the site's history, participating in public
meetings, or by preparing fact sheets for distribution.to the
general public.' Two or more baseline risk assessment memoranda
will be.prepared by EPA which will summarize the toxicity
assessment and exposure assessment components of the baseline
risk assessment. EPA will make these memoranda available to all
interested parties for comment and place them in the*
Administrative Record. (EPA is not required, however, to formally
respond to. significant,commenta except during the formal public
..comment period on the proposed plan.} In addition, the
respondent may .-establish a. community information repository, at
jOr near the "site, to house one copy of the.administrative record.
The extent of PRP involvement- in community;relations activities
is left to the discretion of. EPA. The respondents' community
relations > responsibilities,,. if any,-are specified in "the
community relations plan. .All PRP-conducted community relations
activities will be subject to oversight by EPA..
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8 Annotated SOW (9835.8A)
TASK 3 - SITE CHARACTERIZATION (RI/FS Guidance, Chapter 3)
As part of the RI, the respondent will perform the
activities described in this task, including the preparation of a
site characterization summary and a RI report. The overall
objective of site characterization is to describe areas of a site
that nay pose a threat to human health or the environment. This
is accomplished by first determining a site's physiography,
geology, and hydrology. Surface and subsurface pathways of
migration will be defined. The respondent will identify the
sources of contamination and define the nature, extent, and
volume of the sources of contamination, including their physical
and chemical constituents as well as their concentrations at
incremental locations to background in the affected media. The
respondent will also investigate the extent of migration of this
contamination as well as its volume and any changes in its
physical or chemical characteristics§ to provide for a
comprehensive understanding of the nature and extent of
contamination at the site. Using, this information, contaminant
fate and transport is then determined and projected.
During this phase of the, RI/FS, the work plan, SAP, and
health and safety plan are implemented. Field data are collected
and analyzed to provide the information required to accomplish
the objectives of the study. The respondent will notify EPA at
least two weeks in advance of the field work regarding the
planned dates for field activities, including ecological field
surveys, field lay out of the.sampling grid, excavation,
installation of wells, initiating sampling, installation and
calibration of equipment, pump tests, and initiation of analysis
and other field investigation activities. The respondent will
demonstrate that the laboratory and type of laboratory analyses
that will be utilized during'site characterization meets the
specific QA/QC requirements and the DQOs of the site
investigation as specified in the SAP. In view of the unknown
site conditions, activities are often iterative, and to satisfy
the objectives of the RI/FS it may be necessary for the
respondent to supplement the work specified in the initial work
plan. In addition to the deliverables below,.the respondent will
provideia monthly progress report and participate in meetings at
major points in the RI/FS. .
a. Field Investigation (3.2)
The.field investigation includes the gathering of data to
define'-site physical and biological characteristics, sources of
contamination, and the nature and extent of contamination at the
site. These activities will be performed by the respondent in
accordance with the work plan and SAP. At a minimum, this shall
address the following:
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- .-.': 9 Annotated SOW (9835.8A)
~Implement and document field''support activities -(3.2.1)',
The. respondent:will initiate field support activities
following approval of the work plan and SAP.* Field -support
i' activities,may include obtaining access>to the site,
" scheduling, and procuring equipment, office space,*,
laboratory services, and/or contractors. -The respondent
.-will notify. EPA at least: two weeks .prior -to initiating^ field
:; support activities so that.EPA.may,adequately.schedule
oversight tasks; The;respondent will also;notify EPA-in
-'writing upon completion of field support activities. _^/
Investigate and define site physical and biological ;.. -.
, characteristics (3.2.2) ,. _v, . ' < . :: '.. - : I . -.; I
,;\! The; respondent,.will collect data^on the physical and
biological characteristics of the site and its.surrounding
areas including the physiography,- geology,- and hydrology,
. , and specific physical characteristics:'identified in the work
plan. uThis. information will^be ascertained-..through a .
combination of physical measurements, observations, and
:..« samplingrefforts and will be utilized to^define potential
< -transport pathways and human,and ecological receptor *-
. n populations ^ In defining the: site1,s-physical .
