United States Office of Administration EPA 100-B-00-002
Environmental Protection Mail Code: 3204R December 2000
Agency	
Guidelines for
Acquiring
and Transferring EPA
Real Property and
Complying with the
Community
Environmental
Response Facilitation
Act (CERFA)
oEPA

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EDDP Guidelines
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TABLE OF CONTENTS
1.	INTRODUCTION	1
PURPOSE 	1
APPLICABILITY 	1
BACKGROUND	1
ENVIRONMENTAL REQUIREMENTS	3
2.	PROPERTY TRANSFER ISSUES AND ACTIVITIES	7
DESCRIPTION	7
EQUIPMENT DEACTIVATION AND DECOMMISSIONING	7
Deactivation	7
Decommissioning 	8
SURVEILLANCE AND MONITORING	8
REMOVAL OF CHEMICALS AND HAZARDOUS MATERIALS	10
PERMIT/LICENSE TRANSFER OR TERMINATION	11
RCRA Applicability	11
PERSONAL PROPERTY AND SURPLUS EQUIPMENT	14
BUILDING RESTORATION AND IMPROVEMENTS 	14
ENVIRONMENTAL DUE DILIGENCE PROCESS	14
3.	OVERVIEW OF THE EDDP 	17
OBJECTIVES 	17
PHASES 01 THE EDDP 	17
Phase I - Preliminary Survey and Site Investigation 	17
Phase II - Confirmatory Sampling	20
Phase III - Characterization Sampling, Cleanup, and Decontamination 	20
TYPES OF REAL PROPERTY TRANSFER	20
Acquisition	21
Termination or Closure 	21
Lease 	21
Transfer Within EPA	22
EXTENT OF THE EDDP 	22
ROLES AND RESPONSIBILITIES 	23
STAKEHOLDER INVOLVEMENT	24
FUNDING	25
4.	PHASE I - PRELIMINARY SURVEY AND SITE INVESTIGATION	27
DESCRIPTION	27
PLANNING AND SCHEDULING	28
PRE-EDDP PACKAGE	29
SITE INVESTIGATIONS	30
Primer on Environmental Issues 	30
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Pre-Investigation Activities	34
Conducting the Phase I Investigation	34
RECORDS SEARCH AND REVIEW 	35
Site Assessment Report and Neighboring Properties 	38
Site History - Ownership and Use	44
Hazardous Materials Usage, Releases, and Underground Storage Tanks	46
Environmental Permits	47
Environmental Surveys and Audit Reports	47
Hydrogeology and Geology	48
Groundwater Flow and Depth 	49
Wetlands 	50
Radioactive Materials 	51
PCBs 	51
Asbestos	52
Lead-Based Paint and Other Lead Sources 	52
Indoor Air	53
Laboratory Operations, Analyses, and Experiments 	53
PHASE I REPORT 	53
Report Development 	53
Report Review and Interpretation 	55
PHASE II and III COST ESTIMATING	55
Project Planning and Management 	56
Technical Scoping	57
Data Sheets	58
Data Analysis	58
Building a Conceptual Project Model 	58
Conclusions and Budget Development 	59
5. PHASE II - CONFIRMATORY SAMPLING	61
INTRODUCTION	61
PLANNING STEP	62
EPA's Roles and Responsibilities	63
Evaluating Findings and Recommendations 	63
Validating Cost Estimates 	64
Compliance with Environmental Requirements 	64
Data Quality Objectives and QA/QC Procedures 	64
Developing Technical and Programmatic Documents	65
Selecting Oversight and A&E Contractors 	65
Establishing Field Oversight Policies and Procedures	66
Assessing the Potential Impacts of Phase II EDDP Activities	67
Management and Disposition of IDW	67
Access to the Property	67
IMPLEMENTATION STEP 	67
Reviewing Programmatic and Technical Documents 	68
Oversight and Management of Field Work	69
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Reviewing and Evaluating Sampling Results and Developing Findings and
Recommendations 	70
Conducting Periodic Meetings	70
CLOSEOUT STEP 	71
Developing the Phase II EDDP Report 	71
Revising the Phase III Independent Cost Estimates	72
Shipping the IDW Off Site	72
Discussing the Results of the Phase II	73
6. PHASE III - CHARACTERIZATION, CLEANUP & DECONTAMINATION	77
INTRODUCTION	77
PLANNING STEP	77
Establishing EPA's Roles and Responsibilities	78
Reviewing and Validating Phase II Findings and Conclusions	78
Conducting Meetings	79
Reviewing and Validating Independent Cost Estimates 	79
Complying with Federal, State and Local Environmental Requirements 	79
Discussing DQO and QA/QC Procedures	80
Developing Technical Documents	80
Developing Field Oversight Policies and Protocols 	80
Assessing the Potential Impacts on Facility Operations and Physical Site Conditions . . 81
Management of EDDP-Generated Waste 	81
Ensuring Property Access 	81
IMPLEMENTATION STEP 	81
Approving Programmatic and Technical Documents 	82
Oversight and Management of Sampling and Remedial Actions 	83
Evaluating Sampling Results/Determining Goals and Methodologies 	84
Meetings with Involved Parties/Approaches for Cleanup and Decontamination 	85
Evaluating Results/Conformance and Compliance	85
Conducting Status Update Meetings 	86
CLOSEOUT STEP 	86
Developing the Phase III EDDP Report	86
Management of EDDP-Generated Waste 	87
Discussing Results of Phase III Activities	88
INDEPENDENT VALIDATION AND VERIFICATION 	88
PLANNING STEP	88
Establishing EPA's Roles and Responsibilities	89
Validating Phase III Findings and Conclusions	89
Conducting Meetings	89
Validating Independent Cost Estimates	90
Complying with Environmental Requirements	90
Discussing DQO and QA/QC Procedures	90
Developing Technical and Programmatic Documents	90
Developing Field Oversight Policies and Procedures 	91
IMPLEMENTATION STEP 	91
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Approving Programmatic and Technical Documents 	91
Oversight and Management of Field Work	92
Reviewing and Evaluating the Results of Phase III EDDP Activities	92
Evaluating the Results of IV&V Activities	93
CLOSEOUT STEP 	93
Developing the IV&V Report 	94
Management of Sampling Waste	94
Discussing IV&V Results 	94
7. CONCLUSION	99
GENERAL DISCI SSION	99
REVIEW 01 EPA's EDDP	99
OTHER PROPERTY TRANSFER-RELATED ISSUES AND ACTIVITIES	100
RECOMMENDATIONS	100
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EXHIBITS
Exhibit 1	Decision Tree: Determination of 40 CFR Part 373 Applicability
Exhibit 2	EDDP Activities and Transition Between Phases
Exhibit 3	Phase I EDDP Activities
Exhibit 4	Example of Obtaining Longitude from a USGS Map
Exhibit 5	Phase II and III Cost Estimating Methodology Approach
Exhibit 6	Sample WBS
Exhibit 7	Sample Cost Assembly
TABLES
Table 1
Phases of EDDP for Each Type of Property Transfer
Table 2
EDDP Roles and Responsibilities
Table 3
Records and Information Sources
Table 4
Phase I Report Outline
Table 5
Sample Phase II Report Outline
Table 6
Phase III Report Outline
Table 7
IV&V Report Outline
APPENDICES
Appendix A	List of Acronyms and Abbreviations
Appendix B	Definitions
Appendix C	Environmental Regulatory Overview
Appendix D	Copy of 40 CFR Part 373 and CERCLA Section 120(h)
Appendix E	Examples of EPA Laboratory and Facility Equipment or Operations that May
Require Deactivation and Decommissioning
Appendix F	Office of Administration Letter on Management Responsibility for Transferring
EPA Real Property
Appendix G	Qualifications for EDDP Personnel and Managers
Appendix H	Phase I EDDP Contractor Specifications
Appendix I	Pre-EDDP Questionnaire
Appendix J	United States Geological Survey Offices
Appendix K	Nuclear Regulatory Commission Regional Offices
Appendix L	EPA Toxic Substances Control Act Regional Offices
Appendix M	EPA Regional Asbestos Coordinator's Offices
Appendix N	Site Survey and Investigation Guidelines
Appendix O	UST/AST Questionnaire
Appendix P	Phase II and III EDDP Contractor Procurement Specifications
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1. INTRODUCTION
PURPOSE
The purpose of this guidance document is three-fold. First, it is to identify and familiarize U.S.
Environmental Protection Agency (EPA) personnel and staff with real property transfer
environmental requirements. Second, it is to eliminate or reduce EPA's environmental risk and
liabilities associated with real property transfer in the future. Third, it is to familiarize EPA
personnel and staff with EPA's environmental due diligence process (EDDP). A list of acronyms
and abbreviations used in this document is provided in Appendix A.
APPLICABILITY
The general guidelines set out in this document should be applied when acquiring, transferring,
or terminating EPA's interests in any real property. When terminating EPA's interest in real
property, the results of the EDDP shall be used to determine whether an environmental condition
notification to purchasers or recipients is required under federal, state, and local law. When
transferring property to third parties, the results of this process should be used to establish a
baseline environmental record of the property as a defense against future claims. This document
describes EPA's EDDP for closure of a laboratory, consolidation of laboratories, or termination
of EPA's interest in real property. The general process and principles may be applied to the
acquisition as well as the transfer (e.g., outlease, out-grant) of real property.
BACKGROUND
Real property, as defined in Title 41 of the Code of Federal Regulations (CFR) §101-47.103-12,
is:
"any interest in land, together with the improvements, structures, and
fixtures located thereon (includingprefabricated movable structures, such
as Butler-type storage warehouses and quonset huts, and housetrailers
with or without undercarriages), and appurtenances thereto, under the
control of any Federal agency, except:
•	The public domain;
•	Lands reserved or dedicatedfor national forest or national park
purposes;
•	Minerals in lands or portions of lands withdrawn or reserved from the
public domain which the Secretary of the Interior determines are
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suitable for disposition under the public law mining and mineral
leasing laws;
•	Lands withdrawn or reservedfrom the public domain but not
including lands or portions of lands so withdrawn or reserved which
the Secretary of the Interior, with concurrence of the of Administrator
of General Services, determines are not suitable for return to the
public domain for disposition under the general public land laws
because such lands are substantially changed in character by
improvements or otherwise; and
•	Crops when designated by such agency for disposition by severance
and removal from the land. "
Real property is also defined as:
"improvements of any kind, structures, andfixtures under the control of
any Federal agency when designated by such agency for disposition
without the underlying land (including such as may be located on the
public domain, or lands reserved or dedicatedfor national forest or
national park purposes, or on lands that are not owned by the United
States) excluding, however, prefabricated movable structures, such as
Butler-type storage warehouses and quonset huts, and housetrailers (with
or without undercarriages). "
Additionally, real property is defined as "standing timber and embedded gravel, sand, or stone
under the control of any Federal agency whether designated by such agency for disposition with
the land or by severance and removal from the land, excluding timber felled, and gravel, sand, or
stone excavated by or for the Government prior to disposition."
Within the federal government, real property transactions occur between multiple federal
agencies, a federal agency and a state or local municipality, or a federal agency and a private
organization. Real property transfer can mean an acquisition, termination or closure, or lease
agreement. As a result of the variation in the three types of property transfers and extensive legal
and fiscal liabilities, real property transfer is a complex and time-consuming process. To
familiarize the appropriate EPA personnel and staff with the EDDP, a list of relevant terms have
been compiled and defined in Appendix B.
There are a variety of activities involved in real property transfer, including communications with
internal and external organizations, negotiations of sales contracts or lease agreements,
evaluations of the environmental condition of the property, management of personal property and
surplus equipment, and numerous other activities. The emphasis of this document is on
evaluating the environmental condition of real property and taking the appropriate steps to
eliminate or minimize EPA's environmental risk or liability with that real property in the future.
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ENVIRONMENTAL REQUIREMENTS
Federal and state environmental regulations and statutes may apply to the real property transfer
process depending on the environmental condition of the property, past operations and practices,
chemicals and hazardous materials managed on-site, or waste generation and management
practices. Because of the diversity of EPA operations, the geographic locations of the Agency's
properties, the unique historical activities and operations at the sites and the fact that regulations
are constantly being revised and updated, a detailed discussion of all these requirements could not
be included in this guidance document. Refer to Appendix C for a comprehensive list and
description of federal environmental regulations that are relevant to the real property transfer
process. The regulations described in Appendix C and any updates should be reviewed by the
appropriate EPA personnel and staff before participating in the EDDP. Additionally, EPA
personnel and staff must be cognizant of the applicable state and local environmental regulations
to ensure compliance with them.
Two federal statutes are of particular importance because they directly relate to real property
transfer:
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) of
1980, as amended by the Community Environmental Response Facilitation Act (CERFA) in
1992
Federal Property and Administrative Services Act of 1949.
Section 120(h) of CERCLA, codified at 40 CFR Part 373, applies when federal facilities,
undergoing real property transfer, meet any of the following conditions:
The facility released CERCLA hazardous substances in quantities greater than or equal to the
CERCLA reportable quantity (RQ) under 40 CFR §302.4
The facility stored a CERCLA hazardous substance also listed as an acute hazardous waste in
40 CFR §261.30 for one year or more in quantities greater than or equal to 1 kilogram
The facility stored a hazardous substance for one year or more in quantities exceeding either
the RQ or 1,000 kg, whichever is greater.
Exhibit 1 provides a decision tree to assist EPA personnel and staff in determining whether 40
CFR Part 373 applies. Appendix D provides a copy of 40 CFR Part 373 and CERCLA Section
120(h).
Section 120(h) of CERCLA requires the head of a federal agency, department, or instrumentality
to provide a notice in the property sales contract. This notice must include the type and quantity
of hazardous substances stored on the property, the duration of such storage, and the dates of any
releases and subsequent disposal, if applicable.
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Federal agencies must also comply with the Federal Property and Administrative Services Act of
1949, codified at 41 CFR §§101.42 and 101.47. These regulations discuss the management of
hazardous materials, including asbestos, polychlorinated biphenyls (PCB), and lead-based paint
(LBP) during real property transfer.
To address these requirements, EPA developed a process known as the EDDP to eliminate or
minimize environmental liabilities associated with real property transfer. The EDDP incorporates
a three-phased approach that:
Identifies potential environmental contamination at the property
Verifies and quantifies the suspected areas of contamination and the environmental condition
of the property
Implements corrective measures to manage and mitigate the contamination before the property
is transferred.
An overview of this process is described in Section 3 of this document; and an in-depth discussion
of each EDDP phase is provided in Sections 4 through 6 of this document.
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Exhibit 1
Decision Tree: Determination of 40 CFR Part 373 Applicability
START
Real Property
transferred by or to
a Federal agency,
department, or
instrumentality of
the United States
Has the
facility had a
hazardous
substance
release greater
than or equal to
the CERCLA
RQ?
Has
the facility
stored
hazardous
substances
for one year
or more?
Is the
hazardous
substance listed as
an acute hazardous
waste in 40 CFR
§261.30 & stored in
quantities greater
than or equal
to 1 Kg?
Is the
hazardous
substance
stored in
quantities
greater than or
equal to 1,000
Kg?
Is the
CERCLA RQ
greater than
1,000 Kg?
Is the
hazardous
substance stored
in quantities
greater than or
equal to the
CERCLA
RQ?
40 CFR 373
does not apply
40 CFR 373 applies
and notification is
required
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2. PROPERTY TRANSFER ISSUES AND ACTIVITIES
DESCRIPTION
During the property transfer process, several activities must be performed by various EPA
organizations, including the Office of Administration (OA) and applicable program and regional
offices, to ensure real property is transferred legally, on time, and within budget. These activities
can be performed either independently or concurrently and include:
•	equipment deactivation and decommissioning
•	facility surveillance and monitoring
•	removal and management of chemicals and hazardous substances
•	permit/license transfer or termination
•	management of personal property and surplus equipment
•	building restoration and improvements
•	coordinating and facilitating the EDDP.
Although the requirements for coordinating and facilitating the EDDP are the main focus of this
guidance document, other property transfer activities are described in this chapter to inform
appropriate EPA personnel and staff of their potential roles and responsibilities, and the potential
impacts these activities may have on the EDDP.
EQUIPMENT DEACTIVATION AND DECOMMISSIONING
Equipment deactivation and decommissioning is an important part of property transfer within the
Agency. EPA's facilities and laboratories typically contain equipment that must be properly
managed through deactivation and decommissioning during the real property transfer process. A
description of these activities is provided in the following paragraphs.
Deactivation
During the real property transfer process, equipment must be deactivated. Deactivation is the
process of placing equipment in a safe and stable condition to minimize long-term costs of
surveillance and maintenance, while ensuring protection of workers and the environment.1
Activities involved in the process include the removal and management of liquids and lubricants,
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draining and de-energizing non-essential components, and removal and management of hazardous
materials.
Decommissioning
When deactivation is complete, the equipment must be decommissioned. Decommissioning
includes surveillance and maintenance, decontamination, and dismantlement, if appropriate.2 As
with deactivation, the safety and health of workers are the key objective for performing
decommissioning activities. A description of surveillance and maintenance, decontamination, and
dismantlement activities is provided below.
Surveillance and Maintenance - This activity is established to contain contamination, implement
physical safety and security controls, and maintain the equipment during the real property transfer
process. This process is designed to ensure protection of the workers, the public, and the
environment.3 These activities are typically performed in accordance with equipment operating
manuals.
Decontamination - This activity involves the removal or reduction of hazardous materials in a
safe and compliant manner through washing, heating, chemical or electrochemical action,
mechanical cleaning, use of best management practices, and/or implementation of American
Society for Testing and Materials (ASTM) Standards (D 5088-90, Decontamination of Field
Equipment Used at Nonradioactive Waste Sites and D 5608-94, Decontamination of Field
Equipment Used at Low-Level Radioactive Waste Sites)4 It is important to note that 40 CFR
§§261.7 and 265.114 may apply when managing hazardous waste generated from
decontamination activities.
Dismantlement - This activity involves the disassembly or demolition of the equipment,
including the proper management of all parts and materials generated in the process.5
Equipment deactivation and decommissioning can be conducted independently or concurrently
with the other property transfer activities. Additionally, these activities are usually performed and
funded by the responsible program or regional offices. Examples of equipment deactivation and
decommissioning are provided in Appendix E.
SURVEILLANCE AND MONITORING
Facility and property surveillance and monitoring must be performed during the real property
process to ensure the protection of workers, the public, and the environment. Facilities contain
various systems and structures, including boilers; heating, ventilation, and air conditioning
(HVAC) systems; generators; aboveground storage tanks (ASTs) and underground storage tanks
(USTs); sewage and stormwater pipes and connections; water supply; assorted electrical and
mechanical devices; fire alarms and fire-fighting equipment; and other fixtures. Additionally, the
property may include other structures and systems such as buildings, sheds, gas cylinders and
containers, air conditioners, generators, transformers, and other related items. As a result of these
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numerous systems and structures, surveillance and monitoring activities are required to ensure that
spills, releases, accidents, and legal liabilities are eliminated or minimized.
In some cases, there will be a period when the facility has been vacated, yet the real property
transfer activities have not been complete. During this period, continued surveillance and
monitoring activities may be necessary. An evaluation should be performed by the facility
manager to determine whether there exists a continued need for surveillance and monitoring at the
facility. If the evaluation results conclude that a thorough deactivation has been performed and no
safety and health hazards exist, or if the Phase I reveals no suspected areas of contamination,
surveillance and monitoring may not be necessary.
Surveillance and monitoring activities are identified during the evaluation, deactivation, or the
Phase I EDDP. These activities will continue until the real property transfer process is complete,
or until they are no longer necessary. Surveillance and monitoring includes routine maintenance
and inspection of the facility. This includes all related property with verified or suspected
environmental or safety hazards. The purpose of surveillance and monitoring facilities awaiting
Phase II or III EDDP activities is to:
•	Provide a mechanism for the identification of and compliance with environmental, safety,
health, and security requirements
•	Ensure adequate containment of contamination
•	Provide physical safety and security controls
•	Minimize potential hazards to the public and the environment
•	Maintain selected systems or equipment essential to closure activities, if economically
justified.
Surveillance and monitoring activities should be considered if any of the following conditions
exist at the EPA facility:
•	The lease, permit, or occupancy agreement has been or will be terminated
•	The facility has been or will be vacated, and is not occupied by EPA employees,
representatives, or contractors
•	The facility is not in a sufficiently safe and stable condition to be protective of workers, the
public, and the environment
•	EPA is responsible and liable for the conditions that remain at the property.
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Surveillance and monitoring should begin immediately after the need has been identified, and then
phased out as the real property transfer activities conclude. Any needed decontamination and
removal of equipment should be carried out during surveillance and monitoring activities.
The surveillance and monitoring approach, planning, and implementation should be
commensurate with EPA's interest in the real property, the specific conditions of the facility, and
the hazards present. If deactivation is comprehensive and thorough, leaving maintenance systems
safely shutdown, surveillance and monitoring activities may be minimal or unnecessary. A
general surveillance and monitoring approach should be developed for the Safety, Health and
Environmental Management Division (SHEMD) and the Facilities Management and Services
Division (FMSD) review and approval. The elements of the surveillance and monitoring
approach should include:
•	Assignment of responsibilities
•	Maintenance and inspection of the structures, systems, components, and equipment
•	Surveillance, preventive maintenance, and equipment calibration frequencies/schedules.
It is recommended that a log be maintained to document the surveillance and monitoring activities
performed on each structure or system. This information will be beneficial to the next
owner/operator of the facility or property.
Surveillance and monitoring can be performed independently or concurrently with other property
transfer activities. These activities are usually performed and funded by the responsible program
or regional offices.
REMOVAL OF CHEMICALS AND HAZARDOUS MATERIALS
EPA laboratories and facilities may have a substantial inventory of chemicals, hazardous
materials, and environmental samples and standards as a result of their laboratory research and
analysis operations, having related environmental, health, and safety issues. During real property
transfer, these chemicals and hazardous materials must continue to be properly managed in
accordance with EPA, Occupational Safety and Health Administration (OSHA), and state and
local regulations to ensure protection of human health and the environment.
To ensure proper management of these chemicals and hazardous materials, an inventory should be
created or obtained to identify their locations and the amount present on site. Any chemicals or
hazardous materials no longer required for operations should be transferred to another EPA
facility, given to a local university or high school, recycled, or properly disposed. Additionally, a
transition schedule should be developed and implemented to periodically remove and transfer the
chemicals and hazardous materials that are no longer required. Through careful management of
excess chemicals and hazardous materials early in the transition process, the owner can avoid
exceeding Resource Conservation and Recovery Act (RCRA) generator thresholds and disposal
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contractor limitations during the real property transfer process. The RCRA chapter of EPA's
Safety, Health, and Environmental Management Guidelines provides additional information on
managing hazardous waste.
As with the other property transfer activities, the removal of the chemicals and hazardous
materials can be done independently or concurrently with other operations. These activities are
usually performed and funded by the responsible program or regional office.
PERMIT/LICENSE TRANSFER OR TERMINATION
EPA laboratory and facility operations involve numerous environmental activities and
applications that usually require federal, state, or local permitting or licensing. Specifically, EPA
laboratories or facilities may require one or more of the following environmental permits to
conduct operations:
RCRA Part B treatment, storage, or disposal facility (TSDF) permit
UST installation notification and operating permit
•	National Pollutant Discharge Elimination System (NPDES) permit
Permit to discharge industrial waters or waste waters from an elementary neutralization tank to
a local publicly owned treatment works (POTW)
•	Clean Air Act (CAA) permit.
Additionally, EPA laboratories or facilities may possess a license with the Nuclear Regulatory
Commission (NRC) for the use and management of radionuclides.
EPA personnel and staff will need to acquire, transfer, or terminate these permits and licenses
when the real property transaction occurs. The program office responsible for operating and
managing the permit will need to work closely with the federal, state, local authorities, and other
agencies or organizations early in the process to ensure a smooth transition with the permits.
As with the other property transfer activities, the acquisition, transfer, or termination of permits
can be done independently or concurrently with other operations. These activities are usually
performed and funded by the responsible program or regional offices; therefore, the cost of the
subject permitting activities should be included in the budget requests for the appropriate fiscal
years.
RCRA Applicability
In general, facilities that treat, store, or dispose of hazardous waste are required to obtain a RCRA
permit. The permit defines the facility's operating parameters and the requirements of the permit
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applicant for the treatment, storage, or disposal activities conducted at the facility. RCRA
permitting of new hazardous waste management facilities (HWMFs) and transfer of RCRA
permits from existing HWMFs is often a lengthy, involved process.
In a few narrowly defined cases, a facility that would otherwise be treating, storing, or disposing
of hazardous waste is not required to obtain a RCRA permit. These specific cases are listed in 40
CFR §270.1(c)(2). The following exceptions from RCRA permitting requirements are those
particularly relevant to EPA personnel engaged in real property transfer:
•	Generators who accumulate hazardous waste on site for less than the time periods provided in
40 CFR §262.34
•	Owners and operators of totally enclosed treatment facilities as defined in Section 260.10
•	Owners and operators of elementary neutralization units or wastewater treatment units as
defined in 40 CFR §260.10
•	Persons adding absorbent material to hazardous waste in a container (as defined in 40 CFR
§260.10) and persons adding waste to absorbent material in a container (provided that these
actions occur at the time the waste is first placed in the container and comply with 40 CFR
§§264.17(b), 264.171, and 264.172)
•	Universal waste handlers and transporters managing wastes subject to regulation under 40
CFR Part 273
•	Owners and operators performing treatment or containment activities taken during immediate
response to the following situations:
-	a discharge of a hazardous waste
-	an imminent and substantial threat of a discharge of a hazardous waste
-	a discharge of a material which when discharged becomes a hazardous waste.
The permit exceptions listed in 40 CFR §270.1(c)(2) are conditional. For example, generators of
hazardous waste maintain permit-exempt status only if they accumulate waste in certain units for
limited time periods. In addition, state RCRA programs may be more stringent than the Federal
RCRA program and may involve additional conditions.
Closing facilities or transferring ownership of facilities that have RCRA permits may involve a
lengthy transition. Closure should be conducted in accordance with approved closure plans and
should include comprehensive decontamination and waste-removal operations. Considerations
during closure include:
•	Decontaminating and removing hazardous waste equipment, structures, and impacted
environmental debris and media (see Section 2 Equipment Deactivation and Decommissioning
in this document for more detail)
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•	Removing and handling all hazardous waste in accordance with approved closure plan and
generator duties
•	Transferring hazardous waste, soils, and debris off site to an appropriate TSDF using a
licensed hazardous waste transporter
•	Minimizing the need for long-term facility maintenance.
Transfer of a RCRA permit to a new owner or operator must be accomplished in accordance with
40 CFR §270.40. The transfer can occur only by submitting a permit modification request, or
when the permit is revoked or reissued by the permitting agency to include the new permittee and
additional permit conditions, if necessary. EPA personnel engaged in RCRA permit transfers
should work closely with their permitting agency and the new owner to ensure that EPA meets
any applicable ongoing financial assurance obligations, closure duties, or post-closure care
requirements.
Similar to facility closures and transfers, the process of obtaining RCRA permits for hazardous
waste management activities at new EPA facilities may be complex and lengthy. RCRA permits
are facility specific; these permits may not be transferred from one location to another (except in
rare cases). However, EPA personnel should be cognizant that in some cases the permitting
process may be streamlined by engaging the state or regional permitting agency early in the
transition process. Discussions with the permitting agency should be focused on several issues:
•	Availability of existing procedures and policies (if any) for streamlining the permitting process
in situations where EPA is transferring from one location to another
•	Changes (if any) that EPA will make to existing permit conditions at the new facility and
associated justifications for the change(s)
•	Demonstrated benefits to public health and the environment of changes to existing permit
conditions
•	The possibility of discussing substantive changes so that the permitting agency's concerns can
be addressed prior to a formal draft submittal.
To expedite the review process, EPA personnel should strive to make only those changes or
modifications to existing permit conditions that are absolutely necessary due to the move when
applying for RCRA permits at new facilities. Once the permit has been approved and operations
have commenced at the new facility, enhancements and improvements to the permit and facility
operation can be incorporated through permit modifications without disrupting operations. Where
changes are necessary to the existing permit conditions, EPA personnel should highlight or mark
these changes when submitting permit application information to the appropriate agencies. The
practice will significantly reduce the administrative and review burden on both EPA personnel
and permitting agencies.
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PERSONAL PROPERTY AND SURPLUS EQUIPMENT
Typically, real property owned or operated by the federal government includes numerous personal
properties and surplus equipment. Personal property, as defined in 41 CFR §101.43 means "any
property, except real property (as defined in 41 CFR §101.47 and 103.12), records of the Federal
Government, and naval vessels of the following categories: battleships, cruisers, aircraft carriers,
destroyers, and submarines." Surplus is something in excess of what is used or needed.6
Equipment is defined as the articles, implements, etc., used or needed for a specific purpose or
activity.7 Therefore, surplus equipment, as it relates to real property, means any excess article,
implement, etc., not required for further use by the federal government.
To ensure proper management of personal property and surplus equipment, an inventory should be
created, by the facility manager and program office or regional office representatives, to identify
the locations and amounts present on site. When the inventory is complete, the personal property
should be managed in accordance with EPA's Personal Property Management Policy Manual
(EPA Manual 4831, February 12, 1990). The surplus equipment should be removed from the
property, and transferred off site for future use elsewhere, or properly disposed.
As with the other property transfer activities, personal property and surplus equipment can be
managed independently or concurrently with other operations. Additionally, these activities are
usually performed and funded by the responsible program or regional offices.
BUILDING RESTORATION AND IMPROVEMENTS
During the property transfer process, buildings and facilities are evaluated to determine their
condition and integrity. Building and facility components are inspected, including the structural
integrity, electrical systems, exterior, plumbing, interior, basement, crawl space, and HVAC
equipment. Any discrepancies noted or potential areas of concern are brought to the attention of
the EDDP Project Manager and Real Estate Manager, program and regional offices, and facility
manager and SHEMP manager. Depending on the severity of the problem, building or facility
restoration or improvements may be required.
As with the other property transfer activities, the restoration or improvement of buildings can be
performed independently or concurrently with other operations. These activities may be
performed and funded by several EPA organizations, depending on the circumstances, and
building and facility conditions.
ENVIRONMENTAL DUE DILIGENCE PROCESS
The EDDP is the main focus of this guidance document. It is important for appropriate EPA
personnel and staff to have a thorough understanding of the entire process, from inception through
completion, in order to effectively and efficiently assess the environmental condition of EPA real
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property and perform corrective measures, if required. An overview of this process is provided in
the next section.
To avoid unnecessary delays, it is important to understand that the EDDP can be performed
independently or concurrently with the other real property transfer activities cited in this section.
The EDDP start date depends on the complexity of the facility or laboratory operations, the real
estate agreement, size of the property, number of facilities, and number of operating programs.
Professional judgement should be exercised when determining the appropriate start date for the
process. If feasible, the EDDP should commence at least one year prior to the anticipated
property transfer activity. Regardless of the start date, the EDDP is not final until EPA's
environmental liabilities or risk with the subject property is eliminated or minimized and the
Agency no longer has interest in the real property.
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3. OVERVIEW OF THE EDDP
OBJECTIVES
The focus of the EDDP is to identify, document, manage, and mitigate potential environmental
contamination associated with EPA's interest in real property. EPA's objectives include:
•	Performing EDDP activities in accordance with CERFA, 40 CFR Part 373, and the American
Society for Testing and Materials' (ASTM's) Environmental Site Assessment (ESA)
Standards
•	Ensuring that all EDDP requirements are addressed and identifying potential environmental
contamination
•	Establishing a consistent and defensible approach for addressing the necessary environmental
actions
•	Avoiding costly litigation and environmental remediation liability under CERCLA, RCRA, or
any other relevant statutes.
PHASES OF THE EDDP
EPA's EDDP includes three phases, which are shown in Exhibit 2 and discussed thoroughly in
Sections 4 through 6 of this document.
Phase I - Preliminary Survey and Site Investigation
Phase I is the most critical and important stage of the process because it serves as the foundation
for the other two phases. The primary focus of Phase I is to qualitatively characterize the site and
identify any suspected areas of environmental contamination that may require further investigation
or remediation. Phase I activities consist of:
•	Pre-EDDP planning and scheduling
•	Completing a site questionnaire
•	Conducting a records review
•	Performing an archival investigation
•	Performing a visual site inspection
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•	Conducting personal interviews
•	Compiling and evaluating data
•	Developing the Phase I report.
It requires cooperation and information from all parties involved in the process, including EPA,
General Services Administration (GSA), other government entities, state and local municipalities,
and contractors. All data gathered during this phase are documented in the Phase I report. Phase I
of the EDDP is discussed in more detail in Section 4 of this document.
Overview of the EDDP
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Phase II - Confirmatory Sampling
The information contained in the Phase I report is used to develop a strategy for Phase II.
Depending on the findings and recommendations described in the Phase I report, several activities
may be performed under Phase II. Typically, Phase II activities consist of three steps: planning,
implementation, and closeout. These steps are discussed in more detail in Section 5 of this
document.
Phase III - Characterization Sampling, Cleanup, and Decontamination
The Phase II report is used to analyze the potential contaminants of concern and develop a strategy
for Phase III. Typically, Phase III activities consist of three steps: planning, implementation, and
closeout. In addition, an independent validation and verification (IV&V) is conducted to ensure
Phase III activities are successful. These activities are discussed in more detail in Section 6 of this
document.
TYPES OF REAL PROPERTY TRANSFER
There are many types of property transfer scenarios which require unique approaches to the
EDDP. These scenarios may involve different parties as well as site-specific real property
transfers. The different parties involved in a transfer may include the following:
•	EPA program and/or regional offices
•	EPA and another federal agency (e.g., GSA)
•	EPA and a state or local government
•	EPA and a private or commercial organization.
For each type of property transfer — acquisition, termination or closure, or lease — the following
circumstances will also influence the scope of the EDDP:
•	Full occupancy of a building without use of the site grounds
•	Full occupancy of a building with use of the site grounds
•	Partial occupancy of a building without use of the site grounds
•	Partial occupancy of a building with use of the site grounds.
The type of real property transfer can dictate how many phases of the EDDP are performed. At a
minimum, Phase I EDDP activities will be conducted for all EPA real property acquisitions,
terminations or closures, and leases. Additionally, Phase I assessments may be conducted on
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internal property transfers within the Agency when the property is being transferred to different
program or regional offices. A discussion of each type of transfer is provided in the subsequent
paragraphs.
Acquisition
An acquisition is defined as the act of becoming the owner of certain real property.8 The
acquisition of real property is the most challenging of the three types of real property transfers
because the Agency must rely solely on external sources to obtain past and current information on
the site. It may also be a more expensive undertaking due to the extra effort required for data
collection, assimilation, and evaluation. Therefore, it is extremely important to conduct a
thorough and detailed records review and site investigation during the Phase I assessment.
During the acquisition process, Phase II EDDP activities may be needed to properly characterize
the environmental condition of the property; however, Phase III activities would be unlikely.
Generally, EPA would not acquire property found to be contaminated unless it was prepared to
pay for cleanup, or able to negotiate a reduced sale price adjusted for cleanup costs. If Phase II
EDDP activities are needed to confirm environmental contamination, EPA will need to evaluate
its options on whether to move forward with the acquisition process or pursue other parcels of
land. One of the determining factors will be costs of Phase II, and future potential environmental
liabilities associated with the subject property.
Termination or Closure
Termination or closure is defined as the transfer of real property control to another party.9 The
termination or closure of real property is the most prevalent form of real property transfer in the
federal government today. During the termination or closure process, the extent of EDDP
activities depends heavily on past and current operations at the site. At a minimum, Phase I
EDDP activities should always be performed. Depending on the results of Phase I, Phase II and
III EDDP activities may be required to reduce or minimize the environmental liabilities associated
with the real property.
Lease
During lease transactions, the Agency will exercise two types of lease options, execution or
termination. Lease execution is defined as initializing an action to rent real property to another
party.10 Lease termination is defined as the act of ending a lease rental from another party.11
Depending on the situation, EPA can serve in one of two roles for each of the two lease options.
The first situation depicts EPA in the role of the property owner or landlord, whereby tenants have
or are considering leasing the property from the Agency. In this scenario, EPA should maintain
documentation on the environmental condition of the property prior to the tenant occupying the
space. This information will serve as a useful baseline when the tenant vacates the property. EPA
should monitor the environmental condition of the property throughout the tenant's occupancy.
Prior to termination of the lease, EPA should ensure a Phase I EDDP is performed, preferably by
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the tenant, to properly document the environmental condition of the property at the time of the
tenant's departure. The findings in this Phase I should be compared to the original Phase I (i.e.,
the baseline) to determine potential environmental concerns and to minimize EPA's future
liability.
The second scenario depicts EPA in the role of a tenant, whereby the Agency is executing or
terminating a lease with the property owner or landlord. It is assumed that EPA performed a
Phase I prior to signing the lease and occupying the property, so that the environmental condition
of the property is known and documented. This Phase I will serve as the baseline. When it comes
time to terminate the lease, EPA should perform a Phase I EDDP to determine the environmental
condition of the property. This Phase I should be compared to the baseline Phase I to determine
EPA's potential environmental concerns. After the comparison, EPA can determine if Phase II
and III EDDP activities are needed to eliminate or minimize the Agency's environmental
liabilities or risks with the subject property.
Transfer Within EPA
There are times when EPA transfers property in house amongst program or regional offices. At
these times, a Phase I EDDP may be required to document the environmental condition of the
property. The decision to perform a Phase I EDDP during these internal Agency transfers is made
jointly by the National Real Estate Manager, OA, and applicable program or regional offices. At a
minimum, the Phase I EDDP will be used to determine if potential contamination exists so that
the responsible office pays for the cleanup.
EXTENT OF THE EDDP
Depending on the type of property transfer, organizations involved, location, past and current site
operations, environmental condition of the property, and other Agency-specific issues, the EDDP
may include one or more phases. To impose a specified time line for each phase of the EDDP is
impractical given the complexity of the real property transfer process, and the diversity of each
parcel of land. Table 1 provides an approximation of the number of phases needed for each type
of property transfer. The table should be used as a planning tool to assist managers with setting
priorities, goals, and schedules when the decision is made to transfer real property.
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Table 1
Phases of the EDDP for Each Type of Property Transfer
—Organizations
Involved
Type of Real '
Property Transfer
Property Transfer
Between EPA and
Another Federal Agency
Property Transfer
Between EPA and a State
or Local Municipality
Property Transfer
Between EPA and a
Private Organization
Acquisition
1, II
1, II
1, II
Termination
1, II, III*
1, II, III*
1, II, III*
Lease Execution
1, II**
1, II**
1, II"
Lease Termination
1, II, III*
1, II, III*
1,11, III*
* Phase III may be required depending on Phase II results
** Phase II may be required depending on EPA's mission and priorities associated with the subject property
ROLES AND RESPONSIBILITIES
There are various organizations within EPA that directly or indirectly participate in EDDP
activities. The roles and responsibilities for each of these organizations depends on the site-
specific conditions and operations conducted on site. The organizations within EPA typically
participating in EDDP activities includes the OA, Office of General Counsel (OGC), and the
relevant program and regional offices. Within each organization, there are representatives that are
typically involved in the EDDP process. The following is a list of those individuals and their
respective responsibilities:
EDDP Project Manager - Responsible for leading and managing EPA's EDDP project at the
subject facility and overseeing the EDDP review team and personnel support. Appendix G
highlights the necessary qualifications of the EDDP Project Manager.
Real Estate Manager - Responsible for management and oversight of all real estate-related
activities. The Real Estate Manager must be aware of the scope, goals, and management process
involved in the EDDP.
EDDP Review Team - Responsible for providing technical support to the EDDP Project Manager
from the inception of the project to completion. Appendix H highlights the necessary
qualifications of team members.
Facility Manager - Responsible for facility life cycle management operations, including
acquisition, transfer, and termination activities as it relates to real property. The facility manager
coordinates with the EDDP Project Manager on all EDDP activities.
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SHEMP Manager - Responsible for managing the Safety, Health and Environmental
Management Program (SHEMP) at the facility. The SHEMP Manager supports the EDDP Project
Manager on all EDDP activities.
Regional/Program Office Representative - Responsible for providing regional and
programmatic information on the subject facility. The representatives provide supplemental
support to the EDDP Project Manager on an as-needed basis.
OGC - Responsible for providing legal assistance to the EDDP Project Manager to eliminate or
minimize EPA's liability in real property acquisitions, transfers, or terminations.
Each organization has discrete roles and responsibilities within the EDDP phases. For example,
OA performs all of the Phase I EDDP activities, but it acts in an oversight role during Phases II
and III. Table 2 summarizes the roles and responsibilities for each organization during the three
phases of the EDDP. An independent contractor may be hired to perform one or more of the
EDDP phases.
Table 2
EDDP Roles and Responsibilities
EDDP
EPA
Organizations
Involved
Phase 1
Phase II
Phase III
Office of Administration
•
A
A
Office of General Counsel
¦
¦
¦
Program Offices
¦