I characteristics the respondent will also obtain sufficient
, engineering data (such as.pumping characteristics) for the
projection of contaminant fate->andat incremental
* '.d.: depths on a sampling grid.: The physical,characteristics and
chemical constituents and their* concentrations will be
\; determined for a11,'known and-discovered sources *of
/.' ., r . contamination. The respondent shall .conduct sufficient
;,_ . ;: ' .sampling to define the boundaries .of \the contaminant'sources
to the level established in the«QA/QC?Splan"and.^DQOs. =i
Defining the source of contamination*will include analyzing
the potential for contaminant release (e.g., long term
r>:: «. leaching from soil'), contaminant ^mobility and persistence,
> T<-. and characteristics'important for evaluating remedial
. : {actions,..including information to assess treatment. .
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10 Annotated SOW (9835.8A)
ethe nature and extent of contamination (3.2.4)
The respondent will gather information to describe the
nature and extent of contamination as a final step during
the field investigation. To describe the nature and extent
of contamination, the respondent will utilize the
information on site physical and biological characteristics
and sources of contamination to give a preliminary estimate
of the contaminants that may have migrated. The respondent;
will then implement an iterative monitoring program and any
study program identified in the work plan or SAP such that
by using analytical techniques sufficient to detect and
quantify the concentration of contaminants, the migration of
contaminants through the various media at the site can be
determined.. In addition, the respondent will gather data for
calculations of contaminant fate and transport. This
process is continued until the area and depth of
contamination are known to the level of contamination
established in the QA/QC plan and DQOs. EPA vill use the
information on the nature and extent of contamination to
determine the level of risk presented by the site.
Respondents will use this information to help to determine
aspects of the appropriate remedial action alternatives to
be evaluated. .
b. Data Analyses (3,4)
Evaluate sJLte, characteristics (3.4.1)
The respondent will analyze and evaluate the data to
describe: (l) site physical and biological characteristics,
(2) contaminant source characteristics, (3) nature and
extent of contamination and (4) contaminant fate and
transport. Results of the site physical characteristics,
source characteristics, and extent of contamination analyses
are utilized in the analysis of contaminant fate and
transport. The .evaluation will include the actual and
potential magnitude of releases from the sources, and
horizontal and vertical spread of contamination as well as
- mobility and persistence of contaminants. Where modeling is
appropriate, such models shall be identified to EPA in a
technical memorandum prior to their use. All data and
programming, including any proprietary programs, shall be
made available to IPA together with a sensitivity analysis.
The Rl data shall be presented in m. format (i.e., computer
disc or equivalent) to facilitate EPA's preparation of the
baseline risk assessment., The Respondent shall agree to
discuss and then collect any data gaps identified by the EPA
that la needed to complete the baseline risk assessment.
(See "Guidance for Data Useability in Risk Assessment -
OSWER Directive # 9285.7-05 - October 1990.) Also, this
evaluation shall provide any information relevant to site
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: t H * r-^T-v' . 11 Annotated SOW (9835.8A)
(:,'characteristics necessary for*, evaluation "of the ."need for
remedial action in the baseline risk assessment and for the
-. development .and 'evaluation of remedial alternatives.
," Analyses of data: collected for site characterization will
meet the DQOs developed in the QA/QC plan stated in the SAP
(or revised-during the-RI).'--r '--- -. '
c'.T- Data Management ..Procedures, (3,*5J . . :- . ,.
The respondent will consistently document the quality and
validity of field 'and"laboratory data compiled during'the RI.
iv'. Oocuragnt jfjle,Id'act!vities (3'. 5. l)"- ': '-''."
.- .' Information gathered during site characterization will be
consistently documented and adequately recorded by the
respondent Tin well maintained field logs and laboratory
reports." The method(s) of documentation*must be specified
in the work plan arid/or the SAP. Field logs must be
"« '"utilized'to-document" observations/measurements, and
significant 'events that have occurred during field
. activitiesi Laboratory reports must document sample
." custody, analytical responsibility; analytical results,
adherence to prescribed protocols, nonconformity events,
corrective measures, and/or data deficiencies.
Maintain sample management,and tracking (3.5.2; 3.5.3}
The respondent will maintain field reports, sample shipment
records,, analytical results,' and QA/QC reports to ensure
. that only validated analytical data are. reported and
-utilized in*the development and evaluation of remedial
alternativesi; Analytical results developed under the work
- . plan will not* be included *in any site characterization
reports^unless accompanied by- or-cross-referenced to a
corresponding QA/QC report. -In addition, the respondent
. will establish-a data security system to safeguard chain-of
custody' -f orms^and other" prb j ect records - :to prevent"' loss,
'- damage, or alteration of project'documentation. >
d. i Site Characterization Deliverables ^(3.7) ^ x. '.
' . i, » . «. ' ' i . j.Ji ''.'.!,'*.