Regional Offices
¦


Note: If adequate personnel resources are not available within the Agency, an independent contractor may
perform Phase I activities, as well as Phase II and III activities.
Legend: # Conduct or Perform
¦ Participate/Assist/Concur
~ Oversight
STAKEHOLDER INVOLVEMENT
The stakeholders are organizations or representatives external to EPA who have an interest in the
real property and generally include GSA, property owner(s), property management company(ies),
and any other representative of GSA or the property owner, such as legal council. The timing and
protocol for involving the stakeholders is important and must be appropriately planned by EPA
representatives.
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Stakeholder involvement is a valuable and necessary part of the EDDP. Stakeholders, however,
should only become involved in the EDDP once the Phase I report is final, a thorough review of
the Phase I conclusions has been conducted and agreed on, Phase II and III actions have been
determined by EPA, and OGC has had the opportunity to review and comment on the Phase I
EDDP report. Prior to the completion of these tasks, the evolutionary nature of the due diligence
process, and the complexity of the unconfirmed data requires that all EDDP-related information
be exchanged only with appropriate EPA personnel and staff, and EPA contractors. Only after all
information, data and facts have been collected, assimilated and confirmed, and due diligence has
been completed (which occurs throughout the EDDP document preparation process), should EPA
release draft EDDP documents or related information to stakeholders or the public. This
procedure assures that the information provided is accurate and defensible, and will serve to
minimize the potential for misinterpretation or misapplication of raw and unconfirmed data.
In cases where another federal agency is the property owner (i.e., GSA) or good relations exist
between EPA and the property owner/management company, these stakeholders may be
considered as information resources and could be interviewed by the EDDP review team.
However, these interviews should be independent of any EPA internal or information gathering
meetings such as the in- and out-briefings during the Phase I site visit. The EDDP review team
should obtain approval from appropriate EPA representatives before approaching any stakeholder
as an information resource and for an interview. If stakeholders are included as an information
resource, the participants during the initial interview session or meeting with the stakeholders
should include the EDDP review team and the appropriate EPA representatives.
Once the EDDP report(s) has be finalized, including a thorough internal EPA review, approval,
and incorporation of all comments, EPA's Architecture, Engineering and Real Estate Branch
(AEREB) Chief could provide the stakeholder (i.e., appropriate GSA representative or property
owner) with the complete EDDP reports(s). The documentation provided to the stakeholder
should include the report in its entirety, and not be limited to an executive summary
recommendations, or conclusions. The appropriate EPA laboratory or office representatives
should be notified accordingly regarding the transmittal to the stakeholder.
FUNDING
The source of funding for Phase I activities is usually OA; however, there are times when the
program or regional offices are the source of funding. When these situations arise, the source of
funding will be based on site-specific conditions. Funds are allocated when the OA receives
notification from the operating program or regional offices that a real property transfer is required.
The source of funding for Phases II and III depends on site-specific conditions and operations, and
will either be the operating program offices, regional offices, or OA. If Phase II and III activities
are a result of operational research activities, such as removing and disposing of hazardous
materials and surplus chemicals, decontaminating laboratory equipment or other structures, safe
shutdown of laboratory equipment or operations, or cleanup of test plots, then the program or
regional offices will typically be the source of the funding. However, if the Phase II and III
activities are a result of facility-related activities, such as management of tank and sewer systems,
buildings, or utilities, then OA may provide the funding resources.12 This information is more
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fully discussed in the May 1996, letter from OA entitled "Management Responsibility for
Transferring EPA Real Property," which is provided in Appendix F.
Additionally, the program or regional offices are usually responsible for providing the funding
resources for property transfer-related activities such as equipment deactivation and
decommissioning, management of personal property and surplus equipment, permit transfer or
termination, and removal of chemicals and hazardous substances.
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4. PHASE I - PRELIMINARY SURVEY AND SITE INVESTIGATION
DESCRIPTION
Phase I of the EDDP consists of a preliminary survey and site investigation. At a minimum, the
Phase I will be conducted for all real property in which EPA wishes to obtain or holds real estate
interest. As stated in Section 3, the Phase I is usually conducted and funded by OA. If it,
however, does not have adequate resources or qualified personnel, other EPA Headquarters,
Program, or Regional resources may be involved. Specifically, FMSD and SHEMD will request
support from the program office, the Offices of Solid Waste and Emergency Response (OSWER),
Emergency and Remedial Response (OERR), and Federal Facilities Reuse and Restoration
(OFFRR). Contracting out the Phase I may be considered if all facility and Headquarters
personnel resources are exhausted, unavailable, or do not exist. The contractor should be selected
based on the Phase I contractor specifications in Appendix H. If the Phase I is performed by a
private contractor, the contractor will perform all Phase I activities under the guidance and
direction of the EDDP Project Manager.
During real property termination or closure, or lease termination, OA must immediately identify
an EDDP Project Manager who meets the qualifications delineated in Appendix H, and who will
be responsible for the management and oversight of the Phase I EDDP. The facility manager and
SHEMP manager must be aware of the scope, goals, and management process involved in the
EDDP, and support the EDDP Project Manager on an as-needed basis. They must provide
accurate information in the pre-EDDP questionnaire and during the records search. The facility
manager and SHEMP manager must also provide the critical interface between laboratory or
facility personnel and the EDDP review team to facilitate the on-site review process and ensure
that accurate information is contained in the Phase I report. The facility manager and SHEMP
manager must also review the EDDP reports prepared by the EDDP review team for accuracy and
appropriate level of detail.
During proposed real property acquisitions or lease executions, the same general guidelines
discussed for real property termination or closure, or lease termination, apply except the facility
and SHEMP managers will not be EPA employees. Therefore, the facility manager and SHEMP
manager may not be as well versed on EPA's Phase I EDDP or Phase I Site Assessments. EPA
may consider providing a copy of the EDDP guidance to the current real property owner or
landlord so that he or she understands what type of information the review team will be
requesting.
Once the facility manager and SHEMP manager have been notified, the Phase I should commence
immediately. Each of the following elements is required to complete Phase I:
• A schedule to complete the EDDP visual site investigation
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•	A pre-EDDP package with questionnaire to obtain fundamental information concerning the
EPA facility (a sample of the transmittal letter and questionnaire included in this package is
provided in Appendix I)
•	A review of applicable documents and records, such as those listed in the Records Search and
Review section of this document, to determine whether there is any information available,
either at the facility or via public records, regarding potential environmental contamination
resulting from EPA or other activities conducted at the facility
•	A site investigation of the EPA facility, including walk-throughs and personnel interviews, to
determine past and present environmental practices, facility operations, and site conditions
•	A written report to document the process and results of Phase I.
The EDDP Project Manager must ensure that the following Phase I EDDP activities are
performed: questionnaire completion and review; records search and review; site investigation;
and Phase I report. Exhibit 3 provides a step-by-step layout of the activities involved in Phase I.
PLANNING AND SCHEDULING
Planning an EDDP site visit is important to the overall success of the EDDP. By planning and
coordinating the details of the EDDP site visit far enough in advance, the EDDP team can
increase the amount of relevant information obtained on the history and current operations of the
facility, as well as ensure that key personnel are available during the course of the site visit. For
the purposes of this section, key facility staff should include those individuals with historic
Exhibit 3
Phase I EDDP Activities
STEPS "
Planning and Scheduling
2 —^ Pre-EDDP Package
| 3"—^Visual Site Investigation
4 —^ Records Search and Review
| 5—Report Development
6 —Phase II & III Cost Estimate
Phase I
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knowledge of facility operations and other events that may be relevant to the EDDP review.
These individuals usually consist of the laboratory director; facility manager; SHEMP manager;
radiation safety officer (RSO); hazardous materials/waste manager; and laboratory or other staff
with historical knowledge of the facility. It will be up to the discretion of OA and the EDDP
Project Manager whether to include the property owner in any on-site activities. Typically, the
property owner is contacted on an as-needed basis. For additional details on stakeholder
participation, refer to Stakeholder Investment included in this document in Section 3, Overview of
the EDDP. It is encouraged that these key individuals participate in the EDDP review team in-
brief at the facility, and at a minimum are available for interviews at some point during the EDDP
review team site visit. The EDDP Project Manager and facility manager will identify the relevant
facility and program representatives and involve these representatives in initial planning and
EDDP decision-making.
The schedule for the EDDP Phase I should be developed by the EDDP Project Manager (with
coordination from the facility and SHEMP managers) after receiving notice that EPA is either
acquiring, transferring, or disposing of real property. After the notice has been received by
FMSD, the EDDP Project Manager should contact the facility manager to obtain a full
understanding of the scope of the project and specific timelines for vacating or occupying the
property.
PRE-EDDP PACKAGE
After a schedule has been developed, the pre-EDDP package should be assembled by the EDDP
Project Manager contact and sent to the facility manager. The pre-EDDP package consists of the
transmittal letter and the pre-EDDP questionnaire. The transmittal letter should originate from
OA and state the purpose of the Phase I activity (i.e., transfer, acquisition, or disposal of subject
property), the date(s) of the site visit, and establish a date for completing and returning the pre-
EDDP questionnaire to the EDDP Project Manager. An example transmittal letter is included in
Appendix I. The purpose of the questionnaire and follow-up interviews is to obtain basic
information about the real property and to help focus the document search and the site inspection.
The facility manager should ensure that the questionnaire is completed by personnel familiar with
the past and present facility or laboratory operations. As warranted and reasonably possible,
former and retired facility personnel should be identified and interviewed; they may have
information or concerns regarding suspected contamination resulting from past activities
conducted at the facility. The input and inquiry of as many personnel as possible will help
produce valid and defensible information. The name, phone number, facsimile number, e-mail
address, position, and responsibility of each person contributing to the questionnaire must be
documented in case verification is necessary. The questionnaire completion is an integral part of
the EDDP and will be used extensively by the EDDP review team. The pre-EDDP questionnaire
is included in Appendix I.
In addition to reviewing the pre-EDDP questionnaire prior to conducting the site visit, the EDDP
review team should review applicable documents and records to obtain background information
on the subject property. At a minimum, this information should consist of past SHEMD
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environmental, safety and health audit reports, the site assessment report (SAR), a United States
Geological Survey (USGS) 7.5-minute topographic map, and the completed pre-EDDP
questionnaire. Reviewing these items in advance will enable the EDDP review team to more
effectively develop targeted questions to ask key personnel and any local officials during the site
visit.
SITE INVESTIGATIONS
Site investigations are a critical component of the Phase I EDDP. Appendix N provides
guidelines for performing the physical site investigation.
Primer on Environmental Issues
The site investigation includes general observations, and evaluating the presence of USTs and
ASTs, waste handling practices, radioactive materials, PCBs, asbestos, LBP, pesticides, and radon
and sensitive environmental areas. These basic considerations are discussed below.
Observations from the Investigation
Observations made during the site investigation will identify obvious signs of actual or potential
contamination. Many hazardous materials will stain soils or other surfaces and may stress or
destroy vegetation, such as grass or plants. The presence of drums may be an indication of
hazardous waste contamination. If drums are present and not labeled, the site owner/operator or
personnel may be needed to help identify the contents. Material Safety Data Sheets (MSDS) on
file at the site may also be helpful in determining hazardous materials present. Additionally,
inquiries should be made about past practices, such as the disposal of chemicals in sinks and
possible plumbing concerns within buildings and other infrastructures, to determine the potential
for contamination.
Underground Storage Tanks
Leaking underground storage tanks (LUSTs) may be present on site and may contain petroleum
products, hazardous waste, or other hazardous substances. LUSTs can result in soil and
groundwater contamination and migration of released products into utility conduits or basements
of nearby structures. The risks to humans include exposure to toxic fumes or contaminated
drinking water. In addition, flammable materials migrating to conduits or basements present a
risk of fire or explosion.
Aboveground Storage Tanks
The hazards posed by ASTs are similar to those of USTs. All tanks not classified as USTs are
ASTs. A tank is considered an UST and not an AST if its underground network of pipelines
consists of 10 percent or more of the volume of the tank. ASTs can serve a variety of functions,
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such as portable tanks used on construction sites, fiberglass tanks used in chemical processing
operations, and large cylindrical steel tanks used at oil refineries.
A leaking AST storing petroleum products or other hazardous substances presents a potential risk
of contaminating surface soils, surface waters, and groundwater if a leak or spill is undetected.
An AST also poses a potential fire or explosion hazard if it contains flammable, combustible, or
reactive materials. Additionally, sumps and pits should be visually inspected to identify potential
sources of contamination; however, auditors must be aware of their surroundings at all times, and
never enter a confined space. Confined spaces must be accessed in accordance with OSHA
standards by certified individuals. The EDDP review team should notify the facility manager of
any potential or actual hazardous conditions encountered during their walk-through of the facility.
Waste Handling Practices
The term "hazardous substance" refers to a wide range of chemical, radioactive, and biological
substances or materials. These substances pose environmental, health, and safety risks due to
specific material characteristics such as flammability, combustibility, corrosivity, toxicity,
reactivity, or explosivity. Hazardous materials have the potential to contaminate property or its
surroundings if released into the environment, including the soil, groundwater, surface water, or
air. This contamination can pose hazards to humans, vegetation, and wildlife as a result of either
direct exposure to the hazardous substances, or indirect exposure from contaminated soils or
drinking water supplies.
Hazardous substances include a wide variety of materials ranging from household products to
chemicals used in specific industrial and research processes. Hazardous substances may include
detergents, solvents, paints and allied products, petroleum products, agricultural chemicals,
biological products, and equipment containing hazardous substances. Other hazardous substances
may include pharmaceuticals, compressed gases, pigments and dyes, plasticizers, printing ink,
boiler and heat insulating compounds, water treatment, waterproof compounds, and fire-
extinguishing media.
Details about correct waste handling, storage, and disposal practices should be available from the
facility manager or the SHEMP manager. Additionally, the role of the EDDP Project Manager
and facility manager is to work with the SHEMP manager to account for all hazardous materials,
and to determine when these products will be transferred. For real property acquisitions or lease
execution, EPA should contact the current owner or operator to obtain information regarding
waste handling practices.
Radioactive Materials
A radioactive material or mixture spontaneously emits ionizing radiation which may take different
forms, including alpha particles, beta particles, neutron radiation and gamma radiation.
Radioactive materials come in both solid and liquid form. Radiological contamination can be
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present in porous surfaces, within cracks or crevices, or on non-porous surfaces that are directly
exposed to radiation.
Alpha particles are the least penetrating and most energetic. Alpha-emitting wastes require no
shielding, but alpha emitting nuclides can be dangerous when ingested or inhaled because the
particle energy is transferred directly to adjacent cells.
Beta particles are charged electrons, which are emitted from the decay of some radioactive
elements and are more penetrating than alpha particles. Depending on the concentration, beta-
emitting wastes may require some level of shielding such as a thick sheet (up to one-half inch) of
plastic. Beta particles can penetrate skin and cause burns, and travel several meters in air;
however, the principal hazard comes from ingestion or inhalation of beta-emitting material.
Gamma radiation is highly penetrating electromagnetic radiation of extremely short wavelengths
(similar to X-rays). Gamma-emitting nuclides are a hazard when ingested, inhaled, or when
exposed to the body. Heavy materials, such as lead (or massive amounts of lighter materials), are
effective shields for protection from gamma radiation.
Neutron radiation is high-energy neutral particles that can travel long distances in air and other
materials. Neutron radiation presents the greatest hazard for external exposure and requires
special shielding, usually made of light materials containing hydrogen.
Ionizing radiation arises from both natural and man-made sources, and can affect body organs and
tissues. Health effects depend on the physical characteristics of the radiation as well as biological
factors. Demonstrated health effects include the induction of cancer, genetic disorders,
developmental abnormalities, such as mental retardation, and some degenerative diseases, such as
cataracts. Information on potential hazards associated with radioactive materials used on-site
should be requested from the SHEMP manager and RSO. For real property acquisitions or lease
executions, EPA should request this information from the current owner or operator.
Poly chlorinated Biphenyls
PCBs belong to a broad family of organic chemicals known as chlorinated hydrocarbons.
Virtually all PCBs in existence today have been synthetically manufactured. PCBs have been
used in electrical equipment, hydraulic systems, and oil-filled heat transfer systems. PCBs are
persistent and deleterious; once released into the environment they do not break down into
harmless chemical substances. PCBs cause chloracne; a painful, disfiguring skin condition. Since
evidence suggests the PCBs may also be carcinogenic and teratogenic (fetus damaging), EPA has
determined that PCB contamination may pose a public health concern.
Asbestos
Asbestos is a naturally occurring, strong fibrous mineral used in more than 3,000 industrial
applications, including heat insulation, sound insulation, and as fire retardants. Asbestos has been
used extensively in building materials in the United States since the mid-1900s. As this use
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increased, so did the incidence of asbestos-related diseases, such as asbestosis, lung cancer, and
mesothelioma. Typically, these diseases take 10 to 40 years to appear after exposure to asbestos
in the air.
Lead-Based Paint and Other Lead Sources
Many structures contain significant amounts of LBP and other lead sources that may pose an
environmental health condition at the subject property. Other sources include lead piping and
solder that may contribute to high lead content in drinking water. Lead has been associated with
central nervous systems disorders, particularly among children and other sensitive populations.
Exposure to lead is usually either through inhalation during renovations and demolition activities,
or through direct ingestion of paint chips or lead-contaminated drinking water.
Pesticides
Pesticides are chemical products developed to eradicate a target species. Pesticides include
insecticides, herbicides, rodenticides, fungicides, disinfectants, which have been developed to
control insects, weeds, fungi, and rodents. Pesticides can significantly reduce agricultural crop
losses and cause structural damage to property. However, because these materials are "designed
poisons," they pose a toxic health hazard to humans if they are misused, mismanaged, or
improperly disposed. These chemicals are produced under many different trade names, varying
widely in chemical composition, toxicity, and environmental effects. The most widely used
pesticides share some common traits:
•	They tend to be chlorinated hydrocarbons
•	They tend to produce adverse health effects in humans, such as nerve damage, liver damage,
and kidney failure
•	They tend to bioaccumulate, meaning that as plants and animals ingest these chemicals and are
then ingested by other animals, the poisons accumulate up the food chain. Therefore, what
starts out as a small, non-harmful release can accumulate into harmful doses to other
organisms.
Sensitive Environmental Areas
Wetlands are areas that are temporarily or permanently inundated by surface water or groundwater
and support vegetation adapted for life in saturated soil. Typically envisioned as marshy or
swampy areas adjacent to coastal regions, wetlands also encompass areas that are far inland of
tidal waters and may or may not appear to be marshy or swampy. Wetlands provide many
benefits, including a habitat for a wide variety of wildlife; improvement in water quality; flood
control stabilization of the shoreline; breeding, nursery, and feeding areas for commercial and
recreational fish; and recreation such as hunting or fishing.
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"Wild and scenic" rivers are recognized as possessing aesthetically pleasing benefits such as
spectacular scenery, diverse fish and wildlife, good water quality, or recreational activities. Often,
sections of a particular river may be designated as wild and scenic, while other sections may not.
Radon
Radon is a naturally occurring, invisible, odorless, tasteless, and radioactive gas. Radon can
accumulate inside enclosed spaces to levels that pose risks to human health. Local regulatory files
should be reviewed for the presence of radon in and around the area of the property under
consideration for purchase, transfer, or closure.
Pre-Investigation Activities
The EDDP review team should prepare for the site investigation by reviewing any documents
gathered during the record search and review process. Preparation should also include reviewing
the completed preliminary questionnaire, and conducting the necessary interviews prior to the site
visit. Pre-investigation telephone interviews are also helpful and should include the property
owner, the facility manager, adjacent property owners, and state and local authorities. The facility
manager, EDDP Project Manager, SHEMP manager, and other program and regional
representatives should be notified of the exact investigation date and invited to attend the in-
briefing, the out-briefing, and walk-through.
Conducting the Phase I Investigation
The EDDP review team conducting the investigation should be aware of and have access to all
documents and records obtained during the records search and review process, and should
continue, as necessary, to obtain and review these records. Before conducting the site walk-
through, the auditor should review the completed preliminary questionnaire, clarify ambiguous
answers, and discuss issues presented in the questionnaire with the EDDP Project Manager,
facility manager, SHEMP manager, and the property owner. The EDDP review team must remain
objective throughout the investigation, regardless of the nature of previous knowledge and
information obtained during the pre-audit interviews and in the questionnaire. The investigation
is intended to supplement, validate, and perhaps question the earlier Phase I activities and
conclusions made from the records search and review. In addition, the EDDP review team should
provide the participants with an in-briefing before the walk-through, and an out-briefing after the
walk-through. During the walk-through, relevant facility employees should be interviewed, and
the issues presented below should be evaluated.
The questionnaire on USTs/ASTs, in Appendix O, should be used as a guide for obtaining
additional information on the USTs and ASTs. Other issues to be addressed during the walk-
through are summarized below and are more fully outlined in Appendices E and J, the Records
Search and Review, and the Primer on Environmental Issues discussions in this section. The
issues include:
• Former and current uses of the subject and adjacent property
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•	Adjacent property characteristics such as zoning, future and past land use, and USTs
•	National Priority List (NPL) status of subject, adjacent, and nearby properties
•	Fuel leaks or releases of subject, adjacent, and nearby properties
•	Past or present permits, including air, NRC, NPDES, POTW, UST, and RCRA (hazardous
waste TSDF)
•	Past or present surveys and inspections, including radon, radiological, asbestos, UST, LBP,
and RCRA issues
•	Hazardous substances usage and releases, including disposal, injection, discharging, handling,
and storage
•	Operating, closed, leaking, or inactive storage tanks
•	Radiological materials use, storage, research, and disposition
•	PCB-containing materials use, storage, research, and disposition
•	Asbestos-containing materials (ACM) use, storage, research, and disposition
•	Pesticide use, storage, research, and disposition.
RECORDS SEARCH AND REVIEW
A review of applicable documents and records will provide additional information on site
activities and operations which may have caused environmental contamination. Information on
contiguous and adjacent properties may also be reviewed to the extent practicable. The following
subjects should be investigated and reviewed:
•	Site history, including ownership and use of the property and neighboring properties
•	Hazardous materials usage, releases, and USTs (plumbing, drainage, and runoff)
•	Environmental permits
•	Environmental surveys and audit reports
•	Hydrogeology and geology
•	Wetlands
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•	Radioactive materials
•	PCBs
•	Asbestos
•	LBP
•	Indoor air
•	Laboratory operations, analyses, and experiments.
To assist in the records review, Table 3 is provided as a quick reference guide. These documents
and records can be obtained from several sources (e.g., EPA, state, and private entities or
organizations).
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Table 3
Records and Information Sources
RECORDS AND INFORMATION
SOURCES
Site History - Ownership and Uses
Title Search - local courthouse
• AEREB
EPA Historian
Sanborne Fire Insurance (SFI) Maps
National Archives
Hazardous Materials and Storage Tanks
State environmental agency
Local fire and health department
SHEMD audit reports
• MSDSs
Emergency Planning and Community Right-to-Know Act
(EPCRA) reports
Environmental plans and reports
National Priorities List
• RCRA, Superfund, EPCRA Hotline (1 -800-424-9810)
EPA Regional Office
State environmental agency
Comprehensive Environmental Response, Compensation,
and Liability Information System (CERCLIS)
Hazardous Waste Accumulation, Storage,
Treatment
• SHEMP
Waste accumulation records
Manifests
EPCRA reports
Pollution prevention (P2) plans
State environmental agency
Local fire and health department
SHEMD audit reports
Spill Prevention, Control and Countermeasures (SPCC)
plans
Resource Conservation and Recovery Information System
(RCRIS)
Fuel Leaks
State environmental agency
•	AEREB
SHEMP manager
•	SHEMD
Facility manager
Environmental Permits
Former occupants
Local authorities
EPA facility
EPA Regional Office
State environmental agency
•	AEREB
•	SHEMD
SHEMP manager
SHEMD Audit Reports
SHEMP managers and SHEMD
EPA facility managers
Local authorities
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RECORDS AND INFORMATION
SOURCES
Hydrogeology and Geology
Site soil studies and groundwater test results
United States Department of Agriculture (USD A)
Aerial photographs
• USGS
Local soil conservation district
Local county planning office
State water resources control board
Wetlands
Town/county planning office
Wetlands Protection Hotline (800-832-7828)
County soil survey reports
Local soil conservation district office
National/State Wetland Inventory Maps
U.S. Army Corps of Engineers (USACE)
Aerial Photographs
EPA facility
• AEREB
Local colleges, universities or museums
Environmental Photographic Interpretation Center/Office of
Research and Development (ORD)
Radiological Materials Use
EPA facility
•	NRC
SHEMD audit reports
•	RSO
PCB Equipment and Use
Facility manager, laboratory director, or service contractors
On-site PCB log or utility company (large transformers or
capacitors only)
Equipment manufacturer
EPA regional office
Facility personnel (laboratory activities)
SHEMP manager
SHEMD audits
Asbestos
Engineer/consultant asbestos reports
Building age
EPA facility manager
Asbestos operations and maintenance (O&M) plan
SHEMD audits
• AEREB
SHEMP manager
Indoor Air
State OSHA
County health department
Laboratory Operations, Analyses, and
Experiments
Facility manager or personnel
EPA and the states also have capabilities to perform searches and to provide documentation of the
necessary records.
Site Assessment Report and Neighboring Properties
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A review of applicable neighboring property records should be performed as is reasonably
possible, warranted, and justified. The purpose of the neighboring property records search and
review is to identify and research the uses of the property that may have adversely affected its
environmental condition or that of the facility or laboratory property in question. It is expected
that the neighboring property review effort will be limited in scope, and not as extensive as the
facility's real property review.
The following environmental records may be obtained by an outside vendor who performs
environmental database searches. These records can usually be consolidated into a special-order,
facility-specific document called a site assessment report (SAR). The following records or
databases should also be searched to the radii specified in parentheses (as measured to the nearest
property boundary).
•	Federal NPL site list (1.0 mile)
•	Federal CERCLIS list (0.5 mile)*
•	Federal RCRA Corrective Actions Database (CORRACTS) TSDF list (EPA's database for
RCRA corrective actions) (1.0 mile)
•	Federal RCRA non-CORRACTS TSDF list (0.5 mile)*
•	Federal RCRA generators list (subject property and adjoining properties)
•	Federal Emergency Response Notification System (ERNS) list (subject property only)
•	State lists of hazardous waste sites identified for investigation or remediation:
State-equival ent NPL (1.0 mil e) *
State-equivalent CERCLIS (0.5 mile)*
•	State landfill or solid waste disposal site lists (0.5 mile)*
•	State LUST lists (0.5 mile)*
•	State registered UST lists (subject property and adjoining properties)
*These items indicate that the distances may be reduced at the discretion of the environmental professional
performing the review.
All adjacent, nearby, and contiguous properties within a half- to one-mile radius from the facility
border should be considered and evaluated during Phase I. The search radius may be left to the
discretion of the environmental professional (i.e., EDDP Project Manager, facility manager,
SHEMD manager, the EDDP review team). EPA's OGC may need to be consulted on issues
regarding adjacent or neighboring properties; however, the following factors may be considered
when evaluating adjacent, nearby, or contiguous property:
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•	Population density of the setting where the facility is located (e.g., rural, urban, or suburban)
•	The distance that hazardous substances or petroleum products stored on site are likely to
migrate based on local geologic or hydrogeologic conditions
•	Adjacent NPL or contaminated sites
•	Zoning and historical site use
•	Other reasonable factors.
Obtaining the SAR
To order the SAR, the EDDP review team will need to have the following items identified for the
subject property:
•	Latitude and Longitude
•	Physical Address
•	Facility Map (confirming facility location)
Determining and Confirming the Latitude and Longitude
There are several ways to obtain the latitude and longitude of property, including contacting the
facility manager, or using a global positioning system (GPS) receiver, the Internet, or a
topographic map. The easiest way to obtain the latitude and longitude is by contacting the facility
manager. The facility manager may be able to obtain the latitude and longitude from facility
records, such as a RCRA permit or RCRA inspection reports. Another option is to use a GPS
receiver located at the subject property; however, a GPS receiver may not always be available.
The latitude and longitude can also be obtained from one of the numerous mapping services on
the Internet. Typically, the latitude and longitude will be displayed after creating a custom map
with the subject property's address. If these resources do not provide a latitude and longitude for
the subject property, a 7.5-minute topographic map for the respective quadrangle can be used.
Topographic and other maps are available from any USGS Earth Science Information Center
(ESIC), or any of the numerous commercial map dealers affiliated with the USGS. ESIC offers
nationwide information and sales service for USGS products and publications on the web, as
follows:
•	ESIC home page — " http://mapping.usgs.gov/esic/esic.html"
•	ESIC locations — "http://mapping.usgs.gov/esic/esic_index.html"
•	Instructions for ordering maps — "http://mapping.usgs.gOv/esic/to_order.html#map"
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•	Frequently-asked questions — "http://mapping.usgs.gov/esic/esic4.html"
•	State Geological Surveys -"http://ngmdb.usgs.gov/Other_Resources/sgstopo.html"
•	Commercial map dealers — "http://mapping.usgs.gov/esic/usimage/dealers.html"
•	Finding and Ordering Topographic Maps — "http://mapping.usgs.gov/mac/findmaps.html"
Latitude. After obtaining the topographic map, simply draw a straight line across the center of the
property from the left edge to the right edge of the map. Make sure the line is drawn parallel to
the bottom edge of the map. This line will provide the latitude of the property as read from the
latitude listed on both the left and right margin of the map. The latitudes are provided in 2
minutes, 30 seconds (2' 30") increments on the map. Most likely, the latitude will need to be
extrapolated from the map.
Longitude. The longitude cannot be obtained in the same manner as the latitude because
longitudinal lines are not parallel to each other like latitude lines. The distance between
longitudinal lines vary from its greatest distance at the equator to zero at the Earth's North and
South poles. Therefore, longitude is measured by "scaling the ruler" which consists of holding it
at an angle between the longitude grid lines. An example of obtaining longitude from a
topographic map is provided in Exhibit 4. To determine the longitude, locate the grid lines on the
map that form a square around the subject property and pencil them in on the topographic map.
Next draw a line from the top of the square to the bottom through the center of the property and
parallel to the right or left side of the box (Line A). Next, use a 2.5-minute scale and align it from
the upper right corner of the square to the opposite side of the square until the end of the scale
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Exhibit 4
Example of Obtaining Longitude from a Topographic Map
LONGITUDE
087° 45°+ 1.1'
= 087° 46.2'
^ ^ Subject Property
41° 40'
(Latitude)
41° 37' 30'
087° 47' 30'
(Longitude)
087° 45'
touches the other side of the square. Read the number on the scale corresponding to the line drawn
through the center of the property (approximately 1.1' in Exhibit 4). Now obtain the longitude by
adding this reading (1.1' in the example) to the longitude of the right side of the box (087°45' in
the example). Therefore, the correct longitude in this example is 087°46.1'.
Confirming the latitude and longitude with another resource is an important step that should not
be overlooked. In particular, when ordering a SAR, the latitude and longitude of the subject
property must be provided. The vendor, in turn, will provide a map plotting the respective
latitude and longitude. Prior to confirming the order, the plotted location of the subject property
must be verified. This can be done with the EDDP review team's knowledge of the subject
property's physical address or by contacting the facility manager for confirmation.
Evaluating and Interpreting the SAR
When initially reviewing the SAR, the accuracy of the report should be confirmed. This is done
by checking whether the SAR reflects the correct location for the subject and adjacent properties;
the correct latitude and longitude; and consistency of EPA facility data with information obtained
from interviews, site visit observations, and other records review. Before each SAR site is
evaluated, the direction and depth of the groundwater flow in the immediate area of the subject
property should be determined. Topography is another important factor to consider when
evaluating the SAR sites relative to the subject property.
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Each SAR provides a list of unmapped sites which need to be reviewed and evaluated. The
general criteria for eliminating the unmapped sites from consideration as potential environmental
threats to the subject property include those SAR sites which are:
•	Outside the radius criteria discussed earlier in this report and in ASTM's Phase I standard
•	Downgradient of the subject property
•	Over one mile away from the subject property.
If one of these general criteria are met, then the property should not pose an environmental threat.
The location of unmapped sites needs to be determined using good judgement, available address
information, knowledge of the area, and any other reasonable local resources, such as a local road
map or persons familiar with the area.
Once the list of SAR sites are assimilated, the SAR site research objectives are to obtain the
general status and information on the incident listed in the environmental records; to determine
whether the SAR site and related incidents are likely to impact the subject property; and to
confirm and explain all SAR listings for the subject property. The primary resource for general
site status, incident information, and determining the likelihood of impacting the subject property
is the appropriate federal and state regulatory authorities (i.e., Project Managers within the
corresponding agency office, division, program, etc). Most of the information needed on the
SAR site can be obtained through telephone conversations with regulatory authorities. The SAR
sites having RCRA Corrective Action, state and federal NPL/CERCLIS, ERNS, and LUSTs
listings require contacting regulatory authorities for more information. If the authorities are not
available, then records at the site should be obtained and reviewed to achieve the SAR site
research objectives. In addition to understanding the general status and information about the
incidents, the list below provides suggested questions to determine the potential environmental
impact to the subject property; however, the line of questioning should not be limited only to
these suggestions.
•	Is there a contaminated plume migrating towards the subject property?
•	Is the plume likely to impact the general area of the subject property, or the subject property
iteself?
•	What actions are being taken to address the migrating contamination?
•	What actions are being taken to determine if a contaminated plume is migrating from off site
towards the subject property?
•	What are the contaminants of concern and their detected concentrations?
When researching the neighboring SAR sites, it is recommended to maintain client confidentiality
and anonymity, if possible. This can be done by generally indicating the direction of the subject
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property from the SAR site, specifying only the nearest intersection and cross streets of the subject
property.
Site History - Ownership and Use
A title search, SFI map review, and aerial photograph review will reveal previous owners or
historical uses of the property. The general site history and property owners should be identified
to determine historical property uses and activities. The search should date back to the property's
obvious first developed use, or back to 1940, whichever is earlier.
Title Search
A title search should be performed and conducted at the local courthouse with the assistance of
clerks or a person associated with the facility. The purpose of the title search and review is to
identify and research previous owners, and any information that might affect the current
environmental condition of the real property.
Sanborne Fire Insurance Maps
The SFI maps will identify the former uses of the property as well as previous property owners.
By providing information on the actual property uses, the SFI map analysis may reveal the kinds
of materials that could have been managed at the facility.
Aerial Photographs
If interpreted correctly, aerial photographs can provide useful information, on the basic historical
uses, and in some cases, the environmental conditions at a property. The evaluation of aerial
photographs can be used to document past activities, such as waste disposal practices (e.g., illegal
dumping), fires, explosions, facility modifications, and environmental impacts. The review
should be performed by an individual qualified and trained to interpret aerial photographs.
Aerial photographs are readily available for most areas of the United States from the 1930s to the
present. In order to obtain useful aerial photographs, it is helpful to determine what dates need to
be examined. Aerial photographs of EPA facilities and surrounding properties should be
reviewed for the last 50 years to verify site activities and the activities at neighboring sites. To
comply with this provision, it is helpful to obtain the earliest available aerial photograph. In
addition, it is recommended that one aerial photograph from each decade be obtained or
examined, if available. This will provide the reviewer with a snapshot of the site development or
changes chronology.
To expedite the search for aerial photographs, it is necessary to obtain physical information on the
subject property. This information should consist of the following:
• Physical street address
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•	County or township
•	Latitude and longitude
•	Name of the corresponding 7.5-minute topographic map quadrangle
•	Year of facility construction
When viewing the aerial photographs, it is useful to have a street map available to correlate the
location of the subject property with major roadways or other large physical features (e.g., lakes,
rivers) visible in the photograph. Maps from most locations in the United States can be found by
searching for mapping web sites on the Internet.
Aerial photographs can be found in a number of places. A good starting point for the aerial
photograph search is local resources. Local resources often have the most relevant aerial
photographs of the subject property and may limit the search of other resources. Typically, the
EPA facility manager will have access to historical aerial photographs. Another valuable local
resource is local government agencies, such as the Office of Land Records or Zoning Office.
The USGS has a very extensive collection of aerial photographs. At the Earth Resources
Observation System (EROS) Data Center near Sioux Falls, South Dakota, the USGS maintains
the National Land Remote Sensing Data Archive, including 49 million satellite images and over 8
million aerial photographs of the United States; some of them date to the 1940s. More recent
products have been standardized under the National Aerial Photography Program (NAPP),
providing photographs of the entire country every five to seven years since 1980. Products from
USGS can be researched and ordered by contacting:
USGS EROS Data Center
Customer services
Sioux Falls, SD 57198
Phone: 605-594-6151
E-mail: custserv@edcmail.cr.usgs.gov
Another valuable commercial source for aerial photographs is the Internet. There are sites on the
Internet that have extensive online atlases of high-resolution satellite imagery and aerial
photography.
The aerial photographs come in various scales and sizes. A typical aerial photograph from the
USGS NAPP is acquired at 20,000 feet above mean terrain with flight lines quarter quad-centered
on the 1:24,000-scale USGS maps. NAPP photographs have an approximate scale of 1:40,000,
and are flown in black-and-white or color infrared, depending on state or federal requirements.
Typically, aerial photographs are obtained in an 8.5 x 11 inch format or similar size.
Again, detailed interpretation of the aerial photograph should be completed by an individual who
is qualified and trained in this area.
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Hazardous Materials Usage, Releases, and Underground Storage Tanks
In addition to the title search and review, past and present hazardous materials usage, and use and
management of storage tanks (i.e., USTs and ASTs) should be identified. A variety of hazardous
materials lists are available, and can be found in the following resources:
•	CERCLA Hazardous Substances, 40 CFR §302.4
•	EPCRA Extremely Hazardous Substances, 40 CFR Part 355 Table A
•	EPCRA Toxic Chemicals, 40 CFR §372.65
•	CAA Hazardous Air Pollutants (HAPs), 40 CFR Part 61
RCRA Hazardous Wastes, 40 CFR Part 261
•	UST Regulated Substances, 40 CFR Part 280
CERCLIS
The records search and review should include a review of CERCLIS, a computer database that
contains information for each site on the NPL of Superfund sites. A CERCLIS review will
determine whether the property is (or has been) on the NPL. Determination of the subject,
adjacent, neighboring, or contiguous properties' NPL status will provide information on suspected
soil, groundwater, and surface water contamination and relate this to an alternate source if
activities are not responsible for, or are inconsistent with, the type of contamination found.
Sources of CERCLIS information include the EPA regional office, the state environmental
agency, SHEMD audit reports, the EPA RCRA, Superfund, EPCRA Hotline (800-424-9810) and
the EPA CERCLIS Hotline (202-260-0056).
State Agency Site Lists
The state environmental agency should be contacted to determine whether there have been any
petroleum or hazardous substance releases on the subject property, or on adjacent or contiguous
properties. Many states maintain lists similar to those found on CERCLIS, and also maintain lists
of sites with smaller petroleum or hazardous substance releases.
Local Fire District and Health Department
The records search and review should include a review of the local fire and health department
records for information regarding hazardous materials usage at the property (e.g., releases or
discharges), and any USTs located on the property. The local health department will also have
information regarding radon detected in the area of the site, inspection records, and activities
which may impact human health and the environment.
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Facility Records
Past and present EPA hazardous materials inventories and waste management practices can be
ascertained from facility records. Records of hazardous waste accumulation, storage, treatment,
or disposal (e.g., waste accumulation and storage records and manifests) should be obtained from
the SHEMP manager at the EPA facility, or the facility safety, health, and environmental manager
for non-EPA facilities. Other environmental management plans and reports may be reviewed to
determine hazardous materials usage and waste management information. These may include, but
are not limited to, EPCRA and RCRA reports, SPCC plans, and P2 plans. Hazardous substance
usage and storage quantities, and any reportable releases, must be accurately identified for
compliance with federal and state requirements (e.g., 40 CFR Part 373). Appendices C and D,
and the Report Review and Interpretation discussion in this section, provide more information on
related regulatory requirements and notifications. For real property acquisitions, EPA should
request copies of the facility's environmental records, including inspection and inventory logs,
audits, manifests, management plans, and any other relevant information.
Environmental Permits
The former occupant's and facility environmental permits and inspection reports should be
identified, obtained, and reviewed. If a complete set of permits or inspection records is not
available from the facility, the state environmental agency or local authorities may be able to
provide these records.
State Environmental Agency
All state environmental permits and inspection reports should be obtained and reviewed, including
those for air quality, hazardous waste, industrial and domestic wastewaters, radioactive materials,
and hazardous materials. Permits may identify potential sources of contamination or require
specific closure requirements (e.g., RCRA, NRC).
Local Authorities
All local environmental permits and inspection reports should be obtained and reviewed. This
includes those for both point source and non-point source discharges (e.g., POTW, sanitary sewer,
and stormwater). Information included in permits and inspection reports will assist in
determining the potential composition of the hazardous materials used, and whether there is cause
for concern.
Environmental Surveys and Audit Reports
Environmental surveys will provide actual data on the suspected environmental conditions.
Environmental audits conducted before or during EPA's occupancy should be reviewed for
information on past or present environmental conditions, management practices, compliance
status and any identified or suspected contamination or releases.
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Facility Program Managers
The facility managers and EPA SHEMP managers are responsible for maintaining all information
and records for safety, health, and environmental management and activities during EPA's
occupancy of the facility. SHEMP managers also may be valuable resources for applicable
surveys, audit reports, and other environmental information conducted prior to EPA's occupancy
or conducted on adjacent properties. All environmental survey and audit reports performed and
documented by the former occupants or EPA's facility management (e.g., USTs, lead paint, air
quality, radiological, mercury, PCBs, and asbestos) should be reviewed to determine if these
contaminants were or are present at the facility or adjacent properties.
SHEMD
EPA's SHEMD is responsible for safety, health, and environmental policy development and
compliance oversight for EPA's facilities nationwide. SHEMD manages and conducts routine
multimedia environmental audits at each facility. The SHEMD environmental audit reports
should be reviewed to determine if there exists any outstanding or consistent findings that may
indicate contamination. The final audit reports, maintained by the facility, will provide the
facility's environmental audit information, findings, recommendations, and completed corrective
actions.
Local Authorities
Local authorities, including the health department, the fire district, and state environmental
agencies, may have conducted safety, health, or environmental surveys or audits of the facility.
These documents should be reviewed to determine the environmental conditions relative to local
codes and standards.
Hydrogeology and Geology
The hydrogeology and geology of a property should be investigated as part of the Phase I records
search and review. The resources discussed below will assist in completing this review.
Site Soil and Groundwater Test Results
If the property has been in the commercial sector, an environmental due diligence audit (Phases I
and II) may have been done in the past. If so, soil and groundwater studies may be available for
review. The owner of the property should be contacted for a copy of these reports and test results
to determine whether there is any suspected contamination.
United States Geological Survey
The USGS, in Reston, Virginia, maintains information on the soil characteristics and
hydrogeology of a given area. A USGS 7.5-minute topographic map that includes the property
should be obtained. This and other USGS information should be analyzed to determine the
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groundwater depth and flow, topography, and the surface water flow. A phone list of USGS
Offices is provided in Appendix J.
State Water Resources Control
The state water resources control board conducts groundwater and drinking water well surveys.
These surveys should be reviewed to characterize and identify existing or formerly operated wells
on the site.
United States Department of Agriculture and Local Authorities
The USDA generates soil survey reports on regional geology and soil types. The county planning
office or the local soil conservation district produces county soil survey reports. These reports can
be used to characterize the property's geology and soil.
Groundwater Flow and Depth
The purpose of this section is not to provide the average reader or EDDP Project Manager, facility
manager, or SHEMP manager with information on how to model groundwater flow, but instead
provide guidance on where to obtain regional and site-specific groundwater information. The
groundwater characteristics of interest during the EDDP are the depth to groundwater and the
direction of groundwater flow. When used in conjunction with the information contained in the
SAR, the groundwater characteristics allow the EDDP review team to identify and isolate any
adverse environmental impacts (e.g., chemical or fuel spills, leaking underground storage tanks)
to the subject property from the activities of adjacent and neighboring properties.
There are a number of resources that are available to assist in determining the depth to
groundwater and the direction of groundwater flow at the subject property. Some of the most
useful resources (and perhaps the most difficult to obtain as they may not exist) are the site-
specific environmental assessments on the subject property or any neighboring properties. These
reports typically include a discussion of the local, and in some cases site-specific, hydrological
conditions. The site investigation questionnaire referenced in these guidelines, and included in
Appendix N, includes a question on whether any soil or groundwater studies have been performed
on the subject property or adjacent properties; the facility manager or property owner may be able
to provide this information. Another source that can lead to information on the hydrological
conditions of the subject property is the SAR. The SAR should be reviewed to identify any
neighboring LUST sites or spills (a more detailed discussion of the review and interpretation of
the SAR can be found in Evaluating and Interpreting the SAR in this section of this document). If
adjacent or neighboring sites are listed and are undergoing or have undergone any corrective
action processes, environmental reports should be available for review from the state. These
reports may take some time to obtain, depending on the state in which the subject property is
located. In most cases, the state inspector responsible for investigating the LUST or spill can be
contacted for more information.
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Another valuable source of groundwater information at the regional level is the applicable State
Geological Society or the Water Resources Division of the USGS. The USGS-Water Resources
Internet site is http://water.usgs.gov/. The USGS Internet site provides a list of each state's USGS
contacts. These resources may be able to assist in determining the regional influences on
groundwater, and may be able to provide some information on the aquifer underlying the subject
property. As groundwater flow is fairly specific to a particular site, the most credible information
will be obtained from site-specific data.
The specific groundwater flow determination should be made by a hydrologist. For purposes of
the EDDP however, some general groundwater flow information can be ascertained by the EDDP
review team based on site-specific data and discussions with state hydrologists. Some very broad
assumptions can be made about the possible direction of groundwater flow at the subject property.
The assumptions are:
•	Groundwater, like surface water, flows 'downhill' in the direction determined by the slope of
the water table
•	Nearby rivers can influence the direction of groundwater.
The water table can best be determined by well data from the subject property or neighboring
properties. In a best case, the subject property will have several wells on-site with depth to
groundwater data available. This data will provide the EDDP review team with the depth to the
water table and, based on the first general assumption, the groundwater would flow from the
higher water table elevations to the lower elevations. Groundwater flow is also influenced by the
presence of nearby rivers. Groundwater will tend to flow subparallel to the river valley with a
slight deviation toward the river. Again, this information is intended only to serve as a guide when
reviewing the SAR to isolate contamination from neighboring sites that are clearly upgradient of
the subject property. More detailed groundwater flow determinations are typically not needed for
the Phase I EDDP, but should be examined to determine their availability.
Wetlands
All wetlands areas should be identified. In addition, all surface water retention ponds, stormwater
management units, and surface impoundments or pits should also be identified. The use, contents,
and characterization of these ponds, pits, or impoundments should be analyzed to determine if
suspected contamination exists. Sources of wetlands information are discussed below and include
the town/county planning or zoning office, the Wetlands Protection Hotline (800-832-7828), and
the National Wetlands Inventory Maps (available from EPA regional offices).
Town/County Planning or Zoning Office
The local planning or zoning office is typically located at the city hall. This office should be
contacted to determine whether the property is zoned for a particular use (e.g., wetland,
sanctuary), and whether the property has any historical or recreational value. The county planning
office or the local soil conservation district may be able to provide a copy of county soil survey
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reports for the property; these reports may contain wetlands information. This information will be
helpful in accurately characterizing the property's features and in determining the limitations of
future land use and property transfer.
Wetlands Protection Hotline and National Wetland Inventory Maps
The Wetlands Protection Hotline and National Wetlands Inventory Maps should be used to
determine and verify the existence and classification of wetlands on site or on adjacent properties.
Radioactive Materials
Past and present radioactive management practices should be reviewed to determine whether
radioactive material handling, treatment, storage, and disposal activities may have caused
contamination.
Facility and Program Personnel
The laboratory director, and current and former employees may be able to provide information
related to radiological laboratory activities and materials uses (e.g., sampling, analysis,
experiments, disposal).
Nuclear Regulatory Commission
The NRC or the facility should be able to provide information on the facility's radioactive
materials license. A list of the four NRC regional offices and their phone numbers is provided in
Appendix K. The NRC license, license conditions, and notice of violations should be obtained
and reviewed to determine the nature and type of materials handled, stored, and disposed.
Operating procedures applicable to licensed activities should also be reviewed to determine the
potential areas of contamination, equipment and laboratory surface exposure, potential air
emissions, HVAC duct contamination, and potential contaminated environmental media (e.g.,
groundwater, surface water, soil). NRC licenses require monitoring and surveys to be conducted
and maintained by the facility. These surveys should be reviewed to determine the potential levels
and locations of radioactive contamination. The Environmental Surveys and Audit Reports
discussion in this section provides a list of sources for this information.
PCBs
All PCB documentation should be gathered and reviewed, and PCB equipment and activities
should be identified. The purpose of the PCB review is to determine whether any releases of
PCB-containing materials have occurred, and to disclose any other PCB-related information
which might affect the environmental condition of the facility.
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Utility Transformer Records
The primary source for utility transformer records is facility personnel, and the facility's PCB
logs. Under 40 CFR §761.180, facilities that use or store a total capacity of greater than 45
kilograms of PCBs, one or more PCB transformers, or 50 or more PCB large capacitors are
required to maintain an annual PCB log on site. Other sources for additional records include the
EPA regional office and utility company. A phone listing of EPA's Toxic Substances Control Act
(TSCA) regional offices is provided in Appendix L. The facility manager also may have
information related to the PCB-containing sources (e.g., electrical utilities) at the facility.
Facility and Program Personnel
The laboratory director, and current and former employees may be able to provide information
related to PCB laboratory activities (e.g., sampling, analysis, experiments, disposal). Past and
present PCB management practices for laboratory activities should be reviewed to determine
whether PCB handling, treatment, storage, and disposal activities may have caused contamination.
Asbestos
Asbestos reports and inspections by engineers or consultants are conducted routinely for site
assessment and regulatory purposes. Specifically, the facility manager may have had asbestos
inspections performed for building repair, improvements, or construction activities. If these
reports have been prepared, a copy should be obtained from the owner or operator of the facility.
These reports should be reviewed to determine whether asbestos exists, where it exists, the levels
present, and the abatement measures taken (if any). The O&M plan provides another source of
information on asbestos. This plan should provide information on the location of asbestos within
the facility and how this material is managed. Asbestos surveys are another source of
information. The surveys should be maintained on site for buildings constructed before 1982. In
general, buildings constructed before 1987 may contain asbestos. For EPA facilities, back-up
copies may be available either with SHEMD or the EPA Regional Asbestos Coordinator's Office.
A telephone list of EPA's Regional Asbestos Coordinator's Offices is provided in Appendix M.
Lead-Based Paint and Other Lead Sources
Any information on the application, presence, or removal of LBP should be obtained, assimilated,
reviewed, and evaluated during the Phase I EDDP. Structures built before 1978 are more likely to
have LBP than those constructed after 1978. Lead contained in paint, paint chips, or dust can
pose health hazards if not managed properly, especially to pregnant women and children. The
EDDP review team should evaluate the potential for site structures to contain LBP, and inspect
building features or documentation to determine whether lead piping has been used. Post-1978
property transfer and lease arrangements generally will disclose LBP and other lead hazards.
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Indoor Air
The state or federal OSHA, or county health department can provide information on any indoor air
or other health-related complaints that might be associated with the property. The local SHEMP
manager will have records of indoor air issues related to EPA facilities.
Laboratory Operations, Analyses, and Experiments
A general understanding of current and past laboratory operations should be developed to
document the potential cleanup, deactivation, and decommissioning requirements. Past
knowledge of and present laboratory and research activities, and hazardous substance usage and
disposal practices will also help to determine the suspected areas and nature of hazardous and
radioactive material contamination. Stationary and mobile equipment and surfaces, building
systems, exterior and independent structures exposed to hazardous materials and contamination
should be identified and documented. Airborne and direct contact exposure pathways should be
considered when identifying the equipment and surfaces potentially contaminated. Additional
information on equipment deactivation and decommissioning, and facility surveillance and
monitoring is provided in Section 2 of this document.
PHASE I REPORT
After completing Phase I of the EDDP, all information collected should be summarized and
documented in a Phase I report. A suggested outline of the report is provided in Table 4.
Report Development
The purpose of the Phase I report is to document the data gathered, and to present the results of
the Phase I analysis. This report may be used to determine the need for and scope of Phase II.
The report should be used as the basis for determining whether contamination is suspected and
what activities under Phase II should be conducted, if any. The Phase I report should provide the
back-up documentation including, but not limited to, inspection notes, facility-related reports,
completed questionnaires, correspondence with state agencies, and site maps.
Phase I
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Table 4
Phase I Report Outline
1.0 Introduction
1.1	Purpose
1.2	Limitations and Exceptions of
Assessment
2.0 Site Description
2.1	Location and Legal Description
2.2	Site and Vicinity Characteristics
2.3	Description of Structures, Roads, or
Other Improvements on the Site
2.4	Site Rendering, Map, or Site Plan
3.0 Site Ownership and Use
3.1	Site Ownership
3.2	Site Use - Historic
3.3	Site Use - Current
3.4	Site Use - Intended Future Use and
Zoning
3.5	Aerial Photographs
4.0 Site Reconnaissance and Interviews
4.1	Building
4.1.1	PCBs
4.1.2	Asbestos
4.1.3	Lead-based Paint
4.1.3	IndoorAir
4.1.5	Laboratory Equipment and
Systems
4.1.6	Other Information
4.2	Site Grounds
4.2.1	Physical Setting
4.2.2	Storage Tanks
4.2.3	Waste Treatment or Disposal
Systems
4.2.4	Indication of Solid Waste
Disposal
4.2.5	Other Information
5.0 Adjacent and Neighboring Properties
5.1	Current and Past Uses (to the extent
identified)
5.2	SAR Findings
6.0 Records Review
6.1	Federal Records
6.2	State Records
6.3	Local Records
6.4	EPA Facility Records
6.5	Property Owner Records (if
applicable)
7.0 Hazardous Materials and Waste
Management
7.1	Hazardous Waste Generation,
Storage and Disposal Practices
7.2	Hazardous and Regulated
Materials Management
7.3	Nonhazardous Waste
Management
8.0 Radioactive Materials Management
9.0 Sensitive Environmental Areas
9.1	Wetlands
9.2	Historic Value
9.3	Recreational Land Use
10.0 Supplemental Information
and Previous Studies
11.0 Conclusions and Recommendations
APPENDICES
List of EDDP In-brief Participants
Site Diagrams, Floor Plans, and Maps
Photograph Worksheets and Aerial
Photographs
Site Ownership Records
Site Assessment Report
Telephone Conversation Logs
EDDP Questionnaire
Past SHEMD Audits
Federal, State, Local, and EPA Facility
Chemical Inventory and Material Safety
Data Sheets
Phase I
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Report Review and Interpretation
The Phase I report will be reviewed for correctness and completeness by all participants and a
Phase I reviewer who meets the requirements stipulated in Appendix H. At a minimum, the
report should be reviewed and approved by the responsible programs, the EDDP Project Manager,
facility manager, SHEMP manager, SHEMD, FMSD, OGC, program or regional office
representatives, and any other relevant organization. The results of the Phase I, as contained in
the Phase I report, shall be used as the basis for a decision on whether the facility is likely to be
free from contamination, whether Phase II activities are warranted, or whether the potential for
contamination is such that other actions should be considered. This decision is usually a
collaborative effort between OA and the program and regional offices, with input or guidance
from qualified and technical professionals; however, if a mutual agreement cannot be reached, the
Director of OA will make the final decision.
PHASE II and III COST ESTIMATING
As illustrated in Exhibit 5, the recommended approach to developing a cost estimate incorporates
a methodology that is a composite of the best practices found in government and industry. This
approach should be tailored to each evaluation and situation.
The major objective of this section is to present a methodology that can be applied in developing
an accurate and reliable cost estimate for Phase II and III EDDP activities. Another objective is to
ensure that EPA has all the financial information needed to understand and assess the implications
of conducting Phases II and III. The steps used for this cost estimating process are presented
below.
Although there are minor differences between the Phase II cost estimating methodology and that
of the Phase III, the basic approach for both is the same. In Phase II, the cost estimating process
places emphasis on data collection, but the main focus is on confirmatory sampling of potentially
environmentally contaminated areas. The technical scoping for Phase III concentrates on the
characterization, remediation, disposal and demobilization activities. The generic Phase II and
Phase III cost estimating steps of the project are project planning/management, technical scoping,
model building and conclusions/budget development.
Phase I
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Exhibit 5
Phase II and III Cost Estimating Methodology Approach
MODEL
ADJUSTMENTS
DATA SHEETS
TECHNICAL SCOPING
BUILD CONCEPTUAL PROJECT MODEL
CONCLUSIONS & BUDGET DEVELOPMENT
PHASE II & III BUDGET SUMMARY/REQUEST
Project Planning and Management
Prior to conducting the actual cost estimating process, it is vital to review the historical data and
reports. This provides an understanding of the activities that have been performed and may assist
in the elimination of specific Phase II and Phase III projects. This process of elimination is to
focus on only those projects that require a Phase II and Phase III review. The purpose of
reviewing historical data and reports is to leverage information from earlier studies to reduce the
possibility of repetition. While performing the documentation review, a potential project schedule
should be created which will identify critical paths and relationships between projects.
Initially, the Phase I report should be reviewed to provide an understanding of the project plan and
technical scope. The results of previous interviews, and reviews of documentation such as
environmental compliance audits, provides key information. Upon gaining a complete
understanding of the project status, it is vital to proceed further into the planning phase. This
includes the creation of a draft project Work Breakdown Structure (WBS), development of a data
collection tool (or data sheet), and scheduling the site visit and interviews. The WBS serves as a
tool to help organize the projects and sub-projects by logically defining the scope and determining
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the potential need for each of the activities that can occur in Phases II and III. The WBS
ultimately aids in the development of the cost model structure. Exhibit 6 provides an example of
a sample WBS.
Exhibit 6
Sample WBS
1.0 EPA Facility "X'
1.2 Project A
1.3.1 Sink Traps
1.1.1 Storage Tanks
1.1.2 Incinerator
1.3 Project C
1.3.2 Fume Hoods & Counter Tops
1.1 Project A
1.2.2 Lead Based Paint
After completing a preliminary WBS and creating the data collection tool, it is determined
whether a site visit is necessary. Depending on the amount of data present, this step may be
eliminated. The purpose of the site visit is to examine potentially contaminated areas, and to
conduct any follow-up interviews that may be necessary to further investigate the issues identified
in Phase I. Extensive data gathering is conducted during the site visit to obtain sufficient
information and technical parameters to develop an accurate and defensible cost estimate.
Technical Scoping
Technical scoping determines the activities and approach for conducting Phase II and III EDDP
activities. Also, it is important to evaluate facility operations and processes as a part of the
technical scope. This information serves as an indicator for the potential contaminants that may
exist and which media may be contaminated. The purpose of holding discussions and conducting
a thorough evaluation is to determine the extent of contamination and the need for remediation
efforts. As a result of these investigations, certain areas or projects may be eliminated from or
added for consideration in Phase II and III. This may also be considered as a process of
prioritizing projects requiring further investigation. This elimination or addition process needs to
be documented and justified to answer future questions regarding any potential inconsistencies
with the report for the prior Phase, either I or II. The results of this process are subject to EPA
approval and may also serve as a basis for understanding the likelihood of contamination and
potential degree of the contamination. This understanding is needed to properly scope the Phase
II cost estimate and may impact any Phase III estimates.
Phase I
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Data Sheets
Information on the technical scope of each Phase II and III project and subproject that is selected
for review is compiled in a data sheet. This data collection tool is devised to collect information
such as: the project and subproject descriptions; a brief summary of former reports (Phase I or II),
relevant assumptions; applicable dimensions and physical descriptions, the media to be sampled
or remediated; the type and number of samples to be collected; the laboratory analysis conducted
and the remediation activities. Another key factor is understanding the level or personal
protection equipment (PPE) that is required to conduct Phase II and III EDDP activities. After the
data gathering step, the cost estimating team reviews the completed sheets to clarify any
discrepancies. This review process is performed for each selected Phase II and III project.
Data Analysis
Following the extensive collection of site data, this information presented in the data sheets must
be interpreted and analyzed. This analysis may include discussions with subject matter experts in
areas such as laboratory operations, engineering, and regulatory compliance. The information
assimilated from these discussions are used by the cost estimators for reviewing data to identify
necessary areas of investigation, to further eliminate additional projects, to determine types of
analysis required for those sites in question, and to estimate the potential size of the
contamination.
Building a Conceptual Project Model
Using the information from the previous steps, a detailed cost estimate can be completed. This
estimate will frequently include a cost model at the project and sub-project level. The cost model
can be built using a number of tools. Two of the more common tools include R.S. Means
Environmental Restoration Cost Estimating Guides and the U.S. Air Force Remedial Action Cost
Engineering & Requirements System (RACER). R.S. Means guides are generally used to build a
detailed, bottoms-up cost estimate. RACER provides standardized estimated costs based upon
costs for similar activities at other sites. As the basis for these costs in RACER are generally from
Superfund sites, these costs are particularly appropriate in a highly regulated environment such as
Superfund. In either case the costs may need to be adjusted for geographic location, level of PPE
necessary, the applicable regulatory environment, and projected year of the start date.
Assumptions for each project and sub-project should be documented. The assumptions range
from caveats regarding unexpected findings to estimates of the efficiency of workers using several
layers of PPE.
Because EPA's EDDP is usually based on volunteer and cooperative regulatory environment,
thereby requiring a detailed, bottoms-up estimate, R.S. Means cost estimating guides can be used
as a basis for estimating the potential costs of the Phase II and Phase III EDDP activities. As a
result, some projected activities such as laboratory analyses can be directly estimated from
standard costs. Alternatively, for other activities such as well drilling or excavation, each cost
component needs to be assembled and cost developed for discrete activities at each site. For
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example, Exhibit 7 presents a detailed, bottoms-up cost component for drilling a 15-foot deep,
inch diameter soil boring for the purposes of collecting soil samples.
Exhibit 7
Sample Cost Assembly
ASSEMBLIES FOR ESTIMATING PHASE II & I
Soil Drilling for 15' hole w/8" diameter
33010101	Mobilize/Demobilize Drilling Rig & Crew
33020303	Organic Vapor Analyzer
33170808	Decontaminate Rig, Augers, Scr^
33231101	Hollow-stem Auger
33231106	Split Spoon Sample
33231126	55 Gallon Drum for Drill Cuttings
33170821	Decontamination Trailer
Total
Unit Cost
Unit
Quantity
Total Cost
CO
o
CO
CO
Lump Sum
0.5
$1,654.00
V \H84.3
Day
0.5
$92.15
\43205
Day
0.5
$102.67
^ 60.15
LF
15
$902.25
46.67
Ea.
3
$140.01
65.19
Ea.
0.91
$59.32
2120
Month
0.01666
$35.32