The respondent.will prepare the preliminary 'site f
characterization'summary and [once the baseline risk assessment
(Task 4) is complete,] the remedial investigation report.
Preliminary Site Characterization ^Summary (3'.'7.2) '"
After completing field sampling 'and analysis, the respondent
-will prepare a concise:siteI characterization summary. This
: summary will review the investigative activities that have
--1: taken place, and describe and display site data documenting
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12 Annotated SOW (9835.8A)
the location and characteristics of surface and subsurface
features and contamination at the site including the
affected medium, location, types, physical state,
concentration of contaminants and quantity. In addition,
the location, dimensions, physical condition and varying
concentrations of each contaminant throughout-each source
and the extent of contaminant migration through each of the
affected media will be documented. The site
characterization summary, will provide EPA with a preliminary
reference for developing the risk assessment, and evaluating
the development and screening of'remedial alternatives and
the refinement and identification of ARARs.
Remedial investigation fRI) Report (3.7.3)
-The respondent will prepare and submit a draft RI report to
EPA for review and approval.[ after completion of the
baseline risk assessment (see Task 4).] .This report shall
summarize results of field activities to characterize the
site, sources of contamination, nature and extent of
contamination and the fate and transport of contaminants.
The respondent will refer to the RI/FS Guidance for an
outline of the report format and contents. Following
comment by EPA, the respondent will prepare a final RI
report which satisfactorily addresses EPA's comments.
TASK 4 - TREATABILITY STUDIES (Rl/FS Manual, Chapter 5)
Treatability testing will be performed by the respondent to
assist in the detailed analysis of alternatives. In addition, if
applicable, testing results and operating conditions will be used
in the detailed design of the selected remedial technology. The
following activities ,will be performed by the, respondent.,
a. Determination of Candidate Technologies and of the Need for
Testing (5.2; 5.4)
The respondent will identify in a technical memorandum,
subject to EPA review and approval, candidate technologies for a
treatability studies program during project planning (Task 1).
The listing of candidate technologies will cover the range of
^technologies required for alternatives analysis (Task 6 a.) The
specific data requirements for the testing program will be
determined and refined during site characterization and the
development and screening of remedial alternatives (Tasks 2 and
6, respectively).
Conduct literature survey and determine the need for
treatabilitv testing (5.2)
The respondent will conduct a literature survey to gather
information on performance, relative costs, applicability.
to?-
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~-~ 13 Annotated SOW (9835.8A)
removal efficiencies/ operation"and maintenance (O&M)
requirements, and implement ability of .candidate .
technologies. :if practical candidate technologies have not
been sufficiently demonstrated, or cannot be adequately
evaluated for this site on the basis of available
information, treatability-testing will be conducted. Where
^it is determined by EPA that treatability testing .is
required/' and unless "the.'respondent "'can-demonstrate to EPA's
satisfaction that they-are not needed, the^respondent will
submit a statement of-work to EPA outlining the steps and
"'.data' necessary -to-evaluate -and initiate .'-the treatability
testing program.-''1 '-'-+ '-v.* , . 1 . -». .*' -rr- v-..:..,
Evaluate treatabi 1'itv studies'.'(5.4V ' '. ','..V; -- -,T-. "
'- " " Once- a» decision has been'made "to perform treatability
-studies, "the. respondent and EPA will decide on the type of
* treatability(testing to use (e.g.>bench versus pilot).
" - Because of the time required to design, fabricate, and
install'pilot scale equipment as well as perform testing for
* 'various operating'conditions, the decision to perform pilot
- >testing should be made as early in the process as possible
''to minimize potential delays of the FS;*- To assure that a
^treatability testing program is completed on time,'and with
accurate;results, the respondentwill either submit a
separate treatability testing work plan or an amendment to
the-original site work plan for EPA review and approval.'