$2,985.72
In addition to the detailed bottoms-up estimate, there are a number of general adjustments made
when developing a cost estimate. These adjustments could include regional cost differentials,
project oversight and program management, escalation, profit and contingency. The total cost of
the project may be subject to a location multiplier, which is to cover the regional labor cost
differentials. The escalation factor is based on the current Office of Management & Budget
(OMB) Circulars. The profit and contingency are calculated by using the R.S. Means or are based
on the industry standard. Additional costs resulting from contractor and federal oversight are also
incorporated at this stage. The costs for site mobilization, sampling and analysis plan preparation,
report preparation and federal oversight are also included and may increase proportionately.
Conclusions and Budget Development
For some cost estimates a range of costs may be appropriate. The ranges are based upon
assumptions and scenarios such as worst case (high or most stringent assumptions), best case (low
or minimal assumptions), and most reasonable case (middle or most likely assumptions). For the
EDDP, the costs are built upon three scenarios, each having assumptions that drive differences in
the sampling or remediation requirements. These assumptions are based upon varying levels of
oversight that would be required either by the State or by the initial findings of contamination.
The most reasonable case, which is the optimum and most representative cost, is typically (more
commonly) used in the budget estimate. However, once three cost scenarios are developed, the
responsible EPA program office representatives should determine the cost scenario that is most
suitable and that they are most comfortable with for incorporation into their budget.
Additional information on funding and budget responsibilities are discussed in a May 29, 1996,
Memorandum from EPA's Office of Administration Director, John C. Chamberlin, subject titled
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Management Responsibility for Transferring EPA Real Property. This May 1996 memorandum is
provided in Appendix F of these guidelines.
Finally, site-wide costs are generally split based on a dynamic percentage of on-site activity such
as sampling, characterization and remediation. These site-wide costs include mobilization,
oversight, independent verification, reporting, and health and safety.
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5. PHASE II - CONFIRMATORY SAMPLING
INTRODUCTION
The purpose of the Phase II EDDP is to confirm the presence or absence of suspected
contamination identified in the Phase I EDDP. This is accomplished by conducting confirmatory
sampling of the potential areas of environmental concern identified in the Phase I EDDP to
determine whether actual contamination exists. If contamination exists, Phase III EDDP activities
are typically undertaken to fully characterize site contaminants, develop remedial approaches and
cost estimates, and perform remediation or decontamination of contaminated areas. Phase III
EDDP activities are discussed in more detail in the next section of these guidelines. However, if
Phase II sampling determines that contamination does not exist, the EDDP is considered
complete.
Phase II is a critical step in determining the actual environmental risks or liabilities associated
with the subject property and infrastructure, and the costs of potential Phase III activities.
However, there are instances when Phase II EDDP activities are not conducted because the extent
of contamination is already known and documented, or can reasonably be assumed. In these
cases, EDDP activities are streamlined and sequenced so that activities flow directly from Phase I
to Phase III.
EPA will be acting in a management and oversight role during Phase II EDDP activities. The
actual work will be performed by a qualified architecture and engineering (A&E) firm. Therefore,
the focus of this section of the guidelines is to provide EPA managers with the institutional
knowledge and resources to properly manage Phase II EDDP activities from inception to
completion. It is important to note that the majority of Phase II EDDP activities will be
performed by EPA when vacating leased or owned property. Only in rare instances will EPA
decide to perform Phase II EDDP activities prior to acquiring, inheriting, or leasing new property.
Therefore, the information in this section of the guidelines is primarily written from a property
disposal perspective.
To ensure a smooth transition from Phase I to Phase II EDDP activities it is paramount that EPA
EDDP managers be familiar with the findings and recommendations in the Phase I EDDP report,
the ASTM Standard Guide for Environmental Site Assessments: Phase II Environmental Site
Assessment Process (E 1903-97), and federal, state and local environmental requirements. This
information should be used as a roadmap for planning and implementing Phase II EDDP
activities. It is also important that EPA EDDP managers concurrently evaluate financial, legal,
National Environmental Policy Act (NEPA), operational, occupancy and vacancy, political, and
real estate considerations throughout the process, so EDDP decisions are not made in a vacuum.
Therefore, the EPA EDDP Project Manager must work hand-in-hand with other internal program
and regional offices to ensure these considerations are incorporated into the overall process.
The Phase II EDDP guidelines are general and are intended to provide EPA EDDP managers with
a basic understanding of the breadth and depth of activities performed in this phase. Site specific
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conditions, past and current tenants and their operations, and the physical condition of the
infrastructure (e.g., buildings, equipment, tanks, HVAC systems, fume hoods, generators) may
result in additional steps or considerations. This decision will be made by EPA EDDP managers,
and the relevant program and regional offices at the time Phase II EDDP planning activities are
initiated by Regional, Program, or Headquarters staff.
There are three steps in the Phase II process that EPA EDDP managers need to consider, including
the planning step, implementation step, and closeout step. A detailed discussion of each of these
steps is provided below.
PLANNING STEP
The planning step is the most challenging and important step in the process. It establishes the
foundation on which EPA will progress with the project from inception through completion.
Several activities are conducted in this step, including:
Establishing EPA's roles and responsibilities for the project
Coordinating and communicating with internal EPA program and regional offices, facility and
SHEMP managers, property managers and owners, GSA, oversight and A&E contractors, and
regulators
Reviewing and evaluating the findings and recommendations in the Phase I EDDP report
Reviewing and validating cost estimates for Phase II EDDP activities
Complying with and conforming to the Phase IIASTM standard, and federal, state and local
environmental requirements
Discussing data quality objectives (DQO) and quality assurance/quality control (QA/QC)
procedures for Phase II EDDP activities
Developing technical and programmatic documents
Selecting oversight and A&E contractors
Establishing field oversight policies and protocols
Assessing the potential impacts of Phase II EDDP activities on facility operations and the
physical site conditions
•	Managing and disposing of investigation-derived waste (IDW)
•	Ensuring contractors, regulators, and external organizations have access to the property.
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Further information on each of these activities is provided in the following subsections.
EPA's Roles and Responsibilities
EPA's roles and responsibilities during the planning stages of Phase II EDDP activities will
involve leading and partnering with internal and external organizations to streamline the process.
Internal organizations include program offices, regional offices, and headquarters. External
organizations include GSA, property owners and managers, state and local regulators, and
contractors. The critical decision in establishing EPA's roles and responsibilities is to identify the
EDDP Project Manager and lead representatives for the relevant program offices, regional offices,
and Headquarters. This is a collaborative decision that is made by EPA's Senior Managers in the
relevant program, regional, and Headquarters offices. The EDDP Project Manager and lead
representatives work directly with EPA's Senior Managers to lead, plan, organize, implement, and
complete all facets of Phase II EDDP activities.
Coordination and Communication with Internal EPA Program Offices, Property Managers and
Owners, GSA, Oversight and A&E Contractors, and Regulators
The EDDP Project Manager and lead representatives will coordinate efforts with internal offices,
property managers and owners, GSA, contractors, and the regulators. The coordination and
communications with these organizations is critical to the success of the project. Specifically, the
EPA EDDP Project Manager will interact with these organizations to ensure potential conflicts of
interest are avoided, confidentiality is maintained, and relevant information is shared openly
across the spectrum of projects and activities. For example, coordination and communications
with internal organizations will involve administrative, legal, real estate, logistical, regulatory,
cost, and technical aspects of the project. Conversely, coordination and communications with the
property managers and owners will solely involve real estate issues. As a result of this dynamic
environment, EPA's ability to build and nurture relationships with these internal and external
organizations is critical to the success of the project. Therefore, EPA must strive to establish
strong and trusting relationships through its actions, open communications, and proactive
attitudes.
Evaluating Findings and Recommendations
The Phase I EDDP report is used as the roadmap to plan and perform Phase II and III EDDP
activities. The most important aspect of this process is reviewing and evaluating the findings and
recommendations to determine a course of action for post Phase I EDDP activities. EPA should
perform a thorough review to validate these findings and recommendations to ensure potential
areas of environmental concern identified in the report are legitimate. Specifically, EPA needs to
review the potential contaminants of concern, as well as the potentially contaminated media (i.e.,
air, water, land, buildings, equipment, infrastructure, etc.) to determine whether it warrants further
investigation. In addition, EPA should not lose sight of the fact that unanticipated events (i.e.,
accidents, chemical spills, fires, etc.), changing conditions, or new information could surface that
may require the Agency to develop an addendum to the Phase I EDDP report.
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Validating Cost Estimates
Another important aspect of the Phase II EDDP planning activities is reviewing and validating the
cost estimates for confirmatory sampling. The cost estimates are developed after completion of
the Phase I EDDP report to provide EPA with an order of magnitude on the costs of Phase II and
III EDDP activities. EPA uses these cost estimates in developing their budget submission to
Congress, and as a planning tool for streamlining Phase II EDDP activities. During this part of
the planning process, EPA needs to closely review and validate the technical scoping sheets,
associated assumptions, and cost worksheets on each project area to ensure the order of magnitude
cost estimates are accurate, defensible, and reflect the latest information. Any revisions to the
technical scoping sheets, assumptions, and/or cost worksheets needs to be documented before
EPA negotiates Phase II EDDP costs with the A&E contractor performing the work.
Compliance with Environmental Requirements
ASTM's Standard Guide for Environmental Site Assessments: Phase II Environmental Site
Assessment Process, E 1903 - 97 (or most recent version), should be used by EPA as a reference
when planning Phase II EDDP activities. This standard provides good commercial and customary
practices for appropriate inquiries into potential areas of environmental concern identified during
the Phase I EDDP. However, the standard does not address business judgments regarding Phase II
EDDP activities. It is important to note that Phase II EDDP activities cannot eliminate all
uncertainty associated with the subject property. Therefore, professional judgment and
interpretation are inherent to the Phase II process. In addition to the ASTM standard, EPA must
adhere to the federal, state and local environmental requirements. The applicability of federal,
state, and local environmental requirements are dictated by site-specific factors, such as location,
conditions and operations, existing permits and licenses, potential contaminants of concern, and
affected environmental media. Based on these factors, EPA will need to work closely with
federal, state and local environmental representatives to ensure all requirements are addressed
throughout Phase II EDDP activities.
Data Quality Objectives and QA/QC Procedures
DQOs are an extremely important part of the Phase II EDDP planning process. DQOs are both
quantitative and qualitative statements used to assist managers in clarifying study objectives,
defining the appropriate type of data, and specifying tolerable levels of potential decision errors
needed to support critical project decisions. EPA has developed a seven step DQO process to
organize, compile, evaluate, and manage environmental data to achieve desired results. These
seven steps are highlighted below:
•	State the problem - define the problem; identify the planning team; examine the budget and
schedule
•	Identify the decision - state the decision; identify the study questions; define alternative
actions
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•	Identify all inputs to the decision - identify information needed for the decision (information
sources, basis for action levels, sampling and analysis methods)
•	Define the boundaries of the study - specify sample characteristics; define spatial and
temporal limits, and units of decision making
•	Develop a decision rule - define statistical parameters; specify action levels; develop the
logic for action
•	Specify tolerable limits on decision errors - set acceptable limits for decision errors relative
to consequences (i.e., health effects, costs, risks)
•	Optimize the design for obtaining data - select a resource-effective sampling and analysis
plan that meets the performance criteria.
The EDDP Project Manager should work closely with the Project Quality Manager to ensure
DQOs satisfy regulatory requirements, and strike a balance between common sense, good
judgment, and cost-effectiveness.
EPA also needs to ensure that QA/QC procedures are implemented, documented, and
communicated to all relevant organizations performing work on the project. This can be
accomplished through developing a Quality Management Plan (QMP). The QMP will document
how EPA structures its quality system, describes its quality policies and procedures, criteria for
and areas of application, and roles, responsibilities, and authorities. A strong QMP will minimize
or eliminate the possibility of invalid data, data errors, indefensible data, or inconsistencies with
data collection, analysis, and evaluation. The EDDP Project Manager and Quality Manager
should work in tandem to develop the QMP.
Developing Technical and Programmatic Documents
EPA will need to develop a number of technical and programmatic documents during the planning
process of the Phase II EDDP activities to streamline the administrative, contracting, and technical
requirements associated with the project. The technical documents may include contracts,
Memoranda of Agreements (MO As) or Memoranda of Understandings (MOUs), Interagency
Agreements (IAGs), and statements of work (SOWs). The programmatic documents may include
a project management plan (PMP), a communications plan, and QMP.
These documents will be used as roadmaps by EPA in the planning and implementation of Phase
II EDDP activities. Therefore, it is paramount that EPA complete these documents as early in the
planning process as possible.
Selecting Oversight and A&E Contractors
Another key element of the Phase II EDDP planning activities is selecting an oversight contractor,
as well as an A&E contractor. The oversight contractor will assist EPA in providing
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programmatic and strategic support, and technical assistance; therefore, the oversight contractor
needs to be knowledgeable of EPA's programs as well as the due diligence process. The
oversight contractor will typically provide EPA with the following services:
•	Programmatic and strategic planning and implementation
•	Technical support and assistance
•	Project management and oversight
•	General support.
Before selecting the oversight contractor, EPA should ensure the contractor is familiar with
ASTM's Phase II standard, federal, state and local environmental requirements, sampling
protocols and procedures, EPA's facilities, and due diligence processes. Appendix P provides a
list of qualifications for Phase II EDDP contractors.
The A&E contractor, on behalf of EPA, will perform the confirmatory sampling on the potential
areas of environmental concern identified in the Phase I EDDP report. The contractor will need to
possess extensive experience and institutional knowledge of field and laboratory sampling
activities and protocols related to various media including, but not limited to, soil, sludge, water,
groundwater, concrete, chemicals, waste, fumehoods, tanks, infrastructures and buildings, and
equipment. The A&E contractor also will need to be knowledgeable of ASTM's Phase II
standard, federal, state and local environmental requirements, and best management practices
(BMPs). The A&E contractor will typically provide EPA with the following services:
•	Development of programmatic and technical documents
•	Phase II EDDP sampling and analysis
•	Evaluation and interpretation of the sampling results
•	Phase II documentation.
Before selecting the A&E contractor, EPA should ensure the contractor is familiar with ASTM's
Phase II standard, federal, state and local environmental requirements, sampling protocols and
procedures, EPA's facilities, and due diligence processes.
Establishing Field Oversight Policies and Procedures
Another important aspect of the Phase II planning process is the establishment of field oversight
policies and procedures. The field oversight policies need to focus on the health and safety of
EPA's employees and contractors, and consider the potential hazards that exist and the specific
activities being performed by the A&E contractor. The policies must also achieve the overall
goals and objectives of the project, delineate roles and responsibilities, incorporate standards and
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guidelines, and provide documentation and reporting requirements. The procedures need to
provide EPA employees and oversight contractors with guidance for performing Phase II field
oversight activities. These activities include observing sampling activities, record keeping (i.e.,
use of log books), and assessing conformance with contracts, IAGs, MO As, MOUs, SOWs,
sampling and analysis plans, and health and safety plans.
Assessing the Potential Impacts of Phase II EDDP Activities
EPA must assess the potential impacts of Phase II EDDP activities on facility operations and the
physical site conditions so that disruptions to operations can be minimized through proper
planning. Since confirmatory sampling may be required both internally within buildings and
externally on the subject property, EPA will need to work closely with the facility manager,
SHEMP manager, program or regional offices, and property managers and owners to ensure
impacts to facility operations and physical site conditions are minimized. Therefore, EPA should
make it a priority to establish a schedule of events as soon as possible, so all affected parties can
minimize disruptions to operations.
Management and Disposition of IDW
Another aspect of the Phase II EDDP planning process is the management and disposition of
IDW. EPA should work closely with the site Safety, Health, and Environmental Management
Office to identify and follow existing policies and requirements related to waste management. In
addition, EPA needs to decide whether to manage the IDW internally or require the A&E
contractor to manage it independently. The main point is that EPA needs to ensure that IDW is
managed and disposed of in accordance with federal, state and local environmental requirements,
as well as internal waste management policies.
Access to the Property
The last activity that needs to be performed by EPA during the Phase II EDDP planning process is
ensuring that access to the property is granted to contractors, regulators, and other external
organizations. Because EPA's properties are restricted, it is important that all relevant
contractors, regulators, and other external organizations have access to those areas of the subject
property where sampling will occur. To accomplish this EPA will need to work closely with
security to ensure the external organizations obtain the appropriate identification badges for their
personnel prior to initiating work. Advanced planning will ensure work crews are not delayed
during mobilization and on-site operations due to accessibility problems.
IMPLEMENTATION STEP
The implementation part of the Phase II EDDP activities involves performing the sampling and
field work, conducting laboratory analyses, and assimilating, organizing, reviewing, and
evaluating the results of the sampling. This step involves the following activities:
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•	Reviewing, commenting, and approving programmatic and technical documents developed by
the A&E contractor
•	Providing oversight and management of the field work
•	Reviewing and evaluating the sampling results, and developing findings and recommendations
•	Conducting periodic meetings with internal EPA program offices, property managers and
owners, GSA, and regulators on Phase II activities.
Further information on each of these activities is provided in the following subsections.
Reviewing Programmatic and Technical Documents
The first order of business during the Phase II EDDP implementation step is to review, comment,
and approve the programmatic and technical documents developed by the A&E contractor. The
programmatic documents consist of the QMP, quality assurance project plan (QAPP), and the site
safety and health plan (SSHP). The QMP will document how the A&E contractor will plan,
implement, and assess the effectiveness of its quality assurance and quality control operations for
EPA's EDDP; it shall also adhere to EPA's Interim Final Requirements for Quality Management
Plans (EPA QA/R-2). The QAPP will serve as a tool to document the type and quality of data
needed for environmental decisions. It will describe the methods for collecting and assessing the
data, and shall adhere to EPA's Interim Final Requirements for QAPP (EPA QA/R-5). The SSHP
will identify all known and suspected hazards which may be encountered during EDDP; it will
contain methods that will be implemented to mitigate all safety hazards, and shall adhere to all
applicable OSHA standards, including 29 CFR Part 1910 (General Industry Standards) and 29
CFRPart 1926 (Construction Safety).
The technical documents consist of the technical work plans, cost estimates, schedules,
preliminary findings, and both draft and final reports. The technical work plan is typically
referred to as the Sampling and Analysis Plan (SAP), which will present the sampling strategy and
planned Phase II activities. The SAP will detail the following:
•	Location
•	Amount and types of samples to be collected as well as the sampling methodology
•	Constituents of concern and the laboratory analytical methods to be used
•	Established regulatory action levels.
In the absence of established regulatory action levels, it is advisable that site-specific action levels
be identified in the SAP, if possible.
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Prior to EPA's approval of the SAP, EPA and the oversight contractor will need to evaluate the
technical approach to determine if the planned activities will accomplish EPA's sampling
objectives. As part of this evaluation, it is important to consider the potential results achieved
during the planned Phase II sampling activities. Considerations may include:
•	Sampling results are below established action levels or are below method detection levels -
Will the planned sampling provide sufficient data to support No Further Action and conclude
the EDDP?
•	Sampling results are above established action levels - Will the results provide sufficient
information to confirm or invalidate assumptions made during the planning process? Will the
results provide sufficient data to determine and assess appropriate next steps?
Considering the potential outcomes of the planned Phase II sampling activities is a critical step in
determining if the SAP is responsive to the objectives of the EDDP project.
The cost estimates and schedules will reflect the planned activities as described in the approved
SAP, and the work performed and associated findings will be detailed in the draft and final Phase
II reports. EPA should work closely with the A&E and oversight contractors to develop a realistic
schedule for reviewing, commenting and approving all programmatic and technical documents. It
is paramount that the documents be thorough and conform to current EPA guidelines and
requirements, federal, state and local environmental requirements, the Phase IIASTM standard,
and BMPs, while remaining responsive to the project objectives.
Oversight and Management of Field Work
EPA will be acting strictly in an oversight role during Phase II sampling activities. The oversight
contractor will serve as the primary liaison between the A&E contractor and EPA. Therefore, the
oversight contractor will need to follow the direction and guidance of EPA in terms of providing
oversight of the sampling. The oversight contractor will need to be knowledgeable of sampling
and laboratory analysis methodologies, general and site-specific health and safety, the background
of the project area, potential constituents of concern, and standard operating procedures for
environmental investigation. Effective oversight of Phase II activities will assist EPA in
thoroughly understanding the sampling results and variables, reducing uncertainty in the
interpretation of results, and determining appropriate next steps.
Some of the oversight activities include comparing the A&E contractor's physical activities to the
programmatic and technical documents, observing and documenting sampling procedures, and
documenting any discrepancies in a log book. It is important to note that EPA should address any
discrepancies or concerns with the A&E contractor as soon as possible to prevent unanticipated
problems or additional costs.
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Reviewing and Evaluating Sampling Results and Developing Findings and
Recommendations
Reviewing and evaluating sampling results, and developing findings and recommendations, is the
most important part of the Phase II implementation process. This is the point at which the
decision is made regarding no further action or recommendations for Phase III EDDP activities.
EPA will need to work closely with the A&E and oversight contractors to thoroughly understand
the sampling results and its impact on future work. Specifically, EPA will need to evaluate the
sampling results considering the following factors:
•	Compliance with environmental regulations and requirements, and conformance to the ASTM
standards and the SAP - Was the work performed as planned? If there were deviations, were
they valid?
•	Confidence in representative results - Do the sampling results provide adequate information
to make reasonable conclusions and develop next steps? Do the sampling results validate
assumptions made during the planning process?
•	Risks to human health and the environment and liabilities associated with the property - Do
the results indicate an immediate threat to human health and the environment? Do the results
identify property liabilities?
EPA will need to consider each of these factors both independently and jointly before developing
formal findings and recommendations regarding the next steps in the EDDP.
Conducting Periodic Meetings
EPA will need to meet with internal program offices, property managers and owners, GSA, and
regulators on a regular basis to keep them informed on the status of Phase II EDDP activities. The
EDDP Project Manager will lead, manage, and facilitate these meetings. The meetings are an
excellent opportunity to develop strong partnerships, build consensus and confidence in the
project, and resolve critical and administrative issues.
The issues discussed in these periodic meetings must be tailored to the role of each involved
party, but will typically involve some or all of the following: the technical approach, identified
property liabilities, deviations from technical or programmatic documents, project costs and
budgets, recommendations, issues or concerns, next steps, and schedule. Various factors,
including the size and scope of the project, site-specific conditions, and existing relationships, will
dictate the periodicity of the meetings. It is critical that all correspondence regarding the EDDP,
particularly correspondence between EPA and regulators and between EPA and non-EPA property
managers and owners, be appropriately documented and retained by the EDDP Project Manager.
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CLOSEOUT STEP
The closeout is the last step in the Phase II process. In this step, EPA managers need to ensure
proper documentation on each sampling event has been completed so the Agency can make
informed decisions regarding Phase III EDDP activities or no further action. The activities
performed under this step include:
•	Developing the Phase II EDDP report based on the sampling results
•	Revising Phase III independent cost estimates based on the Phase II sampling results
•	Shipping the IDW off site to an authorized waste hauler and permitted disposal facility
•	Discussing the results of the Phase II EDDP activities with internal EPA program offices,
property managers and owners, GSA, regulators, and other relevant stakeholders.
Further information on each of these activities is provided in the following subsections.
Developing the Phase II EDDP Report
The purpose of the Phase II EDDP report is to document the results of the Phase II activities. The
report should be consistent with ASTM's Phase II standard, including:
•	Background information and description of the site, site history, physical setting, and adjacent
property land use (i.e., results of the Phase I)
•	Descriptions of Phase II activities including the scope of assessment, field explorations and
methods, and sampling and chemical analysis
•	Evaluation and presentation of results obtained during sampling and field activities and data
from laboratory analysis
•	Discussion of findings and conclusions
•	Recommendations (if appropriate).
The Phase II report will assist EPA managers in understanding the actual presence of site
contaminants, and determine the need to conduct Phase III EDDP activities or take no further
action.
It is important that a distinction be made between findings, conclusions, and recommendations.
Findings and conclusions reflect a factual and scientific account of activities performed, the
results of the sampling efforts, and comparing the results to established action levels. It also may
include the conclusion that additional work is required. Recommendations are not normally an
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appropriate part of the Phase II report; therefore, if Phase III EDDP activities are required, it is
advised that these recommendations be presented in a separate report. An example of what is and
is not appropriate in the Phase II report is provided below.
FINDINGS AND CONCLUSIONS V. RECOMMENDATIONS
APPROPRIATE	NOT APPROPRIATE
"...results indicate soil samplesXYZ "...results indicate soil samplesXYZ were
were above regulatory action levels'' above regulatory action levels and will
require excavation."
EPA senior managers, EPA SHEMD and FMSD managers, EPA program and regional
representatives and other involved parties must be briefed on the findings and conclusions
included in the Phase II report. Their review must:
•	Evaluate the accuracy of the conclusions relative to the data gathered
•	Determine whether the investigation was carried out in accordance with the SAP, and
comprehend the basis and impacts of any deviations
•	Ensure consistency between field samples and QA/QC samples
•	Evaluate the field data against the appropriate and relevant criteria (i.e., regulations)
•	Approve or concur with the conclusions in the Phase II report.
A typical outline for a Phase II report is provided in Table 5 at the end of this section.
Revising the Phase III Independent Cost Estimates
Generally, Phase III independent cost estimates would have been developed for planning and
budgeting purposes prior to the commencement of Phase II EDDP activities. Once the results of
the Phase II are obtained and recommendations for further work have been developed, the Phase
III independent cost estimates will have to be revised to reflect the updated information.
Shipping the IDW Off Site
Appropriate waste handling and disposal is critical to reducing EPA's long-term liabilities,
particularly when hazardous waste is involved. The EPA is liable for any improper handling,
storage, or disposal of EDDP-wastes, even when performed by non-EPA personnel.
It is at the discretion of the EDDP Project Manager whether EDDP-generated wastes will be
managed by the EPA under existing waste management procedures at an existing EPA facility, or
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if the wastes will be managed by the A&E contractor. If the wastes are managed by the
contractor, it is critical that EPA be involved in and approve the procedures for handling, storage,
transportation, and disposal of all EDDP-generated wastes. This involvement should include the
review and approval of all waste management documents (e.g., waste profiles, manifests) prior to
submittal to any regulatory agency or disposal contractor. The Environmental, Safety, and Health
Office or SHEMD can provide the EDDP Project Manager guidance and assistance in
establishing, reviewing, and approving appropriate waste storage, handling, and disposal
procedures and paperwork.
The contractor should be encouraged to utilize techniques that minimize the generation of wastes
whenever feasible, and consistent with the project objectives and applicable regulatory
requirements.
Discussing the Results of the Phase II
Upon completion of the Phase II, the EDDP Project Manager and lead representatives will
coordinate the presentation and discussion of the results of the Phase II with internal program and
regional offices, property managers and owners, GSA, regulators, and other relevant stakeholders.
It may be appropriate that copies of the draft Phase II report be provided to EPA program and
regional offices for review and comment. Only the final report should be provided to property
managers and owners, GSA, regulators, and other relevant stakeholders. It is important that the
EDDP Project Manager identify the expected role and level of authority of each stakeholder when
discussing Phase II results. Regulators should be given the opportunity to comment and
participate in developing appropriate next steps, while other stakeholders may have less of a role
in the decision-making process.
After the closeout step is completed, EPA managers will be able to develop the SOW, level of
effort (LOE), costs, and schedule for performing Phase III EDDP activities and the IV&V
requirements. This information will be very useful in addressing other property transfer-related
activities, including leasing and legal issues, occupancy and vacancy planning and
implementation, and operations shutdown.
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Table 5
Sample Phase II Report Outline
1.0 Executive Summary
5.0 Ground Water Sampling and Analysis
1.1 Purpose
5.1 Sampling Overview
1.2 Limitations and Exceptions of
5.1.1 Number of Wells
Assessment
5.1.2 Surveyed Well Location
1.3 Summary of Known Information
5.1.3 Well Placement
Findings of Phase I Assessment
5.1.4 Well Depth and Screened
1.4 Scope of Investigation
Interval