b.* Treatability Testing and Deliverables (5.5j"I'5.~6'j -378)
The deliverables that are required, -in addition to the
'memorandum'identifying candidate technologies, where treatability
testing is conducted include a work plan, a sampling and analysis
plan, and a final treatability evaluation report. EPA may also
require a treatability study-health and safety{plan, where
appropriate. : - - '"
' ^'Treatability^testlnc?'work plan {5.5) -' ^:'"
' ;' -.. , .'....,,... ' i . - . > ; i,-'. .--....' -:r,
, The respondent will "-prepare a'"treatability tes'ting work plan
T:" or amendment to the 'original site work plan' for 1PA 'review
; ~ '. and approval'describing the site "background, remedial »'
technology(ies) to be tested, test objectives, experimental
'< procedures," treatability-conditions to be tested, '' -
1 ^ measurements of performance, analytical methods, data
management and analysis, health and safety, arid residual
waste management. The DQOs for treatability testing should
"be documented-as. well. If. pilot scale ;tr eat ability testing
is to be performed, the pilot -:scale -work plan will-describe
pilot plant installation and start-up, pilot plant operation
fa' ; and maintenance procedures, -operating conditions to be
r- --tested, a sampling plan to determine pilot plant
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14 Annotated SOW (9835.8A)
performance, and a detailed health and safety plan. If
testing is to be performed off-site, permitting requirements
will be addressed.
Treatabilitv study SAP (5,5)
If the original QAPP or FSF is not adequate for defining the
activities to be-performed during the treatability tests, a
separate treatability study SAP or amendment to the original
site SAP will be prepared by the respondent for EPA review
and approval. Task 1, Item c. of this statement of work
provides additional information on the requirements of the
SAP.
Treatability study health and safety plan (5.5)
If the original health and safety plan is not adequate for
defining the activities to be performed during the treatment
tests, a separate or amended health and safety plan will be
developed by the respondent. Task 1, Item c. of this
statement of work provides additional information on the
requirements of the health and safety plan. EPA does not
"approve" the treatability study health and safety plan.
Treatability study evaluation report (5.6)
Following completion of treatability testing, the respondent
will analyze and interpret the testing results in a
technical report to EPA. Depending on the sequence of
activities, this report may be a part of the RI/FS report or
a separate deliverable. The rep'ort will evaluate each
technology's effectiveness, implementability, cost and
actual results as compared with predicted results. The
report will also evaluate full scale application of the
technology, including a sensitivity analysis identifying the
key parameters affecting full-scale operation.
TASK 5 - DEVELOPMENT AND SCREENING OF Remedial Alternatives
(Rl/FS Manual, Chapter 4)
The development and screening of remedial alternatives is
performed to develop an appropriate range of waste management
options that will be evaluated. This range of alternatives
should include as appropriate, options in which treatment is used
to reduce the toxicity, mobility, or volume of wastes, but
varying in the types of treatment, the amount treated, and the
manner in which long-term residuals or untreated wastes are
managed; options involving containment with little or no
treatment; options involving both treatment and containment; and
a no-action alternative. The following activities will be
performed by the respondent as a function of the development and
screening of remedial alternatives.
tO1-!
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-,,,,- , 15 Annotated SOW (9835.8A)
a. Development and Screening of Remedial Alternatives (4.2)
The respondent will begin to develop and evaluate a range of
appropriate waste management options that at a minimum ensure
protection of human health and the environment, concurrent with
the RI site characterization task.
Refine and'docuiaent^reaiediaj. action objectives (4.2.1)
Based on EPA's baseline risk Assessment, the respondent will
review and if necessary modify the site-specific remedial
action objectives, specifically the 'PRGs', that were
established by EPA prior to or during negotiations between
1PA and the respondent. The revised PRGs will be documented
in a technical memorandum that will be reviewed and approved
by EPA. These modified PRGs will specify the contaminants
and media of interest, exposure pathways and receptors, and
an acceptable contaminant level or range of levels (at
particular locations for each exposure route).
.*'" . . V , » . .-v*' . *> '.'. i'" ' f . '
, Develop generalresponse actions (4.2.2) ,.
.- . i .... -..' ..« -'; ;j
The respondent,will develop:general response actions for
each medium of interest defining containment, treatment,
excavation, pumping, or other-actions, singly,or in
combination, to satisfy the remedial action objectives.
Identify areas or volumes of media. (.4.2.3)'.
1 ~ . '* ~ . ~ *
The respondent will identify areas or volumes of media to
which general response actions may apply, taking into
account, requirements for protectiveness as identified in the
remedial action objectives. The chemical and physical
characterization of the site will also be taken into
account . ' . , ''".
~ t- " *
Identify^ screen. and document remedial technologies (4.2.4;
4.2.5)
The respondent will identify and evaluate technologies
applicable to each general response action to eliminate
, those that cannot be implemented at the site. General
-response actions will be refined to specify remedial
technology types. Technology process options for each of
the technology types will be identified either concurrent
with the identification of technology types, or following
. the screening of the considered technology types. Process
options will be evaluated on the basis.of effectiveness,,
-, implementability, and cost factors to select, and retain,one
or, if necessary, more representative processes .for - each ,
technology type. The technology types, and process options
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16 Annotated SOW (9835.8A)
will be summarized for inclusion in a technical memorandum.
The reasons for eliminating alternatives must be specified.
Assemble and document alternatives (4.2.6)
The respondent will assemble selected representative
technologies into alternatives for each affected medium or
operable unit. Together, all of the alternatives will
represent a range of treatment and containment combinations
that will address either the site or the operable unit as a
whole. A summary of the assembled alternatives and their
related action-specific ARARs will be prepared by the
respondent for inclusion in a technical memorandum. The
reasons for eliminating alternatives during the preliminary
screening process must be specified.
Refine alternatives
The respondent will refine the remedial alternatives to
identify contaminant volume addressed by the proposed
process and sizing of critical unit operations as necessary.
Sufficient information will be collected for an adequate
comparison of alternatives. PRGs for each chemical in each
medium will also be modified as necessary to incorporate any
new risk assessment information presented in EPA's baseline
risk assessment report. Additionally, action-specific ARARs
will be updated as the remedial alternatives are refined.
Conduct and document screening evaluation of each
alternative (4.3)
The respondent may perform a final screening process based
on short and long term aspects of effectiveness,
implementability, and relative cost. Generally, this
screening process is only necessary when there are many
feasible alternatives available for detailed analysis. If
necessary, the screening of alternatives will be conducted
to assure that only the alternatives with the most favorable
composite evaluation of all factors are retained for further
analysis. As appropriate, the screening will preserve the
range of treatment and containment alternatives that was
initially developed. The range of remaining alternatives
will include options that use treatment technologies and
permanent solutions to the maximum extent practicable. The
respondent will prepare a technical memorandum summarizing
the results and reasoning employed in screening, arraying
alternatives that remain after screening, and identifying
the action-specific ARARs for the alternatives that remain
after screening.
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:.»'-".-' ' . 17 Annotated SOW (9835.8A)
b. Alternatives Development and Screening Delivcrables (4.5)
The respondent will prepare a technical memorandum
summarizing the work performed in and the results of each task
above, including an alternatives array summary* These will be
modified by the respondent if required by EPA's comments to
assure identification of a complete and appropriate range of
viable alternatives to be considered in the detailed analysis.
This deliverable will document the methods, rationale, and
results of the alternatives screening process.
TASK 6 - DETAILED ANALYSIS OF REMEDIAL ALTERNATIVES (RI/FS
Guidance, Chapter 6)
The detailed analysis.will be conducted by the respondent to
provide EFA with the information needed to allow for the
selection of a site remedy. This analysis is the final task to
be performed by the respondent during the FS.
»."'' ". f
a. Detailed Analysis of Alternatives (6.2)
The respondent will conduct a .detailed analysis of
alternatives which will consist of an analysis of each option
against a set of nine evaluation criteria and a comparative
analysis of all options using the same evaluation criteria as a
basis for comparison. ' '. '
Apply nine criteria and document._analysis (6.2.1 - 6.2.4)
The respondent will apply nine evaluation criteria to the
assembled remedial alternatives to ensure that the selected
remedial alternative will be .protective of human health and
the environment; will be in compliance with, or include a
waiver of,. ARARs; will be cost-effective; will utilize
permanent solutions and alternative treatment technologies,
or resource recovery technologies, to the maximum extent
practicable; and will address the statutory preference for
treatment as a principal element. The evaluation criteria
include: (1) overall protection of human health and the
environment; (2) compliance with ARARs; (3) long-term
effectiveness and permanence; (4) reduction of toxicity,
mobility; or volume; (5) short-term effectiveness; (6)
implementability; (7) cost; (8) state (or support agency)
acceptance; and (9) community acceptance. (Note: criteria 8
and 9 are considered after the RI/FS .report has been
released to the general public.) For each alternative the
respondent should provide: (1) a description of the
alternative that outlines the waste management strategy
involved and identifies the key ARARs associated with each
alternative, and (2) a discussion of the individual
criterion assessment. If the respondent does not have
direct input on,criteria (8) state (or support agency)
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18 Annotated SOW (9835.8A)
acceptance and (9) community acceptance, these will be
addressed by EPA.