5.1.5 Well System Justification
2.0 Site Map/Building Plans
5.1.6 Analytical Parameters Including

Justification
3.0 Likely Sources of Contamination
5.2 Sampling Methods
5.2.1 Well Drilling Methods
3.1 Likely Sources of Contamination
a. Screening Data in
3.2 Location of Likely Sources
Cuttings/Soil Samples
3.3 Approximate Date/Type/Quantity of
b. Drilling Logs
Release
c. Well Construction

Descriptions and Diagrams
4.0 Soil Sampling and Analysis
d. Well Development Methods

e. Well Stabilization Period
4.1 Sampling Overview
5.2.2 Sampling Methods and
4.1.1 Types of Samples
Procedures
4.1.2 Location of Samples
a. Sampling Rationale
4.1.3 Sampling Objective and
b. Field Testing Results
Justification
c. Sampling Frequency
4.1.4 Analytical Parameters Including
5.3 Analytical Methods
Justification
5.3.1 Analytical Parameters Including
4.2 Sampling Methods
EPA Method Number and
4.2.1 Sampling Methods and
Detection Limit
Procedures
5.3.2 Name and Certification of
4.2.2 Boring Logs
Laboratory
4.2.3 Field Screening Data
5.4 Results
4.3 Analytical Methods
5.4.1 Data Presentation Including
4.3.1 Analytical Parameters Including
Tables
EPA Method Number and
5.4.2 Notation of Results Above
Detection Limit
Applicable Standards
4.3.2 Maps and Diagrams Showing
5.4.3 Maps and Diagrams Showing
the Extent of Contamination
the Potentiometric Surface
4.4 Results
Extent of Contamination
4.4.1 Data Presentation Including

Tables

4.4.2 Notation of Results Above

Applicable Standards

4.4.3 Maps and Diagrams Showing

the Extent of Contamination

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Table 5
Sample Phase II Report Outline (continued)
6.0 Other Sampling and Analysis
APPENDICES
6.1 Building Interiors
Drilling Logs
6.1.1 Sampling Overview
Well Construction Diagrams
6.1.2 Sampling Methods
Sampling and Analysis Protocol
6.1.3 Analytical Methods
Sample Preservation and Handling
6.1.4 Results
Other Field Activities
6.2 Surface Water