Compare alternatives against each other and document the
comparj.spn of alternatives (6.2.5; 6.2.6)
The respondent will perform a comparative analysis between
the remedial alternatives. That is, each alternative will
be compared against the others using the evaluation criteria
as a basis of comparison. Identification and selection of
the preferred alternative are reserved by EPA. The
respondent will prepare a technical memorandum summarizing
the results of the comparative analysis.
b. Detailed Analysis Deliverables (6.5)
In addition to the technical memorandum summarizing the
results of the comparative analysis, the respondent will submit a
draft FS report to EPA for review and approval. Once EPA's
comments have been addressed1 by the respondent to EPA's
satisfaction, the final FS report may be bound with the final RI
report.
Feasibility study report (6.5)
The respondent will prepare a draft FS report for EPA review and
comment. This report, as ultimately adopted or amended by EPA,
provides a basis for remedy selection by EPA and documents the
development and analysis of remedial alternatives. The
respondent will refer to the RI/FS Guidance for an outline of the
report format and the required report content. The respondent
will prepare a final FS report which satisfactorily addresses
EPA's comments.
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..:.>. '.;.-.. 19 Annotated SOW (9835.8A)
*. r :.' .... REFERENCES FOR CITATION . : -r-.
The following list, although not comprehensive, comprises
many of. the* regulations and .guidance documents that apply to the
RI/FS process: - vt. . ~ _._; _ *.._/,. -. .
f The (revised) National Contingency Plan . '
"Guidance' for .Conducting Remedial.Investigations and Feasibility
Studies Under CERCLA," U.S. EPA, Office of Emergency and Remedial
Response, October 1988, OSWER Directive No,;9355.3-01.
"Interim Guidance on'Potentially Responsible Party Participation
in Remedial Investigation and Feasibility Studies," U.S. 1PA,
Office of Waste Programs 'Enforcement, Appendix A to OSWER >:
Directive No. 9355.3-01.
* -' . ,- * ,. - *
*, - A, .. J ' ' *.. _ * . /
> "Guidance on Oversight of Potentially Responsible Party Remedial
Investigations and Feasibility Studies," U.S. EPA, Office of
Waste Programs'Enforcement, OSWER Directive No. 9835.3
:;..- ....*.*. ' J , - - -~ < ' -"
"A Compendium of Superfund Field operations Methods," Two
Volumes, U.S. EPA,.Office of Emergency and Remedial Response,
EPA/540/P-87/001a, August 1987, ,QSWER Directivejlo. 9355.0-14.
't«EPA NEIC Policies"and Procedures
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20 Annotated SOW (9835.8A)
"Guidance on Remedial Actions for Contaminated Ground Water at
Superfund Sites," U.S. EPA, Office of Emergency and Remedial
Response, (draft), OSWER Directive No. 9283.1-2.
"Draft Guidance on preparing Superfund Decision Documents,11 U.S.
EPA, Office of Emergency and Remedial Response, March 1988, OSWER
Directive No. 9355.3-02
"Risk Assessment Guidance for Superfund - Volume I Human Health
Evaluation Manual (Part A},1' December 1989, EPA/540/1-89/002
"Risk Assessment Guidance for Superfund * volume ZZ
Environmental Evaluation Manual," Karen 1989, EPA/540/1-89/001
"Guidance for Data Useability in Risk Assessment," October, 1990,
EPA/540/G-90/OOB
"Performance of Risk Assessments in Remedial Znvestigation
/Feasibility studies (Rl/FSs) conducted by Potentially
Responsible Parties (PRPs)," August 28, 1990, OSWER Directive Mo.
9835.IS.
"Role of the Baseline Risk Assessment in Superfund Remedy
selection Decisions," April 22, 1991, OSWER Directive Mo. 9355.0-
30.
"Health and Safety Requirements of Employees Employed in Field
Activities," U.S. EPA, Office of Emergency and Remedial Response,
July 12, 1981, EPA Order No. 1440.2,
OSHA Regulations in 29 CFR 1910.120 (Federal Register 45654,
December 19, 1986).
"Interim Guidance on Administrative Records for Selection of
CERCLA Response Actions," U.S. EPA, Office of Waste Programs
Enforcement, March i, 1989, OSWER Directive No. 9833.3A.
"Community Relations in Superfund: A Handbook," U.S. EPA, Office
of Emergency and Remedial Response, June 1988, OSWER Directive
No. 9230.0#3B.
"Community Relations During Enforcement Activities And
Development of the Administrative Record," U.S. EPA, Office of
Programs Enforcement, November 1988, OSWER Directive No.
9836.0-lA.
f/0
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