6.2.1 Sampling Overview

6.2.2 Sampling Methods

6.2.3 Analytical Methods

6.2.4 Results

6.3 Other Field Activities

7.0 Findings and Conclusions

7.1 Findings

7.1.1 Summary of Facts

a. Soil

b. Groundwater

c. Building Interiors

d. Surface Water

7.1.2 Documented Releases

a. On site

i. Location

ii. Type and Quantity

b. Off site

i. Location

ii. Type and Quantity

7.2 Conclusions

7.3 Other Field Activities

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6. PHASE III - CHARACTERIZATION, CLEANUP &
DECONTAMINATION
INTRODUCTION
The purpose of the Phase III EDDP activities is to characterize the extent of the contamination,
identify and implement remedial and decontamination strategies that provide a balance between
technical soundness, compliance and cost-effectiveness, and eliminate future property
environmental liabilities and risks. It is important to point out that this is the only phase of the
EDDP that ASTM does not have standards to follow. Therefore, federal, state and local
environmental requirements, as well as BMPs, are the guiding principles for Phase III EDDP
activities.
As in Phase II, EPA will be acting in a management and oversight role during Phase III EDDP
activities. The actual work will be performed by a qualified A&E firm. Therefore, the focus of
this section of the guidelines is to provide EPA managers with the institutional knowledge and
resources to properly manage Phase III EDDP activities from inception to completion.
To ensure a smooth transition from Phase II to Phase III EDDP activities, it is paramount that
EPA managers be familiar with the findings and conclusions in the Phase II EDDP report, federal,
state and local environmental requirements, and BMPs. This information should be used as a
roadmap for planning and implementing Phase III EDDP activities. It is also important that EPA
managers evaluate financial, legal, NEPA, operational, occupancy and vacancy, political, and real
estate considerations throughout the process, so EDDP decisions are not made in a vacuum. To
accomplish this EPA managers must work hand-in-hand with other internal program offices to
ensure these considerations are incorporated into the overall process.
As with Phase II EDDP activities, there are three distinct steps to the Phase III process that EPA
managers need to consider; the planning step, implementation step, and closeout step. In addition,
IV&V activities will commence after Phase III EDDP activities are complete to ensure cleanup
and decontamination activities are successful at minimizing or eliminating the environmental
contamination, liabilities and risks associated with the subject property. A detailed discussion of
these steps are provided below.
PLANNING STEP
The planning step of the process is a critical part of the overall Phase III EDDP activities. It
establishes the foundation on which EPA will progress with the Phase III process from inception
to completion. Several activities are conducted in this step, including:
•	Establishing EPA's roles and responsibilities relevant to this phase of the project
•	Reviewing and validating the Phase II findings and conclusions
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•	Conducting meetings with internal EPA program offices, oversight and A&E contractors,
federal, state and local environmental regulators, and property managers and owners
•	Reviewing and validating the independent cost estimates for Phase III EDDP activities
•	Complying with federal, state and local environmental requirements
•	Discussing DQO and QA/QC procedures for the Phase III activities
•	Developing technical and programmatic documents
•	Establishing field oversight policies and protocols
•	Assessing the potential impacts of Phase III EDDP activities on facility operations and the
physical site conditions
•	Managing and disposing of IDW and remedial wastes
•	Ensuring contractors, regulators, and other external organizations have access to the property.
Further information on each of these activities is provided in the following subsections.
Establishing EPA's Roles and Responsibilities
EPA's roles and responsibilities during Phase III EDDP activities will involve leading and
partnering with internal and external organizations to streamline the process. Internal
organizations include program offices, regional offices, and Headquarters. External organizations
include GSA, property owners and managers, state and local regulators, and contractors. The
critical decision in establishing EPA's roles and responsibilities is to identify the EDDP Project
Manager and lead representatives for the program offices, regional offices, and Headquarters.
This is a collaborative decision that is made by EPA's Senior Managers in the relevant program,
regional, and Headquarters offices. The EDDP Project Manager and lead representatives will
work with the Senior Managers in leading, planning, organizing, managing, and completing all
aspects of Phase III EDDP activities. Typically, the EDDP Project Manager and lead
representatives selected for Phase II EDDP activities will remain in their respective positions
throughout Phase III EDDP activities.
Reviewing and Validating Phase II Findings and Conclusions
The Phase II EDDP report is used as the roadmap to plan and perform Phase III EDDP activities.
The most important aspect of this process is reviewing and evaluating the findings and
conclusions to determine a course of action for post Phase II EDDP activities. EPA should
perform a thorough validation of these findings and conclusions to ensure contaminated areas
have been properly characterized. Specifically, EPA needs to review and evaluate the sampling
results and determine if the findings and conclusions are appropriate. Through reviewing and
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evaluating the findings and conclusions in the Phase II EDDP report, EPA will become familiar
with the challenges and concerns associated with the subject property, and start to develop a plan
of action for Phase III EDDP activities. In addition, EPA should not lose sight of the fact that
unanticipated events (i.e., accidents, chemical spills, fires, etc.), changing conditions, or new
information could surface that may require the Agency to develop an addendum to the Phase I and
II EDDP reports. Therefore, EPA needs to be flexible throughout the entire due diligence process.
Conducting Meetings
The EDDP Project Manager and lead representatives will coordinate efforts with internal program
offices, property managers and owners, GSA, oversight and A&E contractors, and the regulators.
The coordination and communication with these various organizations is critical to the success of
the project. Coordination and communication will be conducted independently with these various
organizations because of potential conflicts of interest, confidentiality, and the roles and functions
of each organization. For example, coordination and communication with internal organizations
will involve administrative, legal, real estate, logistical, regulatory, cost, and technical aspects of
the project. Conversely, coordination and communication with the property managers and owners
will solely involve real estate issues. As a result of this dynamic environment, EPA's ability to
build and nurture relationships with these internal and external organizations is critical to the
success of the project. Therefore, EPA must establish strong and trusting relationships through its
actions, open communications, and a proactive attitudes.
Reviewing and Validating Independent Cost Estimates
Another important aspect of the Phase III EDDP planning activities is reviewing and validating
the cost estimates for cleanup and decontamination activities. The order of magnitude cost
estimates are developed before Phase II EDDP activities, and are often developed for several
Phase III scenarios to provide potential budget requirements for Phase III EDDP activities. EPA
uses these cost estimates in developing their budget submission to Congress, as well as a planning
tool for streamlining Phase III EDDP activities. During this part of the planning process, EPA
needs to closely review and validate the technical scoping sheets, assumptions, and cost
worksheets on each project area to ensure the order of magnitude cost estimates are accurate,
defensible, and reflect the latest information. Any revisions to the technical scoping sheets,
assumptions, and/or cost worksheets need to be documented before EPA negotiates Phase III
EDDP costs with the A&E contractor performing the work.
Complying with Federal, State and Local Environmental Requirements
EPA must adhere to federal, state and local environmental requirements throughout the entire
EDDP process. Therefore, identification and incorporation of all relevant requirements needs to
be considered during the Phase III planning process. Specifically, location, site specific
conditions and operations, existing permits and licenses, the contaminants of concern, and
affected environmental media will dictate which federal, state and local requirements apply.
Based on these factors, EPA will need to work closely with federal, state and local environmental
representatives to ensure all of the requirements are addressed throughout Phase III EDDP
activities. These environmental requirements need to be identified and incorporated into the
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Phase III EDDP activities early on in the process, so that change orders or modifications to SOWs
with the A&E contractor can be avoided as much as possible.
Discussing DQO and QA/QC Procedures
DQOs are an extremely important part of the Phase III EDDP planning process. The same DQO
principles that apply to Phase II EDDP activities apply to Phase III EDDP activities. The EDDP
Project Manager should work closely with the Quality Manager and lead program and regional
office representatives to ensure DQOs satisfy regulatory requirements, while striking a balance
between common sense, good judgment, and cost-effectiveness.
EPA also needs to ensure that QA/QC procedures are documented, in place, and communicated to
all relevant organizations performing work on the project. This can be accomplished through
developing, distributing, and adhering to a sound QMP. The QMP used in Phase II EDDP
activities should be adequate for Phase III EDDP activities. As in Phase II, a strong QMP will
minimize the possibility of invalid data, data errors, indefensible data, or inconsistencies with data
collection, analysis, and evaluation in Phase III.
The EDDP Project Manager and Quality Manager should work in tandem to ensure DQOs and
QA/QC procedures are adhered to throughout Phase III EDDP activities.
Developing Technical Documents
EPA will need to develop a number of technical documents during the planning process of the
Phase III EDDP activities to streamline the technical requirements of the project. The technical
documents include SOWs, white papers, schedules, cost estimates, and closure and
decontamination plans. These documents will be used by EPA to task the A&E contractor to
perform Phase III EDDP activities, including characterization sampling, remediation, and
decontamination. To ensure delays are minimized during Phase III EDDP activities, EPA should
complete these documents as early in the planning process as possible. Assuming the contractors,
their roles, and responsibilities remain unchanged, no programmatic documents are developed by
EPA during Phase III as those developed during Phase II remain relevant and applicable.
Developing Field Oversight Policies and Protocols
Another important aspect of the Phase III planning process is establishing field oversight policies
and procedures. The field oversight policies need to focus on the health and safety of EPA's
employees and contractors, and need to consider the potential hazards that exist and the specific
activities being performed by the A&E contractor, while achieving the overall goals and
objectives of the project. The policies should focus on roles and responsibilities, BMPs, and
documentation and reporting requirements. The procedures need to provide EPA employees and
oversight contractors with guidance for performing Phase III field oversight activities. These
procedures include observing the A&E contractor's sampling, remediation, and decontamination
operations to ensure compliance with SOWs, SAPs, health and safety plans, waste management
plans, and federal, state and local environmental requirements.
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Assessing the Potential Impacts on Facility Operations and Physical Site Conditions
EPA also needs to assess the potential impacts of Phase III EDDP activities on facility operations
and physical site conditions. Since remediation and decontamination may be required both
internally and externally, EPA will need to work closely with the facility manager, SHEMP
manager, program and regional offices, and property managers and owners to ensure impacts to
facility operations and physical site conditions are minimized. Therefore, EPA should make it a
priority to establish a schedule of events as soon as possible, so disruptions to operations can be
minimized.
Management of EDDP-Generated Waste
Another aspect of the Phase III EDDP planning process is the management and disposition of
IDW and remedial waste. The EDDP Project Manager should work closely with the SHEM
Office to identify and follow existing policies and requirements related to waste management. In
addition, EPA needs to decide whether to manage IDW and remedial waste internally or require
the A&E contractor to manage it independently. Regardless of this decision, EPA needs to ensure
that IDW and remedial wastes are managed and disposed of in accordance with federal, state and
local environmental requirements.
Ensuring Property Access
During the Phase III EDDP planning process, EPA must ensure access to the property by
contractors, regulators, and other external organizations. Since EPA's properties are restricted, it
is important that all relevant contractors, regulators, and other external organizations have access
to the subject areas of the property where remediation and decontamination activities are
anticipated. To accomplish this, EPA will need to work closely with security to ensure that
external organizations obtain the appropriate identification badges for their personnel prior to
initiating work. Advanced planning will ensure work crews are not delayed during mobilization
and operations on site.
IMPLEMENTATION STEP
The implementation part of the Phase III EDDP activities includes sampling to define the extent
of contamination, remediation, and decontamination. This step involves the following activities:
•	Reviewing, commenting, and approving programmatic and technical documents developed by
the A&E contractor
•	Providing oversight and management of the field work, including sampling and remedial
actions
•	Reviewing and evaluating the results of the characterization sampling; determining
remediation and decontamination goals and methodologies
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•	Conducting meetings with internal EPA program offices, oversight and A&E contractors, and
federal, state and local environmental regulators to discuss the results of the Phase III
characterization sampling, and approaches for cleanup and decontamination activities
•	Reviewing and evaluating the results of the Phase III remediation and decontamination
activities to determine conformance with remediation and decontamination goals, and
compliance with environmental requirements
•	Conducting periodic meetings with internal EPA program offices, property managers and
owners, the GSA, and regulators to discuss the status of the Phase III EDDP activities.
Further information on each of these activities is provided in the following subsections.
Approving Programmatic and Technical Documents
EPA must review, comment, and approve programmatic and technical documents developed by
the A&E contractor. For Phase III activities, the programmatic documents will consist of the
QMP, QAPP, and SSHP. If the same A&E contractor is used for Phase III that was used during
Phase II, it is recommended that existing programmatic documents developed during Phase II be
revised to include planned Phase III activities. A discussion of the importance and the relevance
of the QMP, QAPP, and SSHP is detailed in Section 5 of this document.
The technical documents consist of the technical work plans, cost estimates, schedules,
preliminary findings, and draft and final reports. The technical work plans will consist of a
project Remedial Action Plan (RAP), which shall include a Phase III SAP. The main difference
between the Phase II and Phase III SAP is the objective. The objective in Phase II is to confirm
the presence or absence of contamination, whereas the objective of the Phase III SAP is to
determine the extent and severity of the contamination. As such, the scope and number of
samples performed in the Phase III characterization sampling is often more extensive than the
Phase II sampling. It is critical that professional judgement be exercised to ensure excessive
sampling is not performed, nor excessive costs incurred. Section 5 of this document details the
information normally included in a project SAP.
Phase III characterization sampling and analysis (and the associated Phase III SAP) are not always
required. In some cases, it is occasionally acceptable and reasonable to determine the extent of
contamination based on Phase II sampling results, visual observations, screening, identified
trends, and/or existing knowledge of the site. However, if assumptions are made regarding the
extent of contamination, thorough confirmation sampling following the remedial actions is
required to verify the assumptions and ensure remedial actions were effective and complete.
The RAP will document the planned remedial action strategy and planned Phase III activities. The
RAP will include a discussion of the project background, identified constituents of concern, and
established action levels; planned remedial actions and decontamination methods; and intended
confirmation sampling to verify the remedial actions were successful and complete, as
appropriate. If the extent of contamination is not fully delineated at the commencement of
remedial action, the RAP should include strategies and procedures (e.g., visual observation, real-
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time field screening, mobile laboratory services) to be used by the contractor to determine the
extent of remedial actions.
Prior to EPA's approval of the Phase III technical documents, EPA and the oversight contractor
will need to evaluate the technical approach to determine if the planned activities will accomplish
EPA's project objectives. As part of this evaluation, it is important to consider the potential
results that may be obtained from the planned Phase III activities, as well as the project objectives.
Consideration may include:
•	Understanding project assumptions - Have all assumptions been appropriately identified and
assessed? Will the planned activities be effective if assumptions made are incorrect?
•	Understanding value of projected results - Will the proposed activities provide sufficient data
to support No Further Action and conclude the EDDP? Does the potential exist for required
additional Phase III remediation or long-term monitoring?
Considering all potential outcomes of the planned Phase III activities, including characterization
sampling, remedial actions, and confirmation sampling, is a critical step in determining whether
the RAP is responsive to the objectives of the EDDP project.
The cost estimates and schedules will reflect the planned activities as described in the approved
RAP, and the work performed and associated findings will be detailed in the draft and final Phase
III reports. EPA should work closely with the A&E and oversight contractors to develop a
realistic schedule for reviewing, commenting and approving all programmatic and technical
documents. It is paramount that these documents be thorough and conform to current EPA
guidelines and requirements, federal, state and local environmental requirements, and BMPs,
while being responsive to the project objectives.
Oversight and Management of Sampling and Remedial Actions
As in Phase II, EPA will be acting strictly in an oversight role during Phase III sampling and
remediation activities. The oversight contractor will serve as the primary liaison between the
A&E contractor and the EPA, and will need to follow the direction and guidance of the EPA.
Effective oversight will rely on the oversight contractor's knowledge of the background of the
project area and results of the Phase II sampling activities; proposed sampling, laboratory analysis,
and remediation methodologies; general and site-specific health and safety procedures; and
industry standard operating procedures for environmental remediation. Assuming the Phase II
oversight contractor was effective, it is normally beneficial to use the same oversight contractor
for Phase III activities to capitalize on the contractor's institutional knowledge of the project.
During Phase III activities, the oversight contractor's activities will include comparing the A&E
contractor's physical activities to the programmatic and technical documents, observing and
documenting sampling and remediation procedures, and documenting any discrepancies in a log
book. The EPA should address any discrepancies or concerns with the A&E contractor as soon as
possible to prevent unanticipated problems or additional costs. Occasionally, the extent of
required remedial action is not fully identified prior to commencement of remedial actions. In
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such cases, one of the primary responsibilities of the oversight contractor will include assessing
the A&E's contractor's ability to make reasonable and professional judgements regarding the
appropriateness of remedial actions, based on field observations, site background, regulatory
requirements, and BMPs.
Evaluating Sampling Results/Determining Goals and Methodologies
The results of the Phase III characterization sampling will be compiled and analyzed to fully
delineate the physical extent and severity of the contamination. At this point, remedial options are
evaluated and compared to site conditions, constraints, and project objectives to determine the
best remedial alternative. The first step in this evaluation is to assess the risk posed to human
health and the environment, and identify property liabilities. Site contaminants identified and
delineated in the characterization sampling will be compared to established regulatory action
levels, identified or site-specific background levels, and/or industry standards.
In the absence of established and applicable media criteria, it may be prudent to perform a risk
assessment to develop appropriate risk-based clean-up levels. EPA has published a set of manuals
for developing risk information at Superfund sites: Risk Assessment Guidance for Superfund,
Human Health Evaluation Manual, Volumes 1 and 2. Because the Superfund remedial process
closely relates to EPA's EDDP, it is appropriate to reference these guidance documents when
assessing risk during the Phase III process.
When evaluating the appropriateness of regulatory, site-specific, or risk-based clean-up levels for
EPA-owned or -operated properties, it is important that EPA's considerations include non-
technical issues (i.e., public relations and awareness, future land use options) which may dictate
the need for more stringent clean-up levels.
Following the Phase II and in the planning stage of the Phase III, preliminary remedial alternatives
have been identified, and an initial screening of these alternatives has been conducted. Once the
extent of contamination has been defined, these alternatives are a starting point for evaluating and
selecting viable remedial alternatives. In general, the evaluation criteria consists of:
•	Overall protection of human health and the environment
•	Compliance with applicable, or relevant and appropriate requirements (ARARs)
•	Long-term effectiveness and permanence
•	Reduction of toxicity, mobility or volume through treatment
•	Short-term effectiveness
•	Implementability
•	Cost and schedule
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•	Acceptance by federal, state, and local regulatory officials
•	Community acceptance.
When feasible, it is important to develop and assess a range of technically applicable alternatives
to evaluate their relative feasibility among technical solutions that range from simple to complex.
The selected remedial alternatives may be comprised of no action (i.e., natural attenuation),
institutional controls (i.e., deed restrictions, perpetual federal ownership), technological solutions
(i.e., remedial, decontamination, or demolition activities), or a combination of approaches.
Meetings with Involved Parties/Approaches for Cleanup and Decontamination
EPA will need to meet with internal program and regional offices, oversight and A&E contractors,
and regulators on a regular basis to keep them informed on the status of Phase III characterization
sampling, and the approach for clean-up activities. To varying degrees, these parties will have
direct involvement in the decision-making process for Phase III remedial actions. It is the
responsibility of the EDDP Project Manager and designated representatives to ensure that all
involved parties comprehend the results of the Phase II and Phase III sampling, identified remedial
alternatives, and project objectives and restrictions to facilitate appropriate decision-making. It is
critical that all correspondence regarding the EDDP, particularly correspondence between EPA
and regulators, be appropriately documented and retained by the EDDP Project Manager.
Evaluating Results/Conformance and Compliance
Reviewing and evaluating the results of the Phase III remediation and decontamination activities
are critical parts of Phase III implementation. Results will typically fall into one of two
categories: data collected at the completion of a remedial action intended to support no further
action, and data collected to monitor the progress of a long-term remedial action. However,
EPA's EDDP will typically involve short-term remedial actions. EPA will have to work closely
with the A&E and oversight contractors to thoroughly understand the remedial efforts and
sampling results in terms of the following factors:
•	Compliance with regulatory requirements and conformance to the RAP - Was the work
performed as planned? If there were deviancies, were they valid and do they impact the
results of the Phase III?
•	Confidence in representative results - Do the confirmation sampling results provide adequate
data to support no further action? Does further remediation or sampling need to be
performed to achieve confidence in no further action?
•	Risks to human health and the environment and property liabilities - Have all risks been
identified and mitigated? Do any property liabilities (long-term or short-term) remain?
EPA will need to consider the results of the Phase III and all other factors independently and
jointly before developing formal conclusions and recommendations, particularly before
determining no further action is required.
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Conducting Status Update Meetings
The EDDP Project Manager and lead representatives will need to continue conducting periodic
meetings with internal program and regional offices, property managers and owners, GSA, and
regulators on a regular basis to keep them informed on the status of Phase III remediation and
decontamination activities. The EDDP Project Manager will lead, manage, and facilitate these
meetings. Continued status updates will assist in maintaining confidence in the project and
resolve critical technical and administrative issues.
As in earlier stages of the EDDP, the issues discussed in these meetings must be tailored to the
role of each involved party, but will typically involve some or all of the following: the technical
approach, identified property liabilities, project costs and budgets, recommendations, and
schedules. Depending on the scope and impact of the remediation activities, it may be appropriate
to involve neighbors, community members, and/or other local populations in discussions
involving the results of the Phase III remediation activities. As always, it is critical that all
correspondence regarding the EDDP, particularly correspondence between EPA and regulators
and between EPA and non-EPA property managers and owners, be appropriately documented and
retained by the EDDP Project Manger.
CLOSEOUT STEP
The closeout is the last step in the Phase III process. In this step, EPA managers need to ensure
closure documentation is complete, submitted to and approved by the federal, state or local
regulatory agencies, and all waste is managed in an environmentally compliant manner. The
activities performed under this step include:
•	Developing the Phase III EDDP report based on the results of remediation and
decontamination activities
•	Shipping the IDW and remediation waste off site to an authorized waste hauler and disposal
facility
•	Discussing the results of the Phase III EDDP activities with internal EPA program offices,
property managers and owners, the GSA, regulators, and any other relevant stakeholders.
Further information on each of these activities is provided in the following subsections.
Developing the Phase III EDDP Report
The purpose of the Phase III EDDP report is to document the results of the Phase III activities in a
factual and scientific report. The report should include a summary of the following:
Project background (i.e., results of the Phase I and Phase II)
Description of the Phase III activities performed
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Data obtained during field activities and laboratory analysis
Explanation of deviations from the technical work plans
•	Define the extent of contamination
Description of the selection and evaluation of remedial alternatives
Assessment of risk
Results of the remediation and confirmation sampling
Summary of findings and conclusions.
The Phase III report is prepared when remediation is complete, the risk to human health and the
environment is eliminated or reduced to acceptable levels, and all aspects of the Phase III is
documented and serves as a record of EPA's actions to clean up the site contamination.
The appropriate personnel, which may include GSA representatives, EPA senior managers, EPA
SHEMD and FMSD managers, and other involved parties, must be briefed on and review the
conclusions of this report and subsequent recommendations. Their review must:
•	Evaluate the accuracy of the conclusions relative to the data gathered
•	Determine whether the Phase III was carried out in accordance with the RAP, and comprehend
the basis and impacts of any deviations
•	Ensure consistency between field samples and QA/QC samples
•	Evaluate the field data against the appropriate and relevant criteria (i.e., regulations)
•	Approve or concur with the conclusions in the Phase III report, and subsequent
recommendations for no further action.
A typical outline for a Phase III report is provided in Table 6 at the end of this section.
Management of EDDP-Generated Waste
Appropriate waste handling and disposal of IDW and remediation waste is critical to reducing
EPA's long-term liabilities, particularly since hazardous waste is involved. EPA is liable for any
improper handling, storage, or disposal of EDDP wastes, even when performed by non-EPA
personnel (i.e., contractors).
It is at the discretion of the EDDP Project Manager and the SHEM Office whether EDDP-
generated wastes will be managed by EPA under existing waste disposal procedures at the subject
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facility, or if the wastes will be managed by the contractor. If the wastes are managed by the
contractor, it is critical that EPA be involved in and approve the procedures for handling, storage,
transportation, and disposal of all EDDP-generated wastes. This involvement should include the
review and approval of all waste management documents (e.g., waste profiles, manifests) prior to
submittal to any regulatory agency or disposal contractor. The facility SHEM Office should work
directly with the EDDP Project Manager in establishing, reviewing, and approving appropriate
waste storage, handling, and disposal procedures and paperwork. In addition, the contractor
should be encouraged to utilize techniques that minimize waste generation, whenever feasible,
without compromising project objectives or compliance with applicable regulatory requirements.
Discussing Results of Phase III Activities
Upon completion of the Phase III, the EDDP Project Manager and lead representatives will
coordinate the presentation and discussion of the results of the Phase III with internal program
offices, property managers and owners, GSA, regulators, and other relevant stakeholders. It may
be appropriate to provide copies of the draft Phase III report to EPA program and regional offices
for review and comment. The final report should be provided to property managers and owners,
GSA, regulators, and other relevant stakeholders. It is important that the EDDP Project Manager
identify the expected role and level of authority of each stakeholder when discussing Phase III
results. Regulators will likely have the opportunity to comment and participate in the reporting
and closure process, while other stakeholders may play a lesser role in any decision-making.
INDEPENDENT VALIDATION AND VERIFICATION
The IV&V process is EPA's insurance policy, from an environmental perspective, when vacating
the property. To accomplish this, EPA will hire an independent A&E firm to perform selective
sampling in areas that have been remediated or decontaminated. This is conducted to confirm that
these activities were successful. It is important that a third party perform these activities to ensure
that a complete and objective assessment is performed.
As with the previous Phase II and III EDDP activities, IV&V activities consist of three steps,
including planning, implementation, and closeout. A discussion of the activities performed under
each of these steps is provided below.
PLANNING STEP
The planning step of the process is a critical part of the overall IV&V activities. It establishes the
foundation on which EPA will progress with this part of the process. Several activities are
conducted in this step, including:
•	Establishing EPA's roles and responsibilities for the project
•	Reviewing and validating the Phase III findings and conclusions
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•	Conducting meetings with internal EPA program and regional offices, oversight and A&E
contractors, and federal, state and local environmental regulators
•	Reviewing and validating IV&V cost estimates
•	Complying with federal, state and local environmental requirements
•	Discussing DQO and QA/QC procedures
•	Developing technical and programmatic documents
•	Developing field oversight policies and protocols.
Further information on each of these activities is provided in the following subsections.
Establishing EPA's Roles and Responsibilities
EPA's roles and responsibilities during IV&V activities will involve continued leading and
partnering with internal and external organizations to streamline this final stage of the EDDP. For
the most part, the internal and external organizations involved in IV&V will remain the same as
those involved in Phase III. However, a new A&E contractor may be introduced or the role of an
existing subcontractor may be modified to perform the IV&V activities. The EDDP Project
Manager and lead representatives will remain in their roles, and will continue to be directly
responsible for leading, planning, organizing, managing, and completing all aspects of the IV&V.
Validating Phase III Findings and Conclusions
The Phase III report will serve as the roadmap for planning, implementing, and completing IV&V
activities. However, scheduling limitations often require IV&V activities to commence prior to
the completion of the final Phase III report. Typically, the A&E contractor that performed Phase
III will brief EPA on the findings and conclusions of Phase III prior to issuance of the final report.
The most important part of planning IV&V activities is developing a thorough understanding of
the work performed in Phase III, and the results achieved.
Conducting Meetings
The EDDP Project Manager and lead representatives will continue to coordinate efforts with
internal program and regional offices, property managers and owners, GSA, oversight and A&E
contractors, and regulatory agencies. Continued coordination and communications with all
relevant organizations is critical to the success of the project, particularly at the end of the project.
Meetings and distribution of information will continue to be conducted independently with each
organization due to potential conflicts of interest, confidentiality, and their roles and functions.
Additionally, EPA may find that regulatory agencies may not be as involved in IV&V activities as
they were in Phase III, particularly if permit or other established regulatory requirements were
satisfied in Phase III. However, it is critical that EPA continue to build and nurture relationships
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with all internal and external organizations through open communications, thorough IV&V
planning, and a proactive attitude.
Validating Independent Cost Estimates
Another important aspect of the IV&V planning activities is reviewing and validating cost
estimates for IV&V sampling and analysis activities. The cost estimates will be developed using
the validated findings and conclusions of Phase III, and will likely be less variable than cost
estimates developed during Phase II and Phase III due to a better understanding of site conditions
and fewer project assumptions. EPA will use the IV&V cost estimates for budgetary planning.
During this part of the planning process, EPA needs to closely review and validate technical
scoping sheets, assumptions, and cost worksheets for each project area to ensure that cost
estimates are accurate, defensible, and reflect the latest available information.
Complying with Environmental Requirements
EPA must adhere to all applicable federal, state and local environmental requirements during
IV&V activities. Considering the focus of IV&V is on post Phase III validation sampling and
analysis, these requirements will be similar to those identified in Phase II. Therefore, it is
recommended that the requirements identified in Section 5 of this document be reviewed before
continuing with the IV&V planning activities. In addition, all relevant EPA guidelines, ASTM
standards, and BMPs will be adhered to, where appropriate.
Discussing DQO and QA/QC Procedures
DQOs are an extremely important part of the IV&V planning process. The same DQO principals
that applied to Phase II and Phase III apply to IV&V activities. The EDDP Project Manager
should work closely with the Quality Manager and lead program and regional office
representatives to ensure DQOs satisfy regulatory requirements, and strike a balance between
common sense, good judgement, and cost-effectiveness.
EPA also needs to ensure that QA/QC procedures are documented, in place, and communicated to
all relevant organizations performing work on the project throughout the IV&V process. This can
be accomplished through adhering to (and revising, as necessary) the QMP developed during
Phase II and Phase III. A strong QMP will minimize the possibility of invalid data, data errors,
indefensible data or inconsistencies, and is particularly critical during this final step of the EDDP.
The EDDP Project Manager and Quality Manager should continue to work in tandem to ensure
DQOs and QA/QC procedures are met throughout IV&V activities.
Developing Technical and Programmatic Documents
EPA will need to develop a number of technical and programmatic documents during the IV&V
planning process to streamline the administrative, contracting, and technical requirements
associated with the project. The technical documents may include new contract documents or
IAG documents, SOWs, schedules, and cost estimates. Programmatic documents developed and
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refined during Phase II and Phase III may need to be revised or updated due to adjusted contractor
roles and responsibilities. To ensure delays are minimized during IV&V activities, EPA should
complete these documents as early in the planning stage as possible.
Developing Field Oversight Policies and Procedures
Another important aspect of the IV&V planning process is establishing or revising field oversight
policies and procedures. The field oversight policies shall focus on the health and safety of EPA's
employees and contractors based on the potential hazards that exist and the specific activities
performed by the IV&V contractor. Considering a new contractor will be involved in this
process, it is important that all available information on site conditions be provided to the
contractor to ensure the safety of all personnel. Policies should focus on the roles and
responsibilities of personnel involved in the process, BMPs, and documentation and reporting
requirements for the project. The policies should also provide guidance for EPA employees and
oversight contractors on performing IV&V oversight activities. The procedures include observing
the A&E contractor's sampling activities; record keeping; and conformance with contracts,
technical work plans, health and safety plans, and the overall project objectives.
IMPLEMENTATION STEP
The implementation step of the IV&V activities involves performing validation sampling. This
step includes the following activities:
•	Reviewing, commenting, and approving programmatic and technical documents developed by
the A&E firm conducting the sampling
•	Providing oversight and management of field work
•	Reviewing and evaluating the results of Phase III EDDP activities
•	Reviewing and evaluating the results of IV&V activities to validate and verify that
remediation and decontamination activities achieved the desired results.
Further information on each of these activities is provided in the following subsections.
Approving Programmatic and Technical Documents
EPA must review, comment, and approve programmatic and technical documents developed by
the A&E contractor. The programmatic documents will consist of the QMP, QAPP, and SSHP.
The function and requirements of these documents are detailed in Section 5 of this document.
The technical documents consist of the technical work plan, cost estimates, schedules, and draft
and final IV&V reports. The technical work plan will consist of a SAP, which will present the
sampling strategy and planned IV&V activities. The main difference between the Phase II or
Phase III SAPs and that of the IV&V SAP is the objective. The objective of Phase II is to confirm
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the presence or absence of contamination, and the objective of the Phase III SAP is to determine
the extent and severity of the contamination. In IV&V, the objective is to confirm that the
characterization sampling and remedial actions were performed successfully, thereby minimizing
or eliminating EPA's liabilities with the subject property. As such, the scope will include
collecting samples in the areas of Phase II and III sampling and remediation, and will include
biased and random samples. The IV&V SAP will detail the location, amount, and types of
samples to be collected, as well as the sampling methodology; the constituents of concern, and the
laboratory analytical methods to be used; and the Phase III action levels.
Prior to EPA's approval of the SAP, EPA and the oversight contractor will need to evaluate the
technical approach to determine if the planned activities will accomplish EPA's sampling
objectives. As part of this evaluation, it is important to examine Phase II and Phase III results and
identify any potentially disputable conclusions or interpretations; if present, these need to be
addressed in the IV&V sampling.
The cost estimates and schedules will reflect the planned activities as described in the approved
SAP, and the work performed. Results and findings will be detailed in the draft and final IV&V
reports. EPA should work closely with the A&E and oversight contractors to develop a realistic
schedule for reviewing, commenting and approving all programmatic and technical documents. It
is paramount that the documents be thorough and conform to current EPA guidelines and
requirements, federal, state and local environmental requirements, and BMPs, while satisfying
project objectives.
Oversight and Management of Field Work
As in Phases II and III, EPA will be acting strictly in an oversight role during IV&V activities.
The oversight contractor will serve as the primary liaison between the A&E contractor and the
EPA, and will need to follow EPA's direction and guidance. Effective oversight will rely on the
oversight contractor's knowledge of the project, including the results of the Phase II sampling and
Phase III remediation activities; proposed sampling, laboratory analysis, and remediation
methodologies; general and site-specific health and safety procedures; and standard operating
procedures for environmental investigation.
During IV&V activities, the oversight contractor's activities will include comparing the A&E
contractor's physical activities to the programmatic and technical documents, observing and
documenting sampling procedures, and documenting any discrepancies in a log book. The EPA
should address any discrepancies or concerns with the A&E contractor as soon as possible to
prevent unanticipated problems or additional costs.
Reviewing and Evaluating the Results of Phase III EDDP Activities
Reviewing and evaluating the results of the Phase III remediation and decontamination activities
is a critical part of IV&V implementation. EPA will have to work closely with the A&E and
oversight contractors to thoroughly understand the Phase III results in terms of the following
factors:
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•	Compliance with regulatory requirements and conformance to the Phase III RAP - Was the
work performed as planned? If there were deviations, were they valid and do they impact the
results of the Phase III?
•	Confidence in representative results - Do the confirmation sampling results provide adequate
data to support no further action? Can results be challenged?
•	Confirmation of proj ect assumptions - Have all assumptions made during Phase II and Phase
III been confirmed or invalidated?
EPA's IV&V activities will provide a high degree of confidence that Phase III remediation
activities were performed appropriately, completely, and successfully. However, it is critical that
EPA consider the results of the Phase III, and identify any potentially disputable results so that
they are addressed during IV&V activities.
Evaluating the Results of IV&V Activities
Reviewing and evaluating the results of Phase III remediation and decontamination activities
complete the final part of the IV&V implementation. This is the last step in confirming or
invalidating that no further action is required. The review of IV&V results is similar to reviewing
Phase II or Phase III results in that the considerations include:
•	Conformance to the SAP - Was the work performed as planned?
•	Confidence in representative results - Do the results provide adequate data to support no
further action? Were QA/QCprocedures implemented andfollowed?
If the results support no further action, then activities can be performed to formally closeout the
EDDP; however, if results indicate contamination is still present, then further Phase III EDDP
activities are required.
CLOSEOUT STEP
The closeout is the last step in the IV&V process. In this step, EPA managers need to ensure that
decontamination and remediation goals were achieved, and EPA's environmental liabilities or
risks with the subject property are negligible. The activities performed under this step include:
•	Developing the IV&V report based on the results of the validation sampling
•	Shipping the sampling waste off site to an authorized waste hauler and permitted disposal
facility
•	Discussing the results of the IV&V with internal EPA program and regional offices, property
managers and owners, GSA, regulators, and any other relevant stakeholders.
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Further information on each of these activities is provided in the following subsections.
Developing the IV&V Report
The purpose of the IV&V report is to document the results of the independent validation and
verification of Phase III activities in a factual and scientific report. The IV&V report is completed
when results of the IV&V verify Phase III remediation efforts are complete and the results support
no further action. The report should provide a brief summary of the project background (i.e.,
Phase I, Phase II and Phase III), a summary of the methods used to develop the IV&V scope, a
description of the IV&V activities performed, the data obtained during field activities and
laboratory analysis, and a summary of findings and conclusions. A typical outline for an IV&V
report is provided in Table 7 at the end of this section.
The appropriate personnel, which may include EPA Senior Managers and GSA representatives,
must be briefed on the results of the IV&V and all other EDDP activities to concur that no further
action is appropriate.
Management of Sampling Waste
As in Phase II and Phase III, appropriate waste handling and disposal are critical to reducing
EPA's long-term liabilities, particularly when hazardous waste is involved. EPA is liable for any
improper handling, storage, or disposal of EDDP-wastes, even when performed by non-EPA
personnel.
It is at the discretion of the EDDP Project Manager whether EDDP-generated wastes will be
managed by EPA under existing waste disposal procedures at an existing EPA facility, or if the
wastes will be managed by the contractor. If the wastes are managed by the contractor, it is
critical that EPA be involved in and approve the procedures for handling, storage, transportation,
and disposal of all IV&V-generated waste. This involvement should include the review and
approval of all waste management documents (e.g., waste profiles, manifests) prior to submittal to
any regulatory agency or disposal contractor. The facility Safety, Heath, and Environmental
Management Office or SHEMD can provide the EDDP Project Manager with guidance and
assistance in establishing, reviewing, and approving appropriate waste storage, handling, and
disposal procedures, and paperwork.
The A&E contractor should be encouraged to utilize techniques that minimize the generation of
wastes whenever feasible, and are consistent with the project objectives and applicable regulatory
requirements.
Discussing IV&V Results
Upon completion of the IV&V, the EDDP Project Manager and lead representatives will
coordinate the presentation and discussion of the results with internal program offices, property
managers and owners, GSA, regulators, and other relevant stakeholders. Considering the IV&V
report will provide additional data to support a no further action decision, it is recommended that
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relevant stakeholders be provided a final, rather than draft, copy of the IV&V report for their
records.
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Table 6
Phase III Report Outline
1.0 Introduction
1.1	Summary of Findings from Phase I and II
Investigations
1.2	Scope of Phase III
2.0 Site Maps/Building Plans
3.0 Sources of Contamination
3.1	Description of Contaminant Sources
3.2	Locations of Contaminant Sources
3.3	Approximate Date/Type/Quantity of Release
4.0 Sampling and Analysis Results
4.1	Soil Sampling
4.1.1	Sample Types
4.1.1.1	Procedures for Each Type
4.1.1.2	Boring Logs
4.1.1.3	Physical and Chemical Field
Screening Data Quality Objectives
4.1.1.4	Field Analytical Procedures
4.1.1.5	Field Deviations from Sampling and
Analysis Plan
4.1.2	Sample Locations
4.1.2.1	Objectives and Sampling Rationale
4.1.2.2	Distribution and Density
4.1.2.3	Deviations from Sampling and
Analysis Plan
4.1.3	Laboratory Analysis
4.1.3.1	Laboratory Analysis/Data Quality
Objective
4.1.3.2	Analytical Parameters (include EPA
Method Number and Detection Limit)
4.1.3.3	Quality Assurance Sample Analysis
Results
4.1.4	Sampling and Analysis Results
4.1.4.1	Data Presentation including Tables
4.1.4.2	Discussion of Results
4.1.4.3	Maps, Cross-Sections, and Other
Appropriate Diagrams Depicting
Extent of Contamination
4.2	Groundwater Sampling
4.2.1	Sample Types
4.2.1.1	Procedures for Each Type
4.2.1.2	Physical and Chemical Field
Screening Data Quality Objectives
4.2.1.3	Field Analytical Procedures
4.2.1.4	Deviations from Sampling and
Analysis Plan
4.2.2	Sample Locations
4.2.2.1	Objectives and Well Placement
Rationale
4.2.2.2	Surveyed Well Locations, Depths, and
Screened Intervals
	4.2.2.3 Sampling Depths	
4.2.2.4 Field Deviations from Sampling and
Analysis Plan
4.2.3	Laboratory Analysis
4.2.3.1	Laboratory Analysis/Data Quality
Objectives
4.2.3.2	Analytical Parameters (include EPA
Method Number and Detection Limit)
4.2.3.3	Quality Assurance Sample Analysis
Results
4.2.4	Sampling and Analysis Results
4.2.4.1	Data Presentation including Tables
4.2.4.2	Discussion of Results
4.2.4.3	Maps, Cross-Sections, and Other
Appropriate Diagrams Depicting
Extent of Contamination
4.3	Surface Water/Sediment Sampling
4.3.1	Sample Types
4.3.1.1	Procedures for Each
4.3.1.2	Physical and Chemical Field
Screening Data Quality Objectives
4.3.1.3	Field Analytical Procedures
4.3.1.4	Deviations from Sampling and
Analysis Plan
4.3.2	Sample Locations
4.3.2.1	Objectives and Rationale
4.3.2.2	Sediment Sampling Depths
4.3.2.3	Field Deviations from Sampling and
Analysis Plan
4.3.3	Laboratory Analysis
4.3.3.1	Laboratory Analysis/Data Quality
Objectives
4.3.3.2	Analytical Parameters (include EPA
Method Number and Detection Limit)
4.3.3.3	Quality Assurance Sample Analysis
Results
4.3.4	Sampling and Analysis Results
4.3.4.1	Data Presentation including Tables
4.3.4.2	Discussion of Results
4.3.4.3	Maps and Other Appropriate
Diagrams Depicting Contaminant
Distribution
4.4	Building HVAC Systems Sampling
4.4.1	Sample Types
4.4.1.1	Procedures for Each
4.4.1.2	Physical and Chemical Field
Screening Data Quality Objectives
4.4.1.3	Field Analytical Procedures
4.4.1.4	Deviations from Sampling and
Analysis Plan
4.4.2	Sample Locations
4.4.2.1	Objectives and Rationale
4.4.2.2	Duct Work Sampling Intervals
4.4.2.3	Duct Outlet Sampling Throughput
Volumes
4.4.2.4	Field Deviations from Sampling and
Analysis Plan
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4.4.3	Laboratory Analysis
4.4.3.1	Laboratory Analysis/Data Quality
Objectives
4.4.3.2	Analytical Parameters (include EPA
Method Number and Detection Limit)
4.4.3.3	Quality Assurance Sample Analysis
Results
4.4.4	Sampling and Analysis Results
4.4.4.1	Data Presentation including Tables
4.4.4.2	Discussion of Results
4.4.4.3	Schematic Diagrams Depicting
Contaminant Distribution
4.5	Building Surfaces Sampling
4.5.1	Sample Types
4.5.1.1	Procedures for Each Type
4.5.1.2	Physical and Chemical Field
Screening Data Quality Objectives
4.5.1.3	Field Analytical Procedures
4.5.1.4	Deviations from Sampling and
Analysis Plan
4.5.2	Sample Locations
4.5.2.1	Objectives and Rationale
4.5.2.2	Pipe Insulation Sampling Intervals
4.5.2.3	Ambient Air Sampling Throughput
Volumes
4.5.2.4	Field Deviations from Sampling and
Analysis Plan
4.5.3	Laboratory Analysis
4.5.3.1	Laboratory Analysis/Data Quality
Objectives
4.5.3.2	Analytical Parameters (include EPA
Method Number and Detection Limit)
4.5.3.3	Quality Assurance Sample Analysis
Results
4.5.4	Sampling and Analysis Results
4.5.4.1	Data Presentation including Tables
4.5.4.2	Discussion of Results
4.5.4.3	Schematic Diagrams Depicting
Contaminant Distribution
4.6	Summary of Findings
5.0 Risk and Future Land-Use Options
5.1 Risk Assessment
5.1.1 Qualitative Risk Assessment
5.1
.1.1
Rationale for Performing Qualitative


Risk Assessment
5.1
.1.2
Discussion of Contaminants of


Concern and Pathways Considered
5.1
.1.3
Results of Qualitative Risk


Assessment
5.1.2	Quantitative Risk Assessment
5.1.2.1	Rationale for Performing
Quantitative Risk Assessment
5.1.2.2	Assessment of Carcinogens
5.1.2.3	Assessment of Noncarcinogens
5.1.2.4	Results of Quantitative Risk
Assessment
5.1.3	Assessment on Overall Risk of the
Property
5.2 Future Land-Use Options
5.2.1	Discussion on Future Land-Use Options
5.2.2	Rationale for Selection of Future Land-Use
Option
5.2.3	Relationship Between Future Land-Use and
Overall Risk at the Property
6.0 Final Technology or Alternative Selection and
Implementation
6.1	Final Technology or Alternative Selection
6.1.1	Description of Screening Process
6.1.2	Description of Technologies or Alternatives
Under Consideration
6.1.3	Comparative Analysis of Technologies or
Alternatives
6.1.3.1	Overall Protectiveness of Human
Health and the Environment
6.1.3.2	Compliance With ARARs
6.1.3.3	Long-Term Effectiveness
6.1.3.4	Reduction of Toxicity, Mobility, or
Volume Through Treatment
6.1.3.5	Short-Term Effectiveness
6.1.3.6	Implementability
6.1.3.7	Cost
6.1.3.8	State Acceptance
6.1.3.9	Community Acceptance
6.1.4	Detailed Discussion of Selected Alternatives
6.1.5	Implementation Plan and Schedule for
Selected Alternatives
6.1.6	Statutory Determination for Selected
Alternatives
6.2	Technology or Alternative Implementation
6.2.1 Description of Activities
6.2.1.1	Chronology of Activities
6.2.1.2	Conformance with Implementation
Plan
7.0 Conclusions and Recommendations
7.1	Conclusions
7.1.1	Summary of Findings and Results
7.1.2	Discussion on Success in Meeting
Remediation Goals and Objectives
7.2	Recommendations
7.2.1 Discussion on follow-up Actions
7.2.2. Discussion on Long-Term Monitoring or
Implementation of Institutional Controls
7.2.3	Statement of Site Closure
APPENDICES
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Table 7
IV&V Report Outline
1.0 Introduction
4.0 IV&V Sampling and Analysis Results
1.1 Summary of Phase I, II, and III EDDP
4.1 Soil Sampling
Activities
4.2 Groundwater Sampling
1.2 Scope of IV&V
4.3 Surface Water/Sediment Sampling

4.4 Building HVAC Systems Sampling
2.0 Phase III Activities
4.5 Building and Surfaces Sampling
2.1 Phase III Findings and Conclusions
5.0 Summary of Findings
3.0 Data Quality Objectives and QA/QC
6.0 Conclusions
Procedures


APPENDICES
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7. CONCLUSION
GENERAL DISCUSSION
This document provides guidance on participating in or performing EPA's EDDP on real
property being considered for acquisition, transfer, or disposal. The EDDP provides a
platform for EPA to determine the environmental condition of the property, including
identifying suspected areas of contamination, confirming contamination, characterizing the
extent and severity of the contamination, and performing management and mitigation
measures, if required. The environmental condition of real property being transferred,
acquired, or disposed of is of the utmost importance to EPA because it can cause future
liability to the Agency if not properly characterized. To alleviate these concerns, EPA
personnel involved in real property acquisition, transfer, or disposal should be familiar with
the contents of this document.
REVIEW OF EPA's EDDP
The EDDP is a three-phased approach used by EPA to eliminate or minimize environmental
risk or liability associated with real property acquisition, transfer, or disposal. The first phase
is the preliminary survey and site investigation. This phase is used to identify suspected areas
of contamination. It is also the cornerstone and building block for the rest of the EDDP. The
second phase is confirmatory sampling. This phase is used to confirm the presence or absence
of contamination; however, it does not characterize the extent and severity of the
contamination. The third phase is the characterization and cleanup part of the process. This
phase is used to characterize the extent and severity of the contamination, assess the risk of the
property, and eliminate or reduce the risk of the contaminants through remediation or
decontamination. Specific information relating to each of these phases is provided in Sections
4 through 6 of this document.
An important aspect of the EDDP is the continuity and flow of information from one phase to
the next. Considering each of the three phases may be performed by an independent party, it
is critical that EPA personnel involved in the process ensure a smooth transition from one
phase to the next so that nothing is overlooked. To eliminate or minimize any concerns with
the transition between phases, EPA must insist the EDDP reports are thorough, accurate, and
consistent with these guidelines. Additionally, OA, program and regional offices, and OGC
must provide adequate oversight during each phase to ensure the work performed by
contractors is consistent with the statement of work, associated work plans, ASTM standards,
BMPs, and federal, state, and local environmental requirements. Sections 4 through 6 of this
document provide an in-depth discussion on the contents of each of the reports.
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OTHER PROPERTY TRANSFER-RELATED ISSUES AND ACTIVITIES
Although the focus of this document is on EPA's EDDP, other property transfer-related issues
and activities exist that can have a direct or indirect impact on real property acquisition,
transfer, or disposal. These issues and activities include equipment deactivation and
decommissioning, facility surveillance and monitoring, removal and management of
chemicals and hazardous substances, permit or license transfer or termination, management of
personal property and surplus equipment, and building restoration and improvements. Each of
these issues and activities must be managed properly by the appropriate EPA office so that
delays to real property acquisition, transfer, or disposal schedules are minimized. Specific
information relating to each of these issues and activities is provided in Section 3 of this
document.
RECOMMENDATIONS
This document should be used as a guidance document by appropriate EPA personnel and
staff and EDDP contractors to assist the Agency in the implementation and management of the
EDDP. Appropriate EPA personnel and staff and EDDP contractors should reference these
guidelines, as early in the real property acquisition, transfer, or disposal process as possible, to
properly prepare for all aspects of the EDDP.
EPA needs to communicate clearly and effectively, both internally and externally, to ensure all
EDDP concerns are addressed. OA, program and regional offices, and OGC must work
closely together throughout the EDDP to properly plan, schedule, implement, and assess the
various activities. Additionally, EPA has to work hand-in-hand with its stakeholders,
including other federal agencies, state entities and local municipalities, and the public, to
ensure federal, state, and local environmental requirements are met.
Through referencing and utilizing the information discussed in this guidance document, EPA
will comply with CERFA, 40 CFR Part 373, and ASTM standards, as well as eliminate or
minimize its environmental liabilities or risks associated with real property acquisition,
transfer, or disposal. In addition, EPA will continue to uphold its mission as stewards of the
environment.
Conclusion
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ENDNOTES
1.	United States Department of Energy, Office of Environmental Management,
Decommissioning Resource Manual, August 1995.
2.	Ibid.
3.	Ibid.
4.	Ibid.
5.	Ibid.
6. Webster's College Dictionary, 1st Edition, Copyright 1995, 1992, and 1991 by Random
House.
7. Ibid.
8.	Black's Law Dictionary, 5th Edition.
9.	Ibid.
10.	Ibid.
11.	Ibid.
12. Memorandum, EPA Office of Administration Director (John C. Chamberlin) to Assistant
Administrators, Regional Administrators, and OARM Directors, 29 May 1996,
Management Responsibility for Transferring EPA Real Property.
Endnotes
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Endnotes
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Appendix A
List of Acronyms and Abbreviations

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Appendix A
List of Acronyms and Abbreviations
ALARA	As Low as Reasonably Achievable
ACBM	Asbestos-Containing Building Materials
ACM	Asbestos-Containing Materials
AEA	Atomic Energy Act
AEREB	Architecture, Engineering and Real Estate Branch
AHERA	Asbestos Hazard Emergency Response Act
ALARA	As Low As Reasonably Achievable
ARAR	Applicable or Relevant and Appropriate Requirement
ASHARA	Asbestos School Hazard Abatement Reauthorization Act
AST	Aboveground Storage Tank
ASTM	American Society for Testing and Materials
CAA	Clean Air Act
CAMU	Corrective Action Management Unit
CERCLA	Comprehensive Environmental Response, Compensation, and Liability Act
CERCLIS	Comprehensive Environmental Response, Compensation, and Liability
Information System
CERFA	Community Environmental Response Facilitation Act
CESQG	Conditionally Exempt Small Quantity Generator
CFC	Chlorofluorocarbon
CFR	Code of Federal Regulations
CORRACTS Corrective Actions (EPA Database)
CWA	Clean Water Act
CX	Categorical Exclusion
D&D	Decontamination and Decommissioning
DLA	Defense Logistics Agency
DOE	Department of Energy
DOT	Department of Transportation
EA	Environmental Assessment
EDDA	Environmental Due Diligence Audit
EDDP	Environmental Due Diligence Process
EE/CA	Engineering Evaluation/Cost Analysis
EIS	Environmental Impact Statement
EPA	Environmental Protection Agency
EPCRA	Emergency Planning and Community Right-to-Know Act
ERNS	Emergency Response Notification System
FAA	Federal Aviation Administration
FMSD	Facilities Management and Services Division
FNSI	Finding of No Significant Impact
FS	Feasibility Study
GSA	General Services Administration
HAP	Hazardous Air Pollutants
List of Acronyms and Abbreviations
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HCFC
Hy drochl orofluorocarb on
HRS
Hazardous Ranking System
HSWA
Hazardous and Solid Waste Amendments
HVAC
Heating, Ventilation, and Air Conditioning
HWMF
Hazardous Waste Management Facility
IV&V
Independent Validation and Verification
LBP
Lead-Based Paint
LQG
Large Quantity Generator
LUST
Leaking Underground Storage Tank
MCL
Maximum Contaminant Level
MSDS
Material Safety Data Sheet
MVAC
Mobile Vehicular Air Conditioners
NCP
National Contingency Plan
NEPA
National Environmental Policy Act
NESHAP
National Emission Standards for Hazardous Air Pollutants
NPDES
National Pollutant Discharge Elimination System
NPDWR
National Primary Drinking Water Regulations
NPL
National Priorities List
NRC
National Response Center
NRC
Nuclear Regulatory Commission
OA
Office of Administration
ODS
Ozone-Depleting Substance
OERR
Office of Emergency and Remedial Response
OFA
Office of Federal Activities
OFFRR
Office of Federal Facilities Reuse and Restoration
OGC
Office of the General Counsel
OPP
Office of Pesticide Programs
ORD
Office of Research and Development
OSHA
Occupational Safety and Health Administration
OSWER
Office of Solid Waste and Emergency Response
P2
Pollution Prevention
PA
Preliminary Assessment
PCB
Polychlorinated Biphenyl
PDL
Predicted Dose Level
POTW
Publicly Owned Treatment Works
PRP
Potentially Responsible Party
PTM
Property Transfer Manager
QA/QC
Quality Assurance/Quality Control
RACM
Regulated Asbestos-Containing Materials
RAP
Remedial Action Plan
RCRA
Resource Conservation and Recovery Act
RD/RA
Remedial Design/Remedial Action
RfD
Reference Dose
RFP
Request for Proposals
RI
Remedial Investigation
ROD
Record of Decision
List of Acronyms and Abbreviations
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RQ
Reportable Quantity
S&H
Safety and Health
SAP
Sampling and Analysis Plan
SARA
Superfund Amendments and Reauthorization Act
SDWA
Safe Drinking Water Act
SF
Slope Factor
SFI
Sanborne Fire Insurance
SHEMD
Safety, Health and Environmental Management Division
SHEMP
Safety, Health Environmental Management Program
SI
Site Inspection
SPCC
Spill Prevention, Control and Countermeasures
SQG
Small Quantity Generator
TSDF
Treatment, Storage, or Disposal Facility
USD A
United States Department of Agriculture
USGS
United States Geological Survey
UST
Underground Storage Tank
List of Acronyms and Abbreviations
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Appendix B
Definitions

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Appendix B
Definitions
Aboveground Storage
Tank (AST)
Blank Samples
CERCLIS
Cleanup
Composite Sample
Comprehensive
Environmental Response,
Compensation,
and Liability Act
(CERCLA)
Deactivation
Decommissioning
Decontamination
Tanks and associated piping that are more than 90 percent, by
volume, aboveground.
A sample of distilled, de-ionized, contaminant-free water is
collected, containerized, treated, and handled in the same
manner as the samples. Blanks are used as an indicator of
sample contamination throughout the entire process.
CERCLA Information System, EPA's database and
management system that inventories and tracks releases
addressed or needing to be addressed by the Superfund
program.
See remediation.
A non-discrete sample composed of more than one specific
sample collected at various sampling sites and/or times,
combined and treated as one. Composite samples may give an
average concentration or composition.
The Act that authorizes EPA to clean up uncontrolled or
abandoned hazardous waste site, and respond to accidents,
spills and other emergency releases of hazardous substances.
CERCLA provides EPA with enforcement authority to ensure
that responsible parties pay the cleanup costs of remediating a
site contaminated with hazardous substances.
The process of placing a facility in a safe and stable condition.
The process of removing a facility from operation, followed by
decontamination, entombment, dismantlement, or conversion to
another use.
The removal of unwanted material (typically radioactive
material or hazardous material residue) from facilities, soils, or
equipment by washing, chemical action, mechanical cleaning,
or other techniques.
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Duplicate Samples	Two samples collected at the same time from the same
location. The analysis of duplicate samples using the same
procedure and instrument provides an indication of analytical
variability and error.
ENFLEX	A database maintained by EPA's Safety, Health, Environmental
Management Division Washington, D.C., consisting of safety,
health, and environmental audit findings and corrective actions
taken for all EPA facilities.
A factual representation of the environmental conditions for all
property at a facility, also identifying "uncontaminated" (within
the meaning of CERCLA Section 120(h)(4), as amended by
CERFA) portions of the property. An EBS is used by DoD as a
foundation document for environmental cleanup and base
closure. There are two types of EBSs, base-wide and site-
specific. The EBS can facilitate re-use decisions, provide
information about parcels that require further investigation or
response actions, and provide detailed site evaluation to
determine suitability for lease or transfer.
Environmental Due	A systematic program for conducting investigations of real
Diligence Audit (EDDA) property transfers. The purpose of an EDDA program is to help
minimize environmental liabilities associated with such
transfers.
Environmental Baseline
Survey (EBS)
Environmental Due
Diligence Process (EDDP)
Environmental Due
Diligence Project
Manager
EDDP Review Team
EPA Facility
A process developed and used by EPA to close, consolidate, or
transfer facilities in which EPA has real property interests.
Responsible for leading and managing EPA's EDDP project at
the subject facility and overseeing the EDDP review team and
personnel support.
Responsible for providing technical support to the EDDP
Project Manager from the inception of the project to
completion. Appendix G highlights the necessary
qualifications of team members.
Buildings and other structures, their functional systems and
equipment, and other fixed systems and equipment installed
therein; outside plants, including site development features
such as landscaping, roads, walks, and parking areas; outside
lighting and communication systems; central utility plants;
utility supply and distribution systems; and other physical plant
features. An EPA facility includes the entire property
including interior and exterior structures operated by EPA and
environmental media affected by EPA's operations.
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Title III of the Superfund Amendments and Reauthorization
Act (SARA), which calls for facilities to report toxic releases.
See Pathway of Exposure.
As defined by Section 101(9) of CERCLA, a facility means any
building, structure, installation, equipment, pipe or pipeline,
well, pit, pond, lagoon, impoundment, ditch, landfill, storage
container, motor vehicle, rolling stock, or aircraft, in any site or
area where a hazardous substance has been deposited, stored,
disposed of, placed, or otherwise located. It does not include
any consumer product in consumer use or any vessel.
Responsible for facility life cycle management operations,
including acquisition, transfer, and termination activities as it
relates to real property. The facility manager coordinates with
the EDDP Project Manager on all EDDP activities.
An analysis of remedial alternatives based on nine evaluation
criteria as outlined in the National Oil and Hazardous
Substances Contingency Plan.
The regulation that requires any U.S. department, agency, or
instrumentality that wishes to transfer real property owned by
the U.S., where hazardous substances were stored for one year
or more and known to have been released or disposed of, to
include in the contract notice of the type and quantity of
hazardous substance and notice of the time when storage,
release or disposal took place, to the extent such information is
available from a complete search of the agency files.
Field Sampling Plan (FSP) A plan that defines in detail the sampling and data gathering
activities to be used at a site. (See SAP.)
Grab Sample	A discrete sample that is collected at one point in time. It is
representative of only one specific site at a specific time; as
such, it is best used if the source of contamination is likely to
be stable over a period of time and/or geographical area.
Graded Approach	An approach by which the level of analysis, documentation,
and actions necessary to comply with a requirement are
commensurate with (1) the relative importance to safety,
safeguards, and security; (2) the magnitude of any hazard
involved; (3) the life cycle stage of a facility; (4) the
programmatic mission of a facility; (5) the particular
characteristics of a facility; and (6) any other relevant factor.
Emergency Planning and
Community Right-to-
Know Act (EPCRA)
Exposure Pathway
Facility
Facility Manager
Feasibility Study
Federal Real Property
Transfer Regulation (40
CFR 373)
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Hazardous Material
Hazardous Substance
Hazardous Waste
Health and Safety Plan
IV&V (Independent
Validation and
Verification)
Manifest
Material Safety Data
Sheet (MSDS)
National Pollutant
Discharge Elimination
System (NPDES)
National Priorities List
(NPL)
Office of General Council
(OGC)
As defined by DOT, a designated substance or material that has
been determined by the Secretary of Transportation to be
capable of posing an unreasonable risk to health, safety, and
property when transported in commerce.
Any substance EPA has designated for special consideration
under the Clean Air Act, Clean Water Act, or the Toxic
Substances Control Act; any hazardous waste under the
Resource Conservation and Recovery Act; or other substances
designated by EPA that may present substantial danger to
human health and the environment.
A solid waste that exhibits any one of the following criteria:
(1) it identifies any one of the characteristics identified in Part
261, Subpart C (40 CFR §261.3 (a)(2)(i)); (2) it is listed in Part
261, Subpart D, and has not been excluded from the lists by a
delisting petition (40 CFR §261 (a)(2)(ii)); (3) it is a mixture of
a listed hazardous waste and a solid waste (40 CFR §261.3
(a)(2)(iv)); (4) it is derived from the treatment, storage, or
disposal of a listed hazardous waste (40 CFR §261.3 (c)(2)(i)).
A site plan prepared during the scoping phase of remediation,
construction, or closure. This plan describes the measures that
will be taken to ensure health and safety at a site.
Activities that commence after Phase III EDDP activities are
complete to ensure cleanup and decontamination activities are
successful at minimizing or eliminating the environmental
contamination, liabilities, and risks associated with the subject
property.
The shipping document EPA form 8700-22 and, if necessary
8700-22A, originated and signed by the generator in
accordance with the instructions.
A fact sheet developed for hazardous chemicals that defines the
hazards and safety precautions required for use.
Section 402 of the Clean Water Act that establishes a permit
for discharges to water and provides standards by which such
permits may be granted.
EPA's list of the most serious uncontrolled or abandoned
hazardous waste sites identified for possible long-term
remedial action. This list is updated at least once a year.
Provides legal assistance in eliminating or minimizing EPA's
liability in real property transfers.
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Operation and
Maintenance (O&M)
Operation and
Maintenance Plan
Pathway of Exposure
Phase I
Phase II
Phase III
Pollution Prevention
Preliminary Survey
Property
Property Transfer
As per 40 CFR §300.435, measures required to maintain the
effectiveness of response actions. O&M measures are initiated
after the remedy has achieved the remedial action objectives
and remediation goals in the Record of Decision (ROD), and is
determined to be operational and functional.
A plan developed for managing operations and maintenance at
a facility.
The course a chemical or physical agent takes from a source to
an exposed organism. Each pathway includes a source or
release for a source, an exposure point, and an exposure route.
The preliminary survey and site inspection performed to
identify the site profile and the potential areas of environmental
concern that may require further investigation. The major
components include preliminary questioning, records search
and review, site inspection and investigation, and report
development.
Further site investigations and limited environmental sampling
to verify the suspected contamination found in the Phase I. The
extent of contamination is determined through supplemental
sampling analysis.
The process of identifying and implementing selected
remediation alternatives requiring remediation or cleanup;
decontamination and decommissioning; or removal and
disposal of the facility's buildings, equipment, and so on.
An EPA initiative incorporating waste minimization into
performance and contract requirements, in order to prevent and
reduce hazardous waste generation at facilities.
A Phase I activity consisting of completing the questionnaire
and a document search and review to obtain basic information
about the property. The preliminary survey is performed
before conducting a visual site inspection and investigation of
the facility and may be performed before or in concert with the
records search and review.
See Real Property.
An act of two or more parties, or the law, by which the title or
an interest, benefit, or right to property is conveyed from one
person to another. This includes sale, lease, mortgage, escheat,
eminent domain, and foreclosure.
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Radon
RCRA Facility
Assessment (RFA)
RCRA Facility
Investigation (RFI)
Real Estate Manager
Real Property
Real Property Interests
Release
Remedial Action Plan
(RAP)
Remedial Investigation
(RI)
Remediation
Reportable Quantity (RQ)
A radioactive gas byproduct from the decay of radium, which is
naturally occurring in some uranium.
An investigation that characterizes the nature, extent, and rate
of migration of contaminated releases identified in an
assessment. Used to determine whether corrective action for a
RCRA unit is needed or to define what additional data must be
gathered to make this determination.
The RCRA corrective action process that determines the extent
of hazardous waste contamination. An RFI is comparable to a
Superfund remedial investigation.
Responsible for management and oversight of all real estate-
related activities. The Real Estate Manager must be aware of
the scope, goals, and management process involved in the
EDDP.
Permanent, fixed, and immovable property, such as lands, and
rights arising out of, or connected with the property.
This refers to the benefits and rights inherent in the ownership
of the physical real estate. It is the bundle of rights with which
the ownership of real estate is endowed.
As defined by Section 101(22) of CERCLA, any spilling,
leaking, pumping, pouring, emitting, emptying, discharging,
injecting, escaping, leaching, dumping, or disposing into the
environment (including the abandonment or discharging of
barrels, containers, and other closed receptacle containing
hazardous substance or pollutant or contaminant).
A form of permit that authorizes the treatment, storage, and
disposal of hazardous remediation waste at a remediation waste
management site.
A study to characterize the contamination at a site and to obtain
information needed to identify, evaluate, and select cleanup
alternatives.
The process of cleaning up a site or controlling the hazardous
nature of a site.
A quantity of a hazardous substance, as set forth in 40 CFR
§302.4, that when released requires EPA notification.
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Resource Conservation
and Recovery Act (RCRA)
Sampling and Analysis
Plan (SAP)
Safety Health and
Environmental
Management Program
(SHEMP) Manager
Site Inspection
Spiked Samples
Split Samples
Stakeholder
Surveillance and
Maintenance (S&M)
The statute that provides "cradle-to-grave" control of hazardous
waste by imposing management requirements on generators
and transporters of hazardous wastes and upon owners and
operators of treatment, storage, and disposal facilities. RCRA
also regulates underground storage tanks.
A plan consisting of a quality assurance project plan and a field
sampling plan developed during the scoping of a project to
guide in sampling.
Responsible for managing the Safety, Health, and
Environmental Management Program (SHEMP) at the facility.
The SHEMP Manager coordinates with the EDDP Project
Manager on all EDDP activities.
An on-site investigation, conducted by a qualified auditor, to
determine whether there is a release or potential release and the
nature of associated threats. The purpose is to augment the
data collected in the preliminary survey and generate, if
necessary, sampling and other field data to determine if further
action or investigation is appropriate.
A sample to which a known quantity of a particular
contaminant has been added at known concentrations to
determine the accuracy of the analytical method.
A sample that has been divided into equal portions and
analyzed by another accepted analytical technique or a different
qualified laboratory in order to compare results.
Program representatives with a vested interest in the facility
and its environmental condition, such as property owner or
landlord, state environmental agency, future property owner,
program representatives operating at the facility, and facility
personnel and contractors.
A program established during deactivation and continuing until
facility operations and systems are phased out during
decommissioning to provide a cost-effective manner for
satisfactory containment of contamination; physical safety and
security controls; and maintenance of the facility in a manner
protective of workers, the public, and the environment. S&M
includes routine maintenance and inspection of the facility in
order to contain the known contamination, protect health and
safety of workers and the public, and avoid impact on the
environment.
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Toxic Substance Control
Act (TSCA)
Treatment, Storage, and
Disposal Facility (TSDF)
Underground Storage
Tank (UST)
United States Geological
Service (USGS)
Wetlands
The Act that gives EPA the authority to require testing of
chemical substances, both new and old, entering the
environment and to regulate them where necessary.
Facilities engaged in the treatment, storage, or disposal of
hazardous waste. These facilities are the last link in the crade-
to-grave hazardous waste management system.
Tanks and associated piping that are more than 10 percent
below the ground surface, and is used to contain a regulated
substance.
A government entity within the Department of Interior that
maintains maps and studies of geologic conditions throughout
the United States. The USGS also maintains aerial
photographs of the United States.
Areas that are temporarily or permanently inundated by surface
water or groundwater and support vegetation adapted for life in
saturated soil.
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Appendix C
Environmental Regulatory Overview
INTRODUCTION
As part of the environmental due diligence process (EDDP), the regulatory framework, permits,
and status needs to be identified and clearly understood to ensure compliance. These
requirements will dictate the scope of property transfer activities for the facility or a particular
portion of the facility. The regulatory requirements for real property transfer may be one or a
combination of the Atomic Energy Act (AEA); Resource Conservation and Recovery Act
(RCRA); Clean Water Act (CWA); Safe Drinking Water Act (SDWA); National Environmental
Policy Act (NEPA); Comprehensive Environmental Response, Compensation and Liability Act
(CERCLA); Toxic Substance Control Act (TSCA); or Clean Air Act (CAA). These laws have
prescriptive requirements and protocols for facilities regulated, permitted, or licensed by these
authorities. An overview of each regulatory requirement is provided below.
AEA AND NUCLEAR REGULATORY COMMISSION LICENSES
The Environmental Protection Agency (EPA) operates laboratories nationwide that may use
nuclear material as part of their experiments. Depending on the laboratory's research mission
and the extent to which nuclear materials are used, the laboratory obtains a license from the
Nuclear Regulatory Commission (NRC) as part of its compliance with NRC regulations under
the AEA. Typical uses of nuclear materials by EPA laboratories are presented in the following
table. In most cases, the use of nuclear material is in a sealed source state. There is, however,
unsealed by-product use at some of EPA's larger establishments, such as the Environmental
Monitoring Systems Laboratory in Las Vegas, Nevada, and the National Air and Radiation
Environmental Laboratory in Montgomery, Alabama. The following table lists laboratory
affiliations and how they may use radioactive materials. When facilities are being prepared for
property transfer or consolidation, NRC licensees must terminate their licenses.
EPA Laboratory Radioactive Materials Uses
Laboratory Affiliation
Major Radioactive Materials Uses
Environmental Services
Division Central Regional
Laboratories (CRLs)
Performing gas chromatography using 63Ni foils in electron capture detector cells
•	X-ray fluorescence analysis with 109Cd and 241 Am sealed sources
Liquid scintillation using 133Ba and 137Cs sources
•	Tracer studies with 14C and 3H
Office of Research and
Development
Performing gas chromatography using 63Ni foils in electron capture detector cells
•	X-ray fluorescence analysis using 109Cd and 241Am sealed sources
Field measurements with 241Am sealed sources
Liquid scintillation using 133Ba and 137Cs sources
•	Tracer studies with 14C and 3H
Use of various isotopic solutions for pollutant fate and transport studies, degradation
kinetics evaluations, etc.
Office of Pesticide
Programs (OPP)
Performing gas chromatography using 63Ni foils in electron capture detector cells
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EPA Laboratory Radioactive Materials Uses
Laboratory Affiliation
Major Radioactive Materials Uses
Office of Air and
Radiation
Performing gas chromatography using 63Ni foils in electron capture detector cells
Field measurements using 109Cd,241 Am, and other types of sealed sources
•	Whole body counting activities
•	Advanced radiation monitoring and research activities involving a wide range of by-
product, source, and special nuclear materials
Liquid scintillation using 133Ba and 137Cs sources
Use of various isotopic solutions for pollutant fate and transport studies, degradation
kinetics evaluations, etc.
Office of Enforcement
(i.e., National
Enforcement
Investigation Center)
Performing gas chromatography using 63Ni foils in electron capture detector cells
Field measurements using 109Cd, 241Am, and other types of sealed sources
Overview of License Termination Process
When a licensed facility terminates its operations and ceases to use or handle radioactive
materials, the facility must notify the NRC to terminate its license. The licensee submits a
request for termination to the NRC, and in cases where contamination is significant, the facility
must develop a decontamination and decommissioning (D&D) plan to reduce radioactivity to
acceptable levels.
After NRC approval of the licensee's termination request or D&D plan, the facility must carry
out the D&D process if applicable. This process can be simple where only sealed sources or
short-lived materials are handled, or it can entail extensive efforts for large-scale nucleotide
users. A decision tree of required steps in the license termination process is shown on the
following page. Though not required, an initial radiation survey and documentation review
serve as good starting points. Results from these reviews should be included with the
termination request letter to the NRC.
The NRC will only terminate the user's license by written notice after the user:
Terminates the use of radioactive materials
Properly removes and disposes of radioactive wastes
Remediates the site, if D&D is required
Submits NRC Form 314, a copy of which is provided on page C-4
Conducts and submits the results of a final radiation survey to confirm decontamination.
To aid in the decontamination determination, the licensee submits the results of a radiation
survey of the facility and common use areas to the NRC. If the results are satisfactory, the NRC
provides written confirmation of license termination. The licensee remains under license to the
NRC, and thus subject to NRC requirements, during D&D activities. After license termination,
the facility is no longer subject to NRC requirements regarding further unrestricted use of the
facility.
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Decision Tree: NRC License Termination Process
NRC Deemed
Contamination
v Insignificant >
Decide to Terminate
NRC License
Notify NRC of
Decision to Terminate
Submit Termination
Request Letter and Report
Terminate
By-Product Use
Remove Radioactive Wastes
Conduct Initial Radiation Survey
and Document Review
Execute D&D Plan
Upon NRC Approval
Properly Dispose of Wastes
Submit NRC Form-314
Conduct and Submit Results
from the Final Radiation Survey
Await NRC Notification
of License Termination
Develop D&D Plan, including:
D&D Activities
Radiation H&S Plan
Final Survey Plan
Records and Data for Plan
Approval
Updated D&D Cost Estimate
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CERTIFICATE OF DISPOSITION OF MATERIALS
NRC FORM 314
(9-96)
10 CFR 30 - 36(c)(l)(iv)
10 CFR 40 - 42(c)(l)(iv)
10 CFR 70 - 38(c)(l)(iv)
U.S. NUCLEAR REGULATORY COMMISSION
CERTIFICATE OF DISPOSITION OF MATERIALS
INSTRUCTIONS: ALL ITEMS MUST BE COMPLETED - PRINT OR TYPE
SEND THE COMPLETED CERTIFICATE TO THE NRC OFFICE
APPROVED BY OMB: NO. 3150-0028	EXPIRES: 06/30/98
ESTIMATED BURDEN PER RESPONSE TO COMPLY WITH THE MANDATORY
INFORMATION COLLECTION REQUEST: 30 MINUTES. THE SUBMITTAL IS USED
BY NRC AS PART OF THE BASIS FOR ITS DETERMINATION THAT THE FACILITY
HAS BEEN CLEARED OF RADIOACTIVE MATERIAL BEFORE THE FACILITY IS
RELEASED FOR UNRESTRICTED USE. FORWARD COMMNTS REGARDING
BURDEN ESTIMATE TO THE INFORMATION AND RECORDS MANAGEMENT
BRANCH (T-8 F33). U.S. NUCLEAR REGULATORY COMMISION, WASHINGTON, DC
20555-0001, AND TO THE PAPERWORK REDUCTION PROJECT (3150-0028) OFFICE
OF MANAGAEMENT AND BUDGET WASHINGTON, DC 20503. NRC MAY NOT
CONDUCT OR SPONSOR AND A PERSON IS NOT REQUIRED TO RESPOND TO A
COLLECTION OF INFORMATION UNLESS IT DISPLAYS A CURRENTLY VALID
OMB CONTROL NUMBER.
LICENSEE NAME AND ADDRESS
LICENSE NUMBER
LICENSE EXPIRATION DATE
A. MATERIALS DATE (Check one and complete as necessary)
THE LICENSEE OR ANY INDIVIDUAL EXECUTING THIS CERTIFICATE ON BEHALF OF THE LICENSEE CERTIFIES THAT:
(Check and/or complete the appropriate iten(s) below.)
~	1. NO MATERIALS HAVE EVER BEEN PROCURED OR POSSESSED BY THE LICENSEE UNDER THIS LICENSE.
OR
~	2. ALL ACTIVITIES AUTHORIZED BY THE LICENSE HAVE CEASED AND ALL MATERIALS PROCURED AND/OR POSSESSED BY THE
LICENSE NUMBER CITED ABOVE HAVE BEEN DISPOSED OF IN THE FOLLOWING MANNER. (If additional space is needed, use the
reverse side or provide attachments.)
Describe specific material transfer actions and, if there were radioactive wastes generated in terminating this license, the disposal actions including the
disposition of low-level radioactive waste, mixed waste, Greater-than-Class-C waste, and sealed sources, if applicable.
For transfers, specify the date of the transfer, the name of the license recipient, and the recipient's NRC license number or Agreement. State name and
license number.
If materials were disposed of directly by the licensee rather than transferred to another licensee, licensed disposal site or waste contractor, describe the
specific disposal procedures (e.g., decay in storage)
B. OTHER DATA
1.	OUR LICENSE HAS NOT YET EXPIRED; PLEASE TERMINATE IT.
2.	A RADIATION SURVEY WAS CONDUCTED BY THE LICENSEE TO CONFIRM THE ABSENCE OF LICENSED RAIOACTIVE MATERIALS
AND TO DETERMINE WHETHER ANY CONTAMINATION REMAINS ON THE PREMISES COVERED BY THE LICENSE. (Check one)
D NO. (Attach explanation)
~ YES, THE RESULTS, (Check one)
~	ARE ATTACHED, or
~	WERE FORWARDED TO NRC ON (Date)
3.	RECORDS PERTAINING TO DECOMMISSIONING, OFFSITE RELEASE, AND WASTE DISPOSAL HAVE BEEN: (Check one)
~	TRANSFERRED TO A LICENSEE THAT TAKES OVER OPERATION OF LICENSED ACTIVITIES.
~	FORWARDED TO THE NRC PRIOR TO LICENSE TERMINATION.
4. THE PERSON TO BE CONTACTED
REGARDING THE INFORMATION
PROVIDED ON THIS FORM
TELEPHONE NUMBER (Include Area Code)
5. MAIL ALL FUTURE CORRESPONDENCE REGARDING THIS LICENSE TO
CERTIFYING OFFICIAL
I CERTIFY UNDER PENALTY OF PERJURY THAT THE FOREGOING IS TRUE AND CORRECT
PRINTED NAME AND TITLE
SIGNATURE
WARNING: FALSE STATEMENTS IN THIS CERTIFICATE MAY BE SUBJECT TO CIVIL AND/OR CRIMINAL PENALTIES. NRC REGULATIONS
REQUIRE THAT SUBMISSIONS TO THE NRC BE COMPLETE AND ACCURATE IN ALL MATERIAL RESPECTS. 18 U.S.C. SECTION 1001 MAKES IT
A CRIMINAL OFFENSE TO MAKE A WILLFULLY FALSE STATEMENT OR REPRESENTATION TO ANY DEPARTMENT OR AGENCY OF THE
UNITED STATES AS TO ANY MATTER WITHIN ITS JURISDICTIONS.
NRC FORM 314 (9-96)
PRINTED ON RECYCLED PAPER
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Recent NRC efforts are being studied to streamline the licensing process, and extend it to the
D&D process. NRC's Office of Nuclear Material Safety and Safeguards has undertaken a pilot
program to determine the feasibility of performing computer-assisted review of license
applications. This system presents consolidated licensing guidance on the Internet, and
significantly reduces the turnaround time on license applications. Presently the system is
capable of handling new portable gauge license application only. However, in the future, it is
hoped that the system capabilities will be expanded to include other licensing classes and
decommissioning and decontamination.
License Termination Letter
The NRC examines license termination on a case-by-case basis. There are no defined criteria
provided for significant contamination determination and subsequent D&D plan development. A
license termination request starts by submitting a notification of termination intentions to the
NRC. This usually takes the form of an official letter that contains a description of the facility's
nuclear material usage, spill records, site plans with pre- and post-construction modifications, a
list of all regulated areas requiring documentation, and a previously prepared cost estimate for
decommissioning. The letter on the next page provides an example NRC license termination
request.
The facility may work with the NRC to identify additional information needs in making its
determination for a decommissioning plan submittal. Because many of EPA's facilities use
minor quantities of radioactive material, the information request generally will be
straightforward and limited. For those larger radioactive material users, all information should
be obtained from radiation safety officers' reporting requirements files.
Laboratory Decontamination Guidance
The NRC regulations, at 10 CFR Part 20, Subpart E, establish criteria for the remediation of
contaminated sites or facilities that will allow their release for future use with or without
restrictions. The criteria include a Total Effective Dose Equivalent limit of 15 mrem/year,
meaning that the average individual should not be exposed above this level from residual activity
within the decommissioned facility. The criteria also require a licensee to reduce any residual
radioactivity to as low as reasonably achievable (ALARA).
The NRC developed the Regulatory Guide on Release Criteria for Decommissioning (NUREG-
1500) to assist facilities in following acceptable procedures for determining the predicted dose
level (PDL) from any residual radioactivity at the site. The criteria describes the basic features
of the NRC's models and acceptable parameters to factor into PDL calculations.
The NRC has not developed specific guidance on acceptable procedures for decontaminating
laboratory equipment. For most of EPA facilities, decontamination will use suitable solvents.
Note that all solvent disposal must also conform strictly to requirements under CERCLA and
RCRA. In cases where ductwork, drains, or fumehoods are contaminated beyond the
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Sample NRC License Termination Request Letter
Sample EPA Facility
100 Environment Road
Region, State 20001
(Address to NRC regional office)
Division of Low-Level Waste Management and Decommissioning
Office of Nuclear Material Safety and Safeguards
Nuclear Regulatory Commission
100 Nuclear Road
Rockville, MD 20192
Dear Sir or Madam:
In accordance with 10 CFR Part 30, Subpart 36b, this letter shall serve as notice of intent to
terminate NRC license XX- XXX-XXXX, which will return the property to unrestricted use. This
NRC license enabled the facility to use, store, and dispose of unsealed, radioactive by-products
which were used for scientific research and testing. Please find enclosed:
A record of all spills or other unusual occurrences involving the spread of contamination
As-built drawings and modifications of buildings where the unsealed sources were used
and stored and locations of possible inaccessible contamination
A list of all regulated areas that require documentation
Cost estimates initially performed to implement a decommissioning plan (if necessary).
This facility has experienced no spills or other unusual occurrences and has detected no
residual radioactive readings from an initial site survey, per recommended procedures. The
facility expects NRC to conclude that a decommissioning plan is not required because
contamination should be deemed insignificant.
Upon NRC's response to this termination request, the facility will proceed with termination of by-
product use, properly dispose of remaining materials, and conduct a final radiation exit survey in
anticipation of NRC's own exit survey validation.
If you have any questions about this termination request, please contact the Radiation Safety
Officer at (800) 555-1000.
Sincerely,
Radiation Safety Officer
Enclosures
decontamination abilities of certain solvents, they may have to be decommissioned, removed and
disposed of as low-level radioactive waste.
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Conducting a Final Radiation Exit Survey
The extent of residual contamination will depend on the type and quantity of nuclear material
used at the facility. The NRC has developed a guidance document, entitled Manual for
Conducting Radiological Surveys in Support of License Termination (NUREG/CR-5849), to
assist all types of facilities in executing final radiation exit surveys. This document contains
procedures for conducting radiological surveys to demonstrate that residual radioactive material
satisfies release criteria. Survey methodologies describe the state-of-the-art instrumentation and
procedures for conducting radiological surveys. The document also incorporates statistical
approaches for survey design, evaluation, and quality assurance.
Resources
In preparing for facility transfer or closure, the following resources may assist in complying with
NRC regulations and NRC closure protocols.
10 CFR Part 30 Subparts 35 & 36
•	Manual Chapter: NRC Protocols for Decommissioning a Facility (NRC Internal Draft)
•	NUREG-1500, Working Draft Regulatory Guide on Release Criteria for Decommissioning:
Staff Draft
•	NUREG-1501, Background as a Residual Radioactivity Criterion for Decommissioning
(Draft)
•	NUREG-5512, Residual Radioactive Contamination from Decommissioning
•	NUREG/ CR-5 849 Manual for Conducting Radiological Surveys in Support of License
Termination
•	Regulatory Guide 1.86, Termination of Operating License for Nuclear Reactors
•	T ask DG-3 001, Records Important for Decommissioning for Licensees under 10 CFR Parts
30, 40, 70, and 72
•	NRC-7590-01, Action Plan to Ensure Timely Cleanup of Site Decommissioning Management
Plan Sites
Numerous examples of laboratory closure materials are available through the NRC's public
document room, 2120 L Street, NW, Washington, DC 20555.
RCRA
This section focuses on RCRA Subtitle C and the applicable closure requirements associated
with hazardous waste management activities under EPA's EDDP. In addition to these
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guidelines, the state and local environmental authority should also be consulted to determine if
additional or more stringent requirements exist. To ease the complexity and confusion of
complying with RCRA, as amended by the Hazardous and Solid Waste Amendments (HSWA)
of 1984, all applicable hazardous waste requirements will be referred to as RCRA requirements
from this point forward.
Subtitle C
The RCRA Subtitle C regulations embody a "cradle-to-grave" philosophy in that hazardous
waste is managed from the time it is generated through its ultimate disposal. Hazardous waste
must always be managed by a responsible party, be it the generator; transporter; or treatment,
storage, or disposal facility (TSDF). Operations at EPA facilities or laboratories are generally
limited to generator functions; however, there may be instances where facilities or laboratories
are designated as TSDFs. Due to EPA's operations, only RCRA generator and TSDF closure
requirements will be discussed further.
Generators
There are three types of hazardous waste generators:
Conditionally exempt small quantity generators (CESQG), which generate less than 100
kilograms (kg) of nonacute hazardous waste or less than 1 kg of acute hazardous waste in a
calendar month
Small quantity generators (SQGs), which generate between 100 kg and 1,000 kg of nonacute
hazardous waste or less than 1 kg of acute hazardous waste in a calendar month
Large quantity generators (LQGs), which generate greater than 1,000 kg of nonacute
hazardous waste or 1 kg or more of acute hazardous waste in a calendar month.
Generators must conduct closure activities based on their size (i.e., CESQG, SQG, or LQG) and
the type of unit (e.g., containers, tanks, or containment buildings) the waste is stored in on-site.
These activities involve removing and managing residues and waste, rinsing and
decontaminating temporary storage units, and decontaminating equipment. These closure
activities are codified in 40 CFR Parts 261, 262, and 265.
TSDFs
EPA facilities or laboratories can also be designated as TSDFs, depending on their activities and
the amount of time hazardous waste is stored on-site. There are various types of TSDFs used to
manage hazardous waste, including containers, tanks, surface impoundments, waste piles, land
treatment units, landfills, incinerators, injection wells, corrective action management units
(CAMUs), drip pads, miscellaneous units, and containment buildings. The definitions of each of
these units is codified in 40 CFR §260.10.
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There are two sets of closure requirements for TSDFs under RCRA, including the general
requirements and the unit-specific requirements. The general closure requirements include
performance standards, the closure plan, time allowed for closure, disposal or decontamination
of equipment, structures, soil, and closure certification. The unit-specific closure requirements
include removal and management of all wastes and residues, decontamination of containment
systems and the unit, and decontamination of structures and equipment. If a facility is
designated as an interim status TSDF (defined in 40 CFR Part 265), the general closure
requirements in 40 CFR Part 265, Subpart G, and the unit-specific closure requirements in 40
CFR Part 265, Subparts I through R, W or DD apply. If the facility is designated as a permitted
TSDF (defined in 40 CFR Parts 264 and 270), the requirements in the facility permit apply.
These requirements should be reviewed, referenced, and complied with during the EDDP, if
applicable.
Additionally, if protection of human health or the environment is still in question after closure
activities have been completed, the facility cannot "clean close" the unit and must conduct post-
closure care activities. Clean close is not defined under RCRA; however, the March 19, 1987
Federal Register (52 FR 8706) provides language which, in essence, states clean closure is
achieved through removing all remaining wastes and residues from the TSDF, or ensuring the
contaminants do not pose a threat to human health or the environment. Clean closure is typically
left to the discretion of the federal or state enforcement authority. If clean closure is not
possible, the facility must perform post-closure care. These activities include the sampling and
monitoring of environmental media such as groundwater, surface water, soil, or sediments. Once
again, there are general requirements and unit-specific requirements. These requirements should
be referenced if "clean closure" is not feasible. These post-closure care requirements are
codified in 40 CFR Part 265, Subparts G, I through R, S, or WW for interim status facilities, and
the permit for permitted facilities.
Underground Storage Tanks (USTs)
Approximately five million USTs across the United States contain petroleum and other
chemicals potentially hazardous to human health and the environment. Many of these tanks and
associated piping systems are not protected from corrosion or overfill protection and, therefore,
are leaking product or have lost product while in service.
HSWA, Subtitle I of RCRA, established a comprehensive program for new and existing USTs of
certain size, use, and which hold regulated substances. A regulated substance is a CERCLA
hazardous substance excluding hazardous wastes and petroleum as defined in 40 CFR §280.12.
USTs currently in use must meet technical standards to ensure that regulated substances will not
leak or spill out of the tank and cause contamination. Specifically, all USTs must have spill,
overfill and corrosion protection by December 22, 1998, or be closed and/or replaced. To
prevent spills during delivery of regulated substances, by December 1998, USTs must have
catchment basins to contain spills. A tank can often be overfilled, causing a large-volume spill.
To prevent this from occurring, USTs must have overfill protection devices, such as automatic
shutoff devices, and overfill alarms by the December 1998 deadline. Federal regulations also
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require corrosion protection for USTs because unprotected steel USTs can corrode and release
substances through corrosion holes.
The requirements of 40 CFR Part 280 are currently applicable to about 1.2 million USTs.
However, there are some statutory exclusions to the definition of UST under the federal
regulatory program, including:
Farm or residential tanks of 1,000 gallons or less capacity used for storing motor fuel for
non-commercial purposes
Tanks used for storing heating oil for consumptive use on the premises where stored
Septic tanks
Pipeline facilities regulated under a federal or state pipeline safety act, surface
impoundments, pits, ponds, or lagoons
Stormwater or wastewater collection systems
Flow-through process tanks
Liquid trap or associated gathering lines directly related to oil or gas production and
gathering operation
Storage tanks situated in an underground area (such as a basement, cellar, or tunnel) if the
storage tank is situated upon or above the surface of the floor.
If an EPA facility with a regulated UST is closing, a determination must be made on future use
of the UST, as well as whether the UST is the source of any contamination. If the decision is to
close the UST, the appropriate closure requirements must be conducted in accordance with the
regulations promulgated at 40 CFR Part 280, Subpart G.
An UST may be considered suspect or an area of potential contamination in the EPA Phase I
EDDP report for a variety of reasons, such as lack of information on the tank contents and status
or physical evidence of stressed or stained vegetation. In addition, a former UST location may
also be considered suspect unless documentation, such as sampling results, a letter documenting
the state's approval, or a state-certified closure report, is made available during the Phase I
EDDP confirming the "clean closure" of a former UST. In cases when the UST or former UST
location is considered suspect, the Phase II sampling and analysis plan should incorporate a
strategy for characterizing the suspected area. Representative sampling should be conducted
accordingly to characterize the soil and other surrounding media of the tanks and pipelines, to
determine whether the tanks and pipelines contain product, to characterize the contents of the
tanks and pipelines, to verify the integrity and operability of the tank and pipelines. When an
UST is suspect, this general approach to characterizing an UST location should be applied to all
USTs, regulated and non-regulated.
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UST Closure
There are two types of closure for USTs per 40 CFR Part 280, including temporary and
permanent closure. When deciding which closure option to follow, facility owners and operators
should consider whether there is a potential for future use of the UST, the use planned for the
facility, and the condition of the surrounding land in general.
During temporary closure, tanks may either continue to store regulated substances or be emptied.
Temporary closure of an UST may last up to 12 months before having to be permanently closed.
When an UST system is temporarily closed, owners and operators must continue to comply with
normal operating requirements, such as the corrosion protection and release detection
requirements of 40 CFR Part 280, Subpart D. Release detection is not required if the UST
system is empty, meaning that all materials have been removed using commonly employed
practices so that no more than 2.5 centimeters (1 inch) of residue, or 0.3 percent by weight of the
total capacity of the UST system, remain in the system (40 CFR §280.70(a)).
When an UST system is temporarily closed for three months or more, owners and operators must
comply with additional requirements. Vent lines must be left open and functioning, and all other
lines, pumps, manways, and ancillary equipment must be capped and secured (40 CFR
§280.70(b)).
If an UST system is temporarily closed for more than 12 months, it must be permanently closed.
Permanent closure includes emptying and cleaning the UST by removing all liquids and
accumulated sludges. All permanently closed tanks must also be either removed from the
ground or filled with an inert solid material. Owners and operators must test for the presence of
a release from the UST before the completion of closure by conducting a site assessment.
Records of the site assessment must be maintained for three years after the tank is closed. If
EPA is the owner or operator and is vacating the facility, the site assessment records should be
forwarded to EPA Headquarters Facilities Management and Services Division (FMSD) and
Safety, Health and Environmental Management Division (SHEMD) to be maintained in the
official Property Transfer Program Document Management System.
Sampling and measurement methods must be appropriate for the characteristics of the site and
the regulated substance. If contaminated soils, contaminated groundwater, or free product
liquids or vapors are discovered, owners and operators must begin corrective action in
accordance with Subpart F of 40 CFR Part 280.
Release Reporting
Owners and operators of UST systems must report any suspected or known releases from an
UST within 24 hours or another appropriate time period specified by the implementing agency
(i.e. EPA Region or state). The implementing agency may direct the owner or operator to
determine whether the release has caused any off-site contamination. A suspected release must
be investigated within seven days through either a system test or a site check. If a release is
confirmed, the owner or operator must begin corrective action.
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Corrective Action
Releases from USTs pose a serious environmental and human health threat in the United States.
Because USTs, by definition, are largely hidden from view, areas surrounding USTs must be
inspected carefully for any signs of contamination. The federal corrective action regulations for
USTs found at 40 CFR Part 280, Subpart F provide a flexible framework for owners/operators
and implementing agencies to work within and achieve cleanup levels protective of human
health and the environment. Corrective action consists of a series of steps which vary depending
on the severity of the release.
Short-Term Corrective Actions
Once a release is detected, immediate response activities such as release reporting, immediate
containment, and monitoring of explosive hazards should be taken (40 CFR §280.61).
Following the immediate response activities, the facility begins abatement measures (40 CFR
§280.62(a)). Examples of such measures are:
Performing a site check to evaluate the extent of the release
Containment of the regulated substance to prevent continued release
Continued monitoring and mitigation of explosive hazards
Mitigating hazards posed by soils excavated during response activities
Determining the presence of free product in groundwater.
The owner or operator must submit a report to the implementing agency within 20 days of
confirmation of the release describing the extent of initial abatement activities (40 CFR
§280.62(b)). The owner or operator must submit a more detailed site characterization report to
the implementing agency within 45 days of confirmation of release (40 CFR §280.63(b)). After
reviewing the results, the implementing agency may decide that the release warrants further
response activities. If further corrective action is required, the owner or operator must submit
detailed corrective action plans, including provisions to remediate contaminated soils,
groundwater, and surface water to the implementing agency (40 CFR §280.66).
Long-Term Corrective Actions
EPA's regulations for the UST corrective action program do not specify cleanup levels or
administrative procedures; these determinations are left to the discretion of the implementing
agency (generally, the state). The federal regulations require that state or local cleanup programs
be protective of human health and the environment. Although the corrective action technologies
are not specified in the federal regulations, there are several commonly employed remediation
options for soil and groundwater contamination. Available options for soil remediation include
in situ soil vapor extraction, in situ bioremediation, excavation and off-site treatment, and natural
attenuation. Technologies typically selected for groundwater remediation include in situ air
sparging with soil vapor extraction, pump and treat, and biosparging.
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Resources
The following resources may assist in complying with closure requirements under RCRA.
Underground Storage Tanks; Technical Requirements: Final rule. September 23, 1988,
Federal Register (53 FR 37082)
•	What Do We Have Here? An Inspector's Guide to Site Assessment at Tank Closure-Video
and Companion Booklet, Video, 510-K-92-006, Booklet, 510-K-92-006
•	Tank Closure Without Tears - Video and Companion Booklet, Video, 510-V-92-817, Booklet
510-K-92-817
•	RCRA Orientation Manual, 1990 Edition, EPA/530-SW-90-036
CLEAN WATER MANAGEMENT
This section discusses how to address CWA and SDWA requirements if the Phase I EDDP finds
suspected areas of contamination regulated by water management programs. This section
specifically addresses requirements under the federal CWA and SDWA programs. Individual
state programs should be consulted to determine the applicability of different or more stringent
regulatory standards.
Clean Water Act Regulatory Guide
Topic
Action Involved
Regulatory Citation
Oil Discharges
Reporting is required for discharges of oil into navigable
waters that:
•	Violate water quality standards
•	Cause a film or sheen on the water or shoreline
40 CFR Part 110
Spill Prevention Control and
Countermeasures (SPCC)
Plan
SPCC plans must be developed when petroleum is
being stored in quantities greater than 42,000 gallons
underground, 1,320 gallons total aboveground, or 660
gallons in any single aboveground container.
40 CFR Part 112
Hazardous Substance
Release Reporting
Reporting is required for releases of hazardous
substances that exceed CWA reportable quantities
(listed in 40 CFR Part 116) within a 24-hour period.
40 CFR Part 117
National Pollutant Discharge
Elimination System (NPDES)
Permits
NPDES permits are required for point source discharges
of wastewaters into navigable waters of the U.S.
40 CFR Part 122
Stormwater Discharge
Permits
These requirements apply to stormwater discharges
from specific activities into navigable waters (e.g., EPA
facilities having RCRA permits, new construction
involving more than five acres of land).
40 CFR §122.26
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Clean Water Act Regulatory Guide
Topic
Action Involved
Regulatory Citation
National General
Pretreatment Standards
Discharges of wastewater and sanitary waste to the
sewer system are subject to the National General
Pretreatment Standards, which prohibit discharges of
certain wastes to the sewer system.
40 CFR §403.5(b)
National Categorical
Pretreatment Standards
These standards regulate discharges of wastewater to
the sewer system from specific categories of industrial
activities.
40 CFR Parts 405-471
Local Pretreatment
Standards
Discharges of wastewater and sanitary wastes to the
sewer system will be regulated by a municipal discharge
permit or a local sewer use ordinance issued by the local
publicly owned treatment works (POTW).
Municipal Discharge
Permit or Local Sewer
Use Ordinance
§404 Dredging Permits
Potential discharges, water quality impairment,
hydrological, and navigational impacts associated with
dredge and fill activities require review, approval, and
permitting by the U.S. Army Corps of Engineers.
40 CFR §144.31
In addition to CWA requirements, the facility may be subject to water management activities
regulated under the SDWA. The table above summarizes the major regulatory programs under
the CWA that may impact EPA facilities.
Safe Drinking Water Act Regulatory Guide
Topic
Action Involved
Regulatory Citation
General applicability of SDWA
This subpart establishes key definitions under
the national primary drinking water regulations
(NPDWR) program, scope of coverage,
variances and exemptions, and regulatory
effective dates.
40 CFR Part 141, Subpart A
Maximum contaminant levels
(MCLs) for organic, inorganic,
turbidity, and certain
radioactive material
Public drinking water systems providing water
for widespread consumption must meet specific
maximum contaminant levels to ensure drinking
water quality and protect public health.
40 CFR Part 141, Subpart B
and Subpart G
Monitoring and analytical
requirements for public water
systems
Periodic testing and monitoring forcoliform
bacteria, turbidity, and certain organic and
inorganic contaminants is a key aspect of EPA's
NPDWR program. The effective dates for these
monitoring requirements has been phased in
over a period of time.
40 CFR Part 141, Subpart C
Reporting, public notification,
and recordkeeping
Reporting and public notification must be
conducted for noncompliance with SDWA
requirements for public water systems.
40 CFR Part 141, Subpart F
Filtration and disinfection
Specific filtration and disinfection requirements
are established for public water systems and
supplied by a surface water source or
groundwater influenced by surface water
sources.
40 CFR Part 141, Subpart H
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Safe Drinking Water Act Regulatory Guide
Topic
Action Involved
Regulatory Citation
Control of lead and copper in
drinking water
New action levels of 0.015 mg/l for lead and 1.3
mg/l for copper were established in 1991. If
these values are exceeded at the tap in 10
percent of the public water system subject to
monitoring programs, corrective actions must be
initiated.
40 CFR Part 141, Subpart I
Underground Injection Control
Discharges or introduction of wastewaters,
industrial wastes, and hazardous wastes into
injection wells require specific approvals and
permits.
40 CFR Parts 146-149
Per Executive Order 12088, Federal Compliance with Pollution Control Standards, October 13,
1978, EPA facilities are required to comply with applicable regulations under CWA and SDWA.
For example, the National Vehicle Fuel and Emissions Laboratory in Ann Arbor operates
oil/water separators, and the Annapolis Central Regional Laboratory previously used septic
systems prior to connecting to the municipal sewage treatment works. These facilities would be
subject to CWA and SDWA requirements. The Phase I Report will have identified situations
such as these examples that may prompt further review under the Phase II EDDP.
National Pollutant Discharge Elimination System Permits (NPDES)
When transferring EPA real property, any permits acquired to operate the facility must be
terminated or transferred. Permit termination (40 CFR §122.64) generally will follow prescribed
administrative procedures. For a federal NPDES permit, a notice of termination must be filed
with the CWA Permitting Division. Contact the Office of Water, Permits Division, at 202-260-
9545, for more information if a federal permit needs to be terminated. If a state NPDES permit
requires termination, contact the Department of Environmental Quality or equivalent agency
where the permit was obtained.
In addition to administrative procedures, any equipment used for wastewater treatment to fulfill
NPDES permit conditions must be decontaminated, such as cleaning out and sampling any
sludge (as with elementary neutralization tanks) and disposing of equipment or waste products in
accordance with pertinent federal and state solid and hazardous waste management rules.
Additional information on equipment decontamination and decommissioning is provided in
Section 3 of this document.
If stormwater discharges, discharge points, or discharge transport pipelines are noted as a
potential concern in Phase I, then sampling activities should be conducted as part of Phase II to
determine the cause of the problem, and the remedy should be addressed in Phase III. Sections
A-06 and A-07 of these guidelines should be referenced for additional information on planning,
implementing, and reporting the sampling and analysis activities associated with stormwater
discharges, discharge points, or discharge transport pipelines.
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Potable Water
Although most EPA facilities are served by public water systems and typically are not subject to
SDWA regulations for delivery of treated drinking water, facilities that have on-site wells
supplying water for consumption by an average of at least 25 people daily for at least 60 days of
the year are subject to requirements applicable to nontransient, noncommunity water systems. If
the facility is considered a drinking water supplier, it is required to be within the federal and
state maximum contaminant levels (MCLs) for any pollutants in its potable water. If the Phase I
determines that the facility is a drinking water supplier and that the water supply is likely
polluted, the Phase II activities will consist of drinking water sampling and documentation.
Septic Systems
Administrative closure procedures for septic systems need to be addressed with state authorities
and the local municipality. Although not directly part of CWA or SDWA requirements, some
municipalities have septic tank abandonment procedures that are administered through the local
health department. For example, when a sanitary system is attached to a municipal system, the
existing septic tank is required to be "caved-in" and filled with an inert material. This will
ensure that the abandoned tank does not present a safety issue when transferring the property. In
general, there may not be any Phase II sampling activities associated with the septic system
unless the facility Phase I investigation indicated discharges of industrial wastewaters or other
nonsanitary wastes.
Wells and Groundwater
Federal and state requirements may be most applicable to underground injection control wells.
Accordingly, the Phase II should document any sampling activities to verify adherence of past
practices to pertinent standards. The facility should ensure that the potential for wells to become
a route of transport for contaminants is eliminated.
If groundwater sampling is needed because of suspected contamination, Phase II analysts may
use existing wells, install monitoring wells, or use hydropunch or other sampling methods. Any
activities performed and their results should be documented.
Wetlands
Requirements for dredging or filling wetlands are issued and enforced by the Army Corps of
Engineers under Section 404 of the CWA. State Section 404 programs can be enforced on
waters not susceptible to interstate commerce, including tidal waters and wetlands. If the facility
obtained a Section 404 permit, it must be terminated with the issuing authority and any dredging
and filling activities must cease. Cases of contamination resulting from these activities and
associated sampling operations would likely fall under the federal or state Superfund statutes.
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Spill Prevention, Control, and Countermeasures (SPCC) Plan
Some areas with suspected contamination may stem from oil stored on-site. If the facility stored
more than 42,000 gallons underground, 1,320 gallons aboveground total, or 660 gallons in any
single container aboveground, then the facility should have an SPCC plan in place in accordance
with 40 CFR Part 112. The Phase II investigation should include a review of the SPCC plan to
determine what engineering controls and systems are in place; an analysis of this equipment to
identify whether it is functioning effectively to eliminate the potential for future spills if oil is
still stored on-site; and an inspection to make sure that any incidental spills that may have
occurred were cleaned up properly.
Resources
The following resources may be helpful in obtaining further information about clean water
management:
SDWA Hotline: hotline-sdwa@epamail.epa.gov
Office of Water Resources Center: 202-260-7786, orwaterpubs@epamail.epa.gov
• Oil Pollution Act information exchange under the EPA RCRA/Superfund/Emergency
Planning and Community Right-to-Know Act (EPCRA) Hotline: 1-800-424-9346, or 703-
412-9810 for the Washington, DC, metropolitan area
Wastewater Sampling Computer-Based Training and Manual, a set of six computer-based
training modules and complementary manual being developed for Region 1 by the EPA
SHEMD Multimedia Laboratory in conjunction with the Office of Water. Contact the
Multimedia Laboratory at 202-260-2215.
National Environmental Policy Act (NEPA)
The substantive and procedural requirements of NEPA must be followed for all major federal
actions, including some activities under EPA's EDDP.
In regard to EPA real property transfers, potential major federal actions applicable for NEPA
review include lease termination, building consolidation, mission change, or construction of a
new facility or laboratory. In working with the General Services Administration (GSA) and
other federal agencies to execute the NEPA process, the Responsible Official, such as the EDDP
Project Manager or Laboratory Director, should investigate the potential completion of NEPA
documentation by other federal agencies. If NEPA documentation does not exist for the
proposed real property transfer, then EPA should initiate the NEPA process.
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The NEPA Process
Tier 1 Analysis:
Categorical
Exclusions (CX)
Tier 2 Analysis:
Environmental
Assessments
(EA)
Tier 3 Analysis:
Environmental
Impact
Statement (EIS)
Record of
Decision (ROD)
y' Has the —_
Responsible Official
for the action approved
disposition as a
categorical
exclusion?
Yes
Yes
^ Is action eligible ^
for a categorical exclusion
in accordance with
N. 40 CFR §6.107? ^
No/Uncertain
No
Yes
No
Yes
No
Is the
action likely to have
significant environmental
impacts?
Has the
Responsible Official
for the action approved the
disposition based on
the EA?
Issue FNSI
for the action
Proposed action
Prepare EIS
Conduct scoping
Prepare and publish NOI
Initiate selected action
Perform EA for the proposed action
Issue ROD
Ensure that the
documentation in
40 CFR §6.107
is prepared
The EPA and other federal agencies follow a three-tiered procedural review process when an
action that could affect the environment is proposed. The NEPA Process Chart on the next page
gives an overview of the process. Tier 1 determines whether the project qualifies for a
categorical exclusion (CX). Tier 2 determines whether the project qualifies for a finding of no
significant impact (FNSI) after performing an environmental assessment (EA). If no significant
impacts are discovered in the EA process, the project qualifies for a FNSI. If significant impacts
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are discovered in the EA process, an Environmental Impact Statement (EIS) must be prepared.
Tier 3 entails preparing an EIS and issuing a Record of Decision (ROD).
Some examples of real property transfer activities that require the preparation of NEPA
document include, but are not limited to, activities that:
Significantly affect the pattern and type of land use or growth and distribution of human
population
Conflict with local, regional, or state land use plans or policies
Significantly affect cultural resource areas, endangered or threatened species, or
environmentally important natural resource areas such as wetlands, floodplains, or coastal
waters
Significantly have an adverse effect upon local ambient air quality, noise level, surface water
or groundwater quality or quantity, water supply, aquatic life, wildlife, and their natural
habitats.
The Draft NEPA/EDDP Review Form for EPA Real Property Transfer or Closure Booklet
contains a form and helpful instructions for executing the NEPA/EDDP. The form will be
finalized after EPA determines if a proposed rule will amend the current criteria for categorical
exclusions under 40 CFR §6.107(d) or if the EPA's Office of the General Counsel (OGC) will
issue a broad definition of a CX determination. The results of the Phase I and II EDDP will
assist in determining the appropriate level of NEPA review and documentation through the
disclosure and characterization of environmental conditions of the property.
Until the NEPA/EDDP form is finalized and a final rule is promulgated, the following provides a
suggested approach for identifying the NEPA requirements and applicability when closing or
addressing environmental contamination at an EPA property transfer project. At a minimum, the
PTM, laboratory director, or Phase II or III oversight official should consult with EPA's Office
of Federal Activities (OFA), OGC, other NEPA specialists, and FMSD to determine the
appropriate and required NEPA activities. The Draft NEPA/EDDP Review Form for EPA Real
Property Transfer or Closure Booklet should be completed in concert with the consultation of
these NEPA representatives. The PTM, laboratory director, or Phase II and III oversight official
will be responsible for ensuring the NEPA review process is executed including, but not limited
to, evaluation, document development, public notification, and mitigation measures. Finally, all
supporting materials, reports, and NEPA documentation should be submitted to EPA
Headquarters (FMSD/SHEMD) to be maintained indefinitely in the official Property Transfer
Program Document Management System.
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CERCLA
This section discusses how to address CERCLA requirements if the Phase I EDDP finds
suspected areas of contamination regulated under Superfund. Federal facilities such as EPA
laboratories can clean up hazardous substance contamination pursuant to CERCLA, but the
cleanup may not be financed through the Superfund. Superfund was created to pay for response
actions where the responsible parties cannot be found or are unable to pay. Superfund financing
is reserved for non-federal facilities on the National Priorities List (NPL). The NPL is a group of
sites with hazardous substance contamination substantial enough to warrant federal attention and
money for cleanup. Congress required EPA to create the NPL to identify the most serious sites,
ensuring that Superfund monies are spent on the most serious problems. The purpose of the NPL
is to notify the public of sites that need remedial action and may present a long-term threat to
public health or the environment. Federal facilities may be placed on the NPL even though they
cannot receive Superfund money.
Removal actions and enforcement actions are not limited to NPL sites. CERCLA authority may
be used for responding to releases of hazardous substances into the environment. Understanding
these terms is essential to understanding the scope of CERCLA. The definitions of these terms
are provided in Section 101 of CERCLA.
In some cases the EDDP Project Manager may need to determine whether a CERCLA response
is warranted. The removal site evaluation process provides flexibility to determine whether a
CERCLA response is warranted or another appropriate federal or state response is available. For
example, a CERCLA response may not be necessary for a facility licensed by the NRC and
being closed in conformance with an NRC-approved decommissioning plan, for a facility being
closed in compliance with a RCRA permit or order, or if a release or a substantial threat of a
release is not present at the facility or the amount of hazardous substances present does not
warrant federal response.
Under CERCLA section 120, each Federal agency is responsible for carrying out most response
actions at facilities under its own jurisdiction, custody, or control. Section 120(a) states that
Federal departments, agencies, and instrumentalities are subject to CERCLA just like
nongovernment entities, including CERCLA's liability provisions. Pertinent guidelines, rules,
regulations, and criteria apply in the same manner and to the same extent, with the exception of
requirements pertaining to bonding, insurance, and financial responsibility.
Special requirements and timetables are established under Section 120. For example, section
120(c) requires establishment by EPA of a Federal Agency Hazardous Waste Compliance
Docket that lists Federal facilities that have reported managing hazardous substances or releases
of hazardous substances. Section 120(h) is presented in Appendix D and addresses in detail,
guidelines for the property transfer by Federal agencies.
Release Reporting, Removal, and Remedial Authority
CERCLA gave EPA the authority to require reporting of certain releases of hazardous
substances and the authority to require cleanup of those releases through a short-term removal
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action and/or a long-term remedial action. CERCLA response actions should be determined on a
site-by-site basis, and in consultation with EPA enforcement officials and the state
environmental agency, as appropriate. CERCLA response actions include removal (emergency,
time-critical, or non-time-critical) and remedial actions.
Discovery and Notification of a Release
In order for a site to be considered eligible for Superfund response, a release of a hazardous
substance must be discovered and reported to the government. If a release of hazardous
substances is discovered during Phase II EDDP activities, the owner or operator may need to
make a notification about the release and can be held liable for any contamination. Personnel in
charge of the facility should carefully examine any records on-site for information about what
types of chemicals have been used at the facility and which may have been released. If a
hazardous substance has been released into the environment in a quantity equal to or greater than
its reportable quantity (RQ) (specified in the list of hazardous substances found in 40 CFR
§302.4) within a 24-hour period, upon discovery the owner or operator of the facility must
immediately notify the National Response Center. This involves a notification to the National
Response Center by telephone at (800) 424-8802 providing detailed information about the
facility and the nature of the release (40 CFR §302.6). If the owners/operators are unsure of
whether a RQ of the hazardous substance was released and whether it occurred within a 24-hour
period, they should still report the release to the National Response Center as a precautionary
measure (55 FR 8676; March 8, 1990). Even if a release does not warrant notification, this does
not mean the owner or operator of the facility will not be held liable for the release and any
cleanup costs pursuant to the release.
Following a screening process, sites where hazardous substance releases were reported are listed
in Comprehensive Environmental Response, Compensation, and Liability Act Information
System (CERCLIS), a comprehensive national database that inventories and tracks releases
which may need to be addressed by the Superfund program. All sites entered into CERCLIS are
carefully evaluated to determine whether contamination poses a great enough threat to warrant
federal response and/or inclusion on the NPL.
After discovery or notification of a hazardous substance release, EPA conducts a preliminary
assessment (PA) to decide if the release is a threat to human health and the environment. If
further investigation is warranted, EPA will conduct an site inspection (SI). The information
gathered during the PA and the SI is used to develop a Hazard Ranking System (HRS) score.
The HRS evaluates relative risks to human health and the environment posed by uncontrolled
hazardous waste sites by assessing four pathways of potential human exposure to contamination
(i.e., groundwater, surface water, soil and air). EPA uses a site's HRS score to determine if it
should be placed on the NPL.
Removal Actions
If a release presents a serious immediate threat, EPA may take a removal action to stabilize or
clean up the release. Typical removal actions include removing leaking tanks or drums of
hazardous substances, installing security measures such as a fence at a site, or providing a
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temporary alternate source of drinking water to local residents. A removal action may be taken
at any time necessary during the response process.
There are three types of removal actions (emergency, time-critical, and non-time-critical), each
with different regulatory requirements, depending on the urgency of the need for a response to
the release. All removal actions have a time and spending restriction of 12 months and $2
million, respectively. The time and spending limits may be exceeded when continuing the
removal action is necessary to prevent, limit, or mitigate an immediate risk to public health or
the environment which will not be acted upon by another party; or when continuing the removal
action is consistent with a remedial action that will be taken at the site.
An emergency removal action requires on-site activities to commence within hours of the lead
agency's determination that a removal action is appropriate.
A time-critical removal action occurs when, based on the site evaluation, the lead agency
determines that a removal action is appropriate and that there is less than six months available
before on-site activities must be initiated. For time-critical removal actions, the community must
be involved and an administrative record of the removal action must be created (40 CFR
§§300.415(n)(2)/3 00.820(b)).
Non-time-critical removal actions are those where EPA determines a removal action is
appropriate and a planning period of more than six months is available before on-site activities
must commence. In accordance with §300.415(b)(4), the lead agency must conduct an
engineering evaluation/cost analysis (EE/CA) for a non-time critical removal action. The
EE/CA is an analysis of removal alternatives for a site. More information on the procedures and
activities involved in conducting an EE/CA can be found in EPA's document entitled Guidance
on Conducting Non-Time-Critical Removal Actions Under CERCLA (Office of Solid Waste and
Emergency Response (OSWER) Directive 9360.0-32). Specific administrative record
requirements for non-time-critical actions are specified in 40 CFR §300.820(a).
Remedial Actions
If a hazardous substance release does not pose an immediate threat to human health and the
environment, EPA may take a remedial action after further evaluation of the site. Remedial
actions are long-term and aimed at achieving a permanent remedy. Examples of typical remedial
actions include removing buried drums from a site, thermally treating wastes, pumping and
treating groundwater, and applying innovative technologies such as bioremediation to
contaminated soil.
A remedial action has two main phases: the remedial investigation/feasibility study (RI/FS)
phase, and the remedial design/remedial action (RD/RA) phase. The purpose of the RI/FS is to
study conditions at the site, identify contaminants, and evaluate cleanup alternatives. The RI
entails collecting and analyzing information to determine the nature and extent of contamination
at the site. Specific alternatives are then evaluated during the FS. After the RI/FS, EPA focuses
on designing the selected cleanup alternative in the remedial design stage. The remedial action
stage follows, with a varying timeframe according to the complexity of the remedy.
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A site is considered "completed" or cleaned up once the chosen remedy is operational and
functional and meets its designated environmental, technical, legal and institutional
requirements. At this stage, operation and maintenance activities are implemented to monitor
the effectiveness of the remedy and to ensure that no new threat to human health and the
environment arises. EPA is responsible for reviewing operation and maintenance activities
conducted by the Regions or state.
Liability
CERCLA imposes liability when there is a release or threatened release of hazardous substances.
CERCLA Section 107(a) casts an extremely broad net in defining the scope of persons who can
be liable for paying the costs of responding to a release of hazardous substances. The types of
parties that can be held liable are (1) the current facility or vessel owners or operators, (2) former
facility or vessel owners or operators, (3) those who arrange for treatment or disposal of
hazardous substances at a facility, and (4) those who accept hazardous substances for transport to
treatment or disposal sites.
There are three defenses to liability outlined in CERCLA Section 107(b):
An act of God
An act of war
An act or omission of a third party who is not an employee or agent of the defendant, and
does not have a contractual relationship with the defendant.
The third-party defense, often called the "innocent landowner" provision, rebuts the presumption
of liability associated with ownership of the land by claiming the landowner made a good faith
effort to discover any contamination. In addition, the third-party defense may come into play
where a person is the victim of a so-called "midnight dumper." To the third-party defense the
court scrutinizes the defendant's relationship to the property, specifically whether the defendants
knew or had reason to know of the disposal of hazardous substances at the facility. The elements
of the defense are found in CERCLA Sections 107(b)(3) and 101(35). The defendant raising the
third-party defense must be free of both actual or inferred knowledge and any contractual
relationship concerning the property, except as allowed under Section 101(35)(A).
If during closure of an EPA facility, hazardous substance contamination is discovered, but EPA
is clearly not responsible for the release it is possible that the Agency may not be held liable for
cleanup of the contamination. Determinations will be made on a site-specific basis, and there are
some EPA policies to protect persons who were not responsible for contamination on their
property. For example, the "Policy Towards Owners of Property Containing Contaminated
Aquifers" states the Agency's positions that, subject to certain conditions where hazardous
substances have come to be located on or in a property solely as the result of subsurface
migration in an aquifer from a source of sources outside the property, EPA will not take
enforcement actions against the owner of such property to require the performance of response
actions or the payment of response costs (60 FR 34790; July 3, 1995).
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Enforcement
CERCLA is a strict liability statute, which means that responsible parties are liable without
regard to negligence or fault. The concept of joint and several liability applies in situations
where more than one potentially responsible party (PRP) is involved and it is difficult to
determine each PRP's contribution to the release. In these situations, the courts have held that
an owner, operator, waste generator or transporter may be held liable for the entire cost of site
cleanup, unless each party's contribution can be identified. Although EPA cannot take
enforcement actions against other Federal agencies or itself pursuant to CERCLA, federal
facilities often have their own mandates for responding to hazardous substance releases. EPA
should take on cleanup responsibilities, setting an example to other facilities with hazardous
substance contamination.
Community Involvement
Community involvement opportunities are tailored to each Superfund site and an integral part of
every Superfund response. The National Contingency Plan (NCP) provides the public with the
opportunity to comment on, and provide input to, decisions about response actions. Interested
persons are provided with accurate and timely information about response plans and progress,
and their concerns about planned actions are heard by the lead agency.
CERCLA/RCRA Interface
If an EPA facility which is closing has chemical contamination, a response action may be taken
pursuant to CERCLA or RCRA regulations. The authority chosen will depend on factors such as
the timeliness of a response, and the substances involved. If CERCLA authority is used for the
cleanup the EPA facility will need to follow procedures under the CERCLA regulations to
ensure proper cleanup of the site. If the hazardous substance released is also a RCRA hazardous
waste, EPA may use RCRA authority rather than CERCLA authority when cleaning up the site.
Generally, sites that may be cleaned up under RCRA or certain other laws will not be placed on
the NPL.
Resources
The following resources may assist in complying with closure requirements under CERCLA:.
•	CERCLA/Superfund Orientation Manual, EPA/542/R-92/005, October 1992
•	Questions and Answers on Release Notification Requirements and Reportable Quantity
Adjustments, EPA/540-R-94-005, January 1995.
TSCA
By enacting TSCA on October 11, 1976, Congress established a number of requirements and
authorities for identifying and controlling toxic chemical hazards to human health and the
environment. This section will focus on TSCA polychlorinated biphenyl (PCB) regulations and
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the Asbestos Hazard Emergency Response Act (AHERA) as they pertain to EPA property
transfer and the Phase II EDDP.
PCBs
PCBs are a group of industrial chemicals that were widely used as coolants, insulating materials,
and lubricants in electrical equipment such as transformers and capacitors. PCBs were used
from their introduction in the mid-1920s until 1979 when the manufacture and distribution of
PCBs in the U.S. was severely restricted due to adverse health effects from exposure.
PCBs are oily liquids or solids, clear to light yellow in color, with no smell or taste. Because of
PCBs' widespread distribution and persistence in the environment, they may not only be found
in use, but also in general storage items and products or as contamination from prior spills or
leaks. It is critical that all PCBs and PCB- containing materials and equipment that may be in
service or in storage at the facility are properly identified, managed, and in some cases mitigated.
The following are commonly encountered PCB-containing materials:
• Transformers
Small capacitors (contain < 3 pounds of dielectric fluid)
Large capacitors (contain 3 pounds or more of dielectric fluid)
Hydraulic fluids
Fluorescent lighting fixtures (ballasts)
Microscopy mounting media and immersion oil
Lab samples
Liquid-cooled electric motors
Switches
Voltage regulators
Vacuum pumps.
PCBs were also used in paints, inks, lubricants, sealants, plasticizers, and carbonless copy paper.
If there is suspected PCB contamination identified from the Phase I investigation, the proper
procedures for characterizing the extent of contamination should be made part of the sampling
and analysis plan for Phase II activities. The following EPA documents, Verification of PCB
Spill Cleanup by Sampling and Analysis (EPA 560/5-85-026) and the I'ield Manual for Grid
Sampling of PCB Spill Sites to Verify Cleanup (EPA 560/5-86-017), provide insight on sampling
methods used to characterize PCB contamination. There are also field screening techniques to
test for the presence of PCBs, such as Clor-N-Soil and Chlor-N-Oil, but laboratory analysis
should be instituted to confirm PCB concentration before any remediation or disposal actions are
taken. The field screening techniques are a good indicator used for confirming the presence of
PCBs rather than performing an all-encompassing PCB sampling event, which can be costly.
For additional sources of information on PCB sampling, refer to Resources at the end of this
section.
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PCB Spills
Disposal of PCBs is defined in 40 CFR §761.3 as intentionally or accidentally discarding,
throwing away, or otherwise completing or terminating the useful life of PCBs and PCB-
containing materials. Disposal includes spills, leaks, and other uncontrolled discharges of PCBs
as well as actions related to containing, transporting, destroying, degrading, decontaminating, or
confining PCBs and PCB-containing materials. Any release of PCBs to the environment greater
than 50 parts per million (ppm) is considered a prohibited act of disposal as defined in the
regulations. Facilities are required to report spills of more than 10 pounds (4.56 kg) of PCBs of
concentrations of 50 ppm to the EPA regional office. Spills of greater than 1 pound (0.45 kg)
must be cleaned up.
The federal regulations stipulate a Spill Cleanup Policy at 40 CFR Part 761, Subpart G, that is
applicable to spills which occurred after May 4, 1987. For old spills that were discovered after
the effective date of this policy (e.g., discovered as a result of a Phase I investigation) but could
have occurred before the effective date of the policy, cleanup requirements are established at the
discretion of EPA, usually through its regional offices.
There are two types of PCB spills: a low-concentration spill from a source concentration of
PCBs from 50 to 500 ppm, and a high-concentration spill from a source of 500 ppm or greater.
In the event that the source of a PCB spill is unknown, the spill is cleaned up based on the
concentration of the contaminated material.
For low-concentration spills, refer to the cleanup requirements at 40 CFR §761.125(b)
For high-concentration spills, refer to the cleanup requirements at 40 CFR §761.125(c).
It is important to contact the local or state environmental authority. In many cases, the local and
state authorities have cleanup requirements that are more stringent than federal regulations.
Most likely, this is reflected in the definition of "PCB contaminated." TSCA's range is 50 to
500 ppm, whereas some states define this as 5 to 500 ppm.
Compliance with the Spill Cleanup Policy may prevent enforcement action and any need for
additional cleanup under TSCA. However, if the cleanup is required under RCRA, CERCLA, or
other statutes, then different standards, other than those imposed by TSCA may be applicable.
Disposal Requirements
A uniform hazardous waste manifest, EPA Form 8700-22, must be prepared if PCB waste is
being transported off-site. For each shipment of manifested PCB waste a disposal facility
accepts, the owner or operator of the facility must prepare a Certificate of Disposal. Refer to 40
CFR §§761.60 and 761.218 for specific disposal requirements.
The Agency has developed a Quick Reference Fact Sheet, Lighting Fixture Management
Options, EPA No. EPA/200-f-94-008, containing information on the management of fluorescent
light fixture ballasts containing PCBs. The fact sheet contains statutory requirements,
management options, packing, labeling, transporting, storing, recordkeeping, and management
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costs. Also, the Office of Administration has an internal memorandum for the disposal of
lighting fixtures that should be referenced. The subject memorandum, Lighting Fixture Disposal
Guidance Strategy, dated June 15, 1995, provides guidance to encourage energy-efficient
lighting upgrades while minimizing any potential impacts on the environment.
Resources
The following resources may assist in complying with TSCA regulations.
40 CFR Part 761, Poly chlorinated Biphenyls Manufacturing, Processing, Distribution in
Commerce, and Use Prohibitions
•	PCB Q & A Manual, EPA, Office of Pollution Prevention and Toxics, 1994
40 CFR Part 761 Subpart G, PCB Spill Cleanup Policy
Lighting Fixture Management Options, Quick Reference Fact Sheet, EPA No. EPA/200-F-
94-008, September 1994
•	TSCA Assistance Informational Hotline (202) 554-1404
Asbestos
Under TSCA, EPA regulates the use of asbestos in commerce and has issued standards for both
controlling its handling and restricting its use. Congress amended TSCA in 1986 by adding a
new Title III, AHERA, which required EPA to conduct a study to determine the extent of human
health risks posed by asbestos in public and commercial buildings. The EPA responded in
February 1988 by sending Congress a study on asbestos-containing materials (ACM) in public
buildings. On November 28, 1990, the Asbestos School Hazard Abatement Reauthorization Act
(ASHARA) was enacted. Section 15 of ASHARA amended AHERA to require accreditation for
any person who inspects for ACM in a public or commercial building, or who designs or
conducts a response action with respect to friable ACM in such a building.
AHERA defines "public and commercial buildings" as the interior space of any building which
is not a school building, except that the term does not include any residential apartment building
of fewer than 10 units or detached single-family homes. Interior space includes exterior
hallways connecting buildings, porticos, and mechanical systems used to condition interior
space. Examples of public and commercial buildings are government-owned buildings, colleges,
museums, airports, hospitals, churches, preschools, stores, warehouses, and factories.
Federal regulations define an inspection to mean those activities undertaken to specifically
determine the presence and/or location, or to assess the condition of friable or non-friable
asbestos-containing building material (ACBM) or suspected ACBM by either visual or physical
examination, or by collecting samples of such material. Therefore, if asbestos surveys or
sampling is conducted at an EPA facility , the individual(s) performing the survey/sampling
should be accredited. Training requirements include:
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Individuals performing asbestos related work must take a four-day, 32-hour EPA-approved
training course consisting of topics such as potential health effects of asbestos exposure, the
use of personal protective equipment, and state-of-the-art work practices
A contractor/supervisor must take a five-day, 40-hour EPA-approved course
Inspectors take a three-day course
Management planners take a two-day course
Project designers take a three-day course.
ASHARA does not require building owners to conduct inspections for asbestos-containing
materials in public and commercial buildings. However, should the owner decide to conduct an
inspection, then he or she must use an inspector who is accredited.
CLEAN AIR ACT AND NESHAP
In addition to TSCA, regulations under other laws apply to asbestos. The Clean Air Act requires
U.S. EPA to develop and enforce regulations to protect the general public from exposure to
airborne contaminants known to be hazardous to human health. The U.S. EPA established
National Emission Standards for Hazardous Air Pollutants (NESHAP) and promulgated the
asbestos NESHAP in 40 CFR Part 61, Subpart M. The subpart addresses demolition and
renovation of facilities, and asbestos waste transport and disposal. The regulations require
owners/operators to notify the applicable state and local agencies and/or U.S. EPA regional
offices before demolition or renovation of a building occurs which contain a certain threshold
amount of asbestos.
Although the NESHAP has not been revised to alter its applicability to friable and nonfriable
ACM, nonfriable asbestos materials are now classified as either Category I or Category II
material:
Category I material is defined as asbestos-containing resilient floor covering, asphalt roofing
products, packings and gaskets. Asbestos-containing mastic is also considered a Category I
material
Category II material is defined as all remaining types of non-friable ACM not included in
Category I that, when dry, cannot be crumbled, pulverized, or reduced to powder by hand
pressure. Nonfriable asbestos-cement products such as transite are an example of Category
II material.
The asbestos NESHAP specifies that Category I materials which are not in poor condition and
not friable prior to demolition do not have to be removed, except where demolition will be by
intentional burning. However, regulated asbestos-containing materials (RACM) and Category II
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materials that have a high probability of being crumbled, pulverized, or reduced to powder as
part of demolition must be removed before demolition begins.
Surveys and Sampling
If ACM is identified as a suspected area of concern in the Phase I EDDP report, the ACM in the
building must be disclosed to the future occupant. Prior to real property transfer, all available
information on the existence, extent, and condition of ACM should be incorporated into the
EDDP reports or other appropriate documents to be provided to the landlord or future occupant.
The EDDP reports should include:
Reasonably available information on the type, location, and condition of asbestos in any
building or improvement on the property
Any results of testing for asbestos
A description of any asbestos control measures taken for the property
Any available information on costs or time necessary to remove all or any portion of the
remaining ACM; however, special studies or tests to obtain this material are not required
Results of a site-specific update of the asbestos inventory performed to revalidate the
condition of ACM.
If the presence of asbestos is suspected and an asbestos survey has not been performed or is not
available, an asbestos survey should be completed. The occupancy agreement will determine
who is responsible for performing the survey. If EPA owns or is responsible for the management
of the facility, then EPA will perform the survey. If EPA is a tenant to a landlord, such as GSA,
then the landlord is responsible for performing any surveys. However, the landlord may choose
not to perform a survey at the time EPA vacates the facility.
The resources provided to perform an asbestos survey at an EPA- owned or managed facility will
depend on the scope of the survey. If an asbestos survey exists but it is limited or dated, then the
scope of additional surveying is probably small scale, and therefore, the EPA program operating
at the facility will be responsible. However, if an asbestos survey has not been performed and
there are many areas of suspected ACM, then FMSD and SHEMD should be contacted for
assistance in developing a statement of work and identifying funding resources. In some cases,
EPA may opt not to perform an asbestos survey and disclose the suspected asbestos to the future
occupant.
ACM should be remedied prior to real property transfer only if it is of a type and condition that
is not in compliance with applicable laws, regulations, and standards, or if it poses a threat to
human health at the time of transfer of the property. An agreement may be reached with the
landlord or future occupant on the appropriate asbestos abatement measures to be taken.
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If asbestos is suspected, it is important that the potential health risk is appropriately addressed in
the sampling and analysis plan, and in particular, the health and safety plan. Therefore,
individuals performing any demolition or renovation activities as part of Phase II or III activities
are aware of the potential hazards during abatement. As mentioned previously in this section, all
individuals performing asbestos surveys or sampling must be certified in accordance with
AHERA. There are a number of resources listed at the end of this section to help plan for
asbestos sampling and pre-abatement activities. The manual, Demolition Practices Under the
Asbestos NESHAP (EPA 340/1-92-013), can assist in planning for demolition activities.
Resources
The following resources may assist in complying with closure requirements concerning asbestos.
40 CFR §1910.1001, which applies to all occupational exposures to asbestos in all industries
covered by the Occupational Safety and Health Act, except for construction work as defined
in 29 CFR §1910.12(b). Exposure to asbestos in construction work is covered by 29 CFR
§1926.1101
40 CFR Part 763, Asbestos Abatement Projects
•	EPA 340/1-92-013, Demolition Practices Under the Asbestos NESHAP. This manual is
designed to assist the asbestos NESHAP inspector in identifying practices that normally do
or do not make Category I nonfriable ACM become RACM
29 CFR §1926.58, Asbestos Standard of the Occupational Safety and Health Administration
EPA Region 5 Asbestos Program Overview which can be accessed via the Internet at
"http://www.epa.gov/reg5foia/asbestos/index.html"
Asbestos/NESHAP Regulated Asbestos Containing Materials Guidance, EPA Publication
No. 340/1-90-018, December 1990
•	Managing Asbestos In Place, EPA Publication No. 20-T-2003, July 1990.
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Appendix D
Copy of 40 CFR Part 373 and CERCLA Section 120(h)
PART 373—REPORTING HAZARDOUS SUBSTANCE ACTIVITY
WHEN SELLING OR TRANSFERRING FEDERAL REAL PROPERTY
Sec.
373.1	General Requirement.
373.2	Applicability.
373.3	Content of notice.
373.4	Definitions.
Authority: Section 120(h) of the Comprehensive
Environmental Response, Compensation, and Liability Act
of 1980, as amended, 42 U.S. C. 9601 et seq.
Source: 55 CFR 14212, Apr. 16,1990, unless otherwise
noted.
§373.1 General requirement.
After the last day of the six month period beginning on
April 16,1990, whenever any department, agency, or
instrumentality of the United States enters into any contract
for the sale or other transfer of real property which is owned
by the United States and at which, during the time the
property was owned by the United States, any hazardous
substance was stored for one year or more, known to have
been released, or disposed of, the head of such department,
agency, or instrumentality must include in such contract
notice of the type and quantity of such hazardous substance
and notice of the time at which such storage, release, or
disposal took place, to the extent such information is
available on the basis of a complete search of agency files.
§ 373.2 Applicability.
(a)	Except as otherwise provided in this section, the
notice required by 40 CFR 373.1 applies whenever the
United States enters into any contract for the sale or other
transfer of real property which is owned by the United
States and on which any hazardous substance was stored for
one year or more, known to have been released, or disposed
of.
(b)	The notice required by 40 CFR 373.1 for the
storage for one year or more of hazardous substances
applies only when hazardous substances are or have been
stored in quantities greater than or equal to 1000 kilograms
or the hazardous substance's CERCLA reportable quantity
found at 40 CFR 302.4, whichever is greater. Hazardous
substances that are also listed under 40 CFR 261.30 as
acutely hazardous wastes, and that are stored for one year or
more, are subject to the notice requirement when stored in
quantities greater than or equal to one kilogram.
(c) The notice required by 40 CFR 373.1 for the
known release of hazardous substances applies only when
hazardous substances are or have been released in quantities
greater than or equal to the substance's CERCLA reportable
quantity found at 40 CFR 302.4
§ 373.3 Content of notice
The notice required by 40 CFR 373.1 must contain the
following information:
(a)	The name of the hazardous substance; the
Chemical Abstracts Services Registry Number (CASRN)
where applicable; the regulatory synonym for the hazardous
substance, as listed in 40 CFR 302.4, where applicable; the
RCRA hazardous waste number specified in 40 CFR
261.30, where applicable; the quantity in kilograms and
pounds of the hazardous substance that has been stored for
one year or more, or known to have been released, or
disposed of, on the property, and the date(s) that such
storage, release, or disposal took place.
(b)	The following statement, prominently displayed:
"The information contained in this notice is required under
the authority of regulations promulgated under section
120(h) of the Comprehensive Environmental Response,
Liability, and Compensation Act (CERCLA or
"Superfund") 42 U.S.C. section 9620(h)."
§ 373.4 Definitions.
For the purpose of implementing this regulation, the
following definitions apply:
(a)	Hazardous substances means that group of
substances defined as hazardous under CERCLA 101(14),
and that appear at 40 CFR 302.4.
(b)	Storage means the holding of hazardous
substances for a temporary period, at the end of which the
hazardous substance is either used, neutralized, disposed of,
or stored elsewhere.
(c)	Release is defined as specified by CERCLA
101(22).
(d)	Disposal means the discharge, deposit, injection,
dumping, spilling, leaking or placing of any hazardous
substance into or on any land or water so that such
hazardous substance or any constituent thereof may enter
the environment or be emitted into the air or discharged into
any waters, including groundwater.
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Comprehensive Environmental Response, Compensation,
and Liability Act (42 U.S.C. §9620)—Section 120(h)
(h) Property transferred by Federal agencies
(1)	Notice
After the last day of the 6-month period beginning
on the effective date of regulations under
paragraph (2) of this subsection, whenever any
department, agency, or instrumentality of the
United States enters into any contract for the sale
or other transfer of real property which is owned
by the United States and on which any hazardous
substance was stored for one year or more, known
to have been released, or disposed of, the head of
such department, agency, or instrumentality shall
include in such contract notice of the type and
quantity of such hazardous substance and notice of
the time at which such storage, release, or disposal
took place, to the extent such information is
available on the basis of a complete search of
agency files.
(2)	Form of notice; regulations
Notice under this subsection shall be provided in
such form and manner as may be provided in
regulations promulgated by the Administrator. As
promptly as practicable after October 17, 1986, but
not later than 18 months after October 17, 1986,
and after consultation with the Administrator of the
General Services Administration, the
Administrator shall promulgate regulations
regarding the notice required to be provided under
this subsection.
(3)	Contents of certain deeds
After the last day of the 6-month period beginning
on the effective date of regulations under
paragraph (2) of this subsection, in the case of any
real property owned by the United States on which
any hazardous substance was stored for one year or
more, known to have been released, or disposed of,
each deed entered into for the transfer of such
property by the United States to any other person
or entity shall contain—
(A) to the extent such information is available on
the basis of a complete search of agency
files—
(i)	a notice of the type and quantity of such
hazardous substances,
(ii)	notice of the time at which such storage,
release, or disposal took place, and
(iii) a description of the remedial action taken,
if any;
(B)	a covenant warranting that—
(1) all remedial action necessary to protect
human health and the environment with
respect to any such substance remaining
on the property has been taken before the
date of such transfer, and
(ii) any additional remedial action found to be
necessary after the date of such transfer
shall be conducted by the United States;
and
(C)	a clause granting the United States access to
the property in any case in which remedial
action or corrective action is found to be
necessary after the date of such transfer.
The requirements of subparagraph (B) shall not
apply in any case in which the person or entity to
whom the property is transferred is a potentially
responsible party with respect to such real
property. For purposes of subparagraph (B)(i), all
remedial action described in such subparagraph
has been taken if the construction and installation
of an approved remedial design has been
completed, and the remedy has been demonstrated
to the Administrator to be operating properly and
successfully. The carrying out of long-term
pumping and treating, or operation and
maintenance, after the remedy has been
demonstrated to the Administrator to be operating
properly and successfully does not preclude the
transfer of the property.
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(4) Identification of uncontaminated property
(A) In the case of real property to which this
paragraph applies (as set forth in subparagraph
(E)), the head of the department, agency, or
instrumentality of the United States with
jurisdiction over the property shall identify the
real property on which no hazardous
substances and no petroleum products or their
derivatives were stored for one year or more,
known to have been released, or disposed of.
Such identification shall be based on an
investigation of the real property to determine
or discover the obviousness of the presence or
likely presence of a release or threatened
release of any hazardous substance or any
petroleum product or its derivatives, including
aviation fuel and motor oil, on the real
property. The identification shall consist, at a
minimum, of a review of each of the following
sources of information concerning the current
and previous uses of the real property:
(i)	A detailed search of Federal Government
records pertaining to the property.
(ii)	Recorded chain of title documents
regarding the real property.
(iii)	Aerial photographs that may reflect prior
uses of the real property and that are
reasonably obtainable through State or
local government agencies.
(iv)	A visual inspection of the real property
and any buildings, structures, equipment,
pipe, pipeline, or other improvements on
the real property, and a visual inspection
of properties immediately adjacent to the
real property.
(v)	A physical inspection of property
adjacent to the real property, to the extent
permitted by owners or operators of such
property.
(vi)	Reasonably obtainable Federal, State, and
local government records of each adjacent
facility where there has been a release of
any hazardous substance or any petroleum
product or its derivatives, including
aviation fuel and motor oil, and which is
likely to cause or contribute to a release
or threatened release of any hazardous
substance or any petroleum product or its
derivatives, including aviation fuel and
motor oil, on the real property.
(vii) Interviews with current or former
employees involved in operations on the
real property.
Such identification shall also be based on
sampling, if appropriate under the circumstances.
The results of the identification shall be provided
immediately to the Administrator and State and
local government officials and made available to
the public.
(B)	The identification required under
subparagraph (A) is not complete until
concurrence in the results of the identification
is obtained, in the case of real property that is
part of a facility on the National Priorities
List, from the Administrator, or, in the case of
real property that is not part of a facility on the
National Priorities List, from the appropriate
Sate official. In the case of a concurrence
which is required from a State official, the
concurrence is deemed to be obtained if,
within 90 days after receiving a request for the
concurrence, the State official has not acted
(by either concurring or declining to concur)
on the request for concurrence.
(C)	(i) Except as provided in clauses (ii), (iii),
and (iv), the identification and
concurrence required under
subparagraphs (A) and (B), respectively,
shall be made at least 6 months before the
termination of operations on the real
property.
(ii)	In the case of real property described in
subparagraph (E)(i)(ii) on which
operations have been closed or realigned
or scheduled for closure or realignment
pursuant to a base closure law described
in subparagraph (E)(ii)(L) or (E)(ii)(II) by
the date of the enactment of the
Community Environmental Response
Facilitation Act, the identification and
concurrence required under
subparagraphs (A) and (B), respectively,
shall be made not later than 18 months
after such date of enactment.
(iii)	In the case of real property described in
subparagraph (E)(i)(II) on which
operations are closed or realigned or
become scheduled for closure or
realignment pursuant to the base closure
law described in subparagraph (E)(ii)(II)
after the date of the enactment of the
Community Environmental Response
Facilitation Act, the identification and
concurrence required under
subparagraphs (A) and (B), respectively,
shall be made not later than 18 months
after the date by which a joint resolution
disproving the closure or realignment of
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the real property under section 2904(b) of
such base closure law must be enacted,
and such a joint resolution has not been
enacted.
(iv) In the case of real property described in
subparagraphs (E)(i)(II) on which
operations are closed ore realigned
pursuant to a base closure law described
in subparagraph (E)(ii)(III) or (E)(ii)(IV),
the identification and concurrence
required under subparagraphs (A) and
(B), respectively, shall be made not later
than 18 months after the date on which
the real property is selected for closure or
realignment pursuant to such a base
closure law.
(D)	In the case of the sale or other transfer of any
parcel of real property identified under
subparagraph (A), the deed entered into for
the sale or transfer of such property by the
United States to any other person or entity
shall contain—
(i)	a covenant warranting that any response
action or corrective action found to be
necessary after the date of such sale or
transfer shall be conducted by the United
States; and
(ii)	a clause granting the United States access
to the property in any case in which a
response action or corrective action is
found to be necessary after such date at
such property, or such access is necessary
to carry out a response action or
corrective action on adjoining property.
(E)	(i) This paragraph applies to—
(I)	real property owned by the United
States and on which the United States
plans to terminate Federal
Government operations, other than
real property described in subclause
(II); and
(II)	real property that is or has been used
as a military installation and on
which the United States plans to
close or realign military operations
pursuant to the base closure law.
(ii) For purposes of this paragraph, the term
"base closure law" includes the
following:
(I) Title II of the Defense Authorization
Amendments and Base Closure and
Realignment Act (Public Law 100-
526; 10U.S.C. 2687 note).
(II) The Defense Base Closure and
Realignment Act of 1990 (part A of
title XXIX of Public Law 101-510;
10 U.S.C. 2687 note).
(III)	Section 2687 of title 10, United
States Code.
(IV)	Any provision of law authorizing the
closure or realignment of a military
installation enacted on or after the
date of enactment of the Community
Environmental Response Facilitation
Act.
F) Nothing in this paragraph shall affect, preclude, or
otherwise impair the termination of Federal
Government operations on real property owned by
the United States.
(5) Notification states regarding certain issues
In the case of real property owned by the United
States, on which any hazardous substance or any
petroleum product or its derivatives (including
aviation fuel and motor oil) was stored for one year
or more, known to have been released, or disposed
of, and on which the United States plans to
terminate Federal Government operations, the head
of the department, agency, or instrumentality of the
United States with jurisdiction over the property
shall notify the State in which the property is
located of any lease entered into by the United
Sates what will encumber the property beyond the
date of termination of operations on the property.
Such notification shall be made before entering
into the lease and shall include the length of the
lease, the name of person to whom the property is
leased, and a description of the uses that will be
allowed under the lease of the property and
buildings and other structures on the property.
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Appendix E
Examples of EPA Laboratory and Facility Equipment
or Operations That May Require
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Appendix E
Examples of EPA Laboratory and Facility Equipment or Operations
that May Require Deactivation and Decommissioning
Hazardous Materials and Waste
acid waste drain and neutralization pit
graphics operations
biological species testing chemicals
hazardous materials/waste storage building
central hazardous waste accumulation areas
lead-based paint
chemical adoption program storage areas
pathological/infectious waste treatment
chemical storage areas
devices
containers/pipes for film processing racks
pesticide storage areas
containers/pipes for used fix solution (silver)
refrigeration systems and equipment
containers/pipes for bleach replacement for
refrigerant recovery systems
color film processor
satellite hazardous waste accumulation areas
elementary neutralization systems

Tanks, Containers, and Other Storage
acute hazardous waste containers
medical waste containers
compressed gas cylinder storage
modular hazardous waste storage facility
compressed gas cylinders
organic solvent containers
control tanks
outdoor solvent storage building
corrosive solution containers
paint and supply storage areas
culture and bioassay tanks
radioactive storage facility
drum storage area surfaces
satellite accumulation area, surfaces
effluent collection container
staging area
fuel oil tank
storage cabinets, sheds, surfaces
hazardous waste containers
surplus property storage facility
head tanks
underground and aboveground storage tanks
indoor drum storage area
vehicular storage/maintenance areas and
indoor drum storage area
surfaces
oil/water separators

Environmental Media (Soil, Groundwater, Wetlands)
acid neutralization pits
test streams
chemical groundwater injection studies
test stream sediment
effluent discharge pipe systems
testing trailers and mobile laboratories
sewer system

Radioactive Materials
test streams
atomic absorption spectrophotometer
test stream sediment
gas chromatograph with electron capture
test plots and research media
radioactive contaminated floors, wall, items
inductively coupled plasma atomic emission
radioisotope fume hood
sealed sources/isotope solutions
radioisotope glove boxes
radiological waste/materials storage areas
radiological fume hood air ducts
radiological treatment systems

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Examples of EPA Laboratory and Facility Equipment or Operations
that May Require Deactivation and Decommissioning (continued)
Polychlorinated Biphenyls
PCB-contaminated ballast, animal bedding/
cages
PCB-contaminated samples & waste
containers
pesticide storage cabinets
PCB lysimeters
PCB transformers or electrical equipment
PCB waste storage areas
test plots and research media
Asbestos
asbestos analysis equipment
asbestos-containing material
asbestos samples
Indoor Air
laboratory exhaust vents
laboratory exposure chambers
vent pipes
Laboratory Equipment and Pilot/Bench-Scale Experiments
acid wash bath equipment/wastewater
atomic absorption spectrophotometer
boiler
five-chamber chemical combustor apparatus
fluid modeling facility
laboratory fume hood stacks
laboratory fume hoods
gas chromatographs with electron capture
detectors
glassware washing areas
HPLC instrumentation
inductively coupled plasma atomic emission
spectroscophers
ion-exchange system
mass spectrometer
ozone regeneration system
radioactive contaminated floors, walls, items
sanitary treatment plant
scintillation counting devices
sealed sources/isotope solutions
solvent extraction and distillation flasks
wastewater treatment system and piping
wipe test equipment
Building Systems
boilers
building water supply system
emergency power generators
exhaust stacks
fluorescent lights and ballast
furnace equipment
HVAC systems (CFCs, cooling tower)
natural gas-fired boilers
NPDES effluent pipes
oil-fired steam boiler
pathological incinerator
rotary kiln incinerator system
sanitary sewer system and drains
scrubber water accumulation tanks
septic system
wastewater treatment system
Other

drinking fountains failing to meet lead
standards
dry system drainage
fire extinguishers/suppression equipment
fire-detection equipment
personal protective equipment
spill-control equipment
sumps
water deionizing systems
wet laboratory building
wood and metal shops
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Considerations for Equipment Deactivation and Decommissioning
"Deactivation" is the process of placing a facility and its systems in a safe and stable condition
until the closure activities are completed to protect workers, the public, and the environment. All
major processes, equipment, and operations at the Environmental Protection Agency (EPA)
facility should be deactivated during Phase II if they have not already been deactivated. Filters
and other such removable and replaceable equipment that contain radioactive or hazardous
materials must be removed and disposed of properly. The process systems should be cleaned and
all process materials removed, including hazardous and nonhazardous sludges and residues.
Laboratory experiments and associated containers and equipment should be properly ceased,
dismantled, and discarded. Deactivation is particularly important if environmental
contamination or hazards will not be addressed until after the lease is terminated or the facility is
vacated. Other examples of deactivation activities include:
Removing fuel and other products from storage tanks
Draining and/or de-energizing non-essential systems
Emptying and flushing all process systems and pipelines
Removing all radioactive, hazardous, and chemical materials
Discontinuing all non-essential utility services, including electric, gas, fuel oil, propane,
steam
Removing and dismantling all temporary and portable structures, including trailers,
laboratories, and equipment
Decontaminating, cleaning, removing, or disposing of large portable containers.
The facility should document the deactivation activities performed in a brief report to quantify
and identify the equipment deactivated, the final equipment condition, and the method of
deactivation. All operation and maintenance manuals and technical drawings of equipment and
process left in place at the facility should be included as attachments to the report. This
documentation will support future closure activities conducted during Phases II and III, and will
prevent duplicating effort by eliminating uncertainties about equipment condition. Also, a
documented deactivation will provide stakeholders and future property recipients with
information on the safe and stable condition of the process and facility systems. The scope of
deactivation is not intended to include the removal of contamination that is part of the buildings'
infrastructure, such as asbestos, or the decontamination of complex laboratory equipment or
process components contaminated with radiological or hazardous substances. These complex
and laborious activities should be performed only after sampling and analysis has identified the
extent of contamination and evaluated closure alternatives.
Under certain circumstances, the situation may arise where deactivation activities are not
performed or documented. These circumstances may include a facility without experienced
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personnel or an authorized contract to perform deactivation. If deactivation activities are not
performed or documented, a surveillance and monitoring evaluation should be performed.
Surveillance and monitoring includes routine maintenance and inspection of the facility and
related property with verified or suspected environmental and safety hazards. Additional
information on surveillance and monitoring is provided in Section A-03 of this document.
Ozone-Depleting Substances (ODSs)
Because they deplete stratospheric ozone, chlorofluorocarbons (CFCs) have been banned from
production in the United States through the 1990 Clean Air Act (CAA) Amendments. The ban
officially took effect January 1, 1996, and extends with different phaseout dates to other ozone-
depleting chemicals such as halons, hydrochlorofluorocarbons (HCFCs), and some chlorinated
solvents. CFCs have been used by the Agency as refrigerants in large and small refrigeration
systems throughout the nation at the Agency's research facilities and program offices.
In July 1992, ozone-depleting substances (ODS) refrigerant venting became illegal during the
service, maintenance, repair, or disposal of appliances or industrial process cooling equipment.
EPA compliance officers conduct random inspections of facilities using CFCs to ensure the
facilities are operating in strict compliance with federal regulations. Offenders, whether public
or private, are assessed fines up to $27,500 per day per violation (61 FR 69360; December 31,
1996). To date, no federal facilities have been fined for violations of these requirements.
Federal regulations governing the use of ODSs in commerce do not require sellers of equipment
or facilities with CFC-containing equipment to provide documentation of the sale of CFCs as is
required of free-product ODS distributors. Also, these regulations do not require the removal of
CFCs or HCFCs from refrigeration or process cooling equipment before a transfer of real
property. However, the regulations mandate that the liability for violations occurring before
actual property transfer fall to the prior owner of the CFC-containing equipment. Therefore,
EPA facilities must protect against leakages or improper venting of ODS material. In this way,
EPA guards against undue liability from the transfer of ODS-containing equipment in property
transfer activities.
EPA's Use of CFCs and HCFCs
EPA's CFC use falls predominantly within the refrigeration usage area. EPA uses the largest
amount of CFCs in in-house systems such as central plant chillers. In 1993, EPA began a
program to remove CFCs from these systems and replace the CFCs with HFC-134a in most
systems where practicable. EPA's most predominant use of CFCs is in small systems, such as
refrigerators and freezers. As part of its pollution prevention efforts, EPA is examining
opportunities to replace CFCs used in these small appliance applications. For more information
on EPA's efforts to reduce the Agency's use of CFCs, refer to EPA 's Pollution Prevention
Report to Congress 1996 or EPA 's CFC Management Reference Manual, which can be obtained
by contacting EPA's Facilities Management and Services Division (FMSD) or Safety, Health
and Environmental Management Division (SHEMD).
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Requirements for ODS Removal
For large, non-hermetically sealed ODS-containing equipment (such as a central plant and
backup chillers), the Agency's policy is to remove the refrigerant and place it in a secure and
stable state. To accomplish the removal of ODSs from facility chillers, the facility needs to have
the proper certified recycling equipment, certification for technicians, and knowledge of storage
and transportation procedures. Additional information on these evacuation requirements can be
found in the following section of this appendix, Evacuation Requirements and Equipment
Specifications.
Small systems that are hermetically sealed do not need to undergo special deactivation
procedures. If they are being disposed of locally, the EPA facility will need to provide
documentation to the disposal agent that the refrigerants have been recovered according to EPA
requirements. The disposal agent will keep this record on file. EPA may recover used
refrigerants before disposal and must follow the procedures outlined below to recycle used
refrigerants.
Evacuation Requirements and Equipment Specifications
In the past, a major contributor to ozone depletion has been the release of used refigerants, into
the environment, from evacuation equipment during changeout of refigerants. To prevent or
minimize the amount of refigerants venting into the environment during this process, the Clean
Air Act Amendments of 1990 required the use of approved and certified refrigerant recovery and
recycling equipment.) When evacuating refrigeration equipment except for Mobile Vehicular
Air Conditioners (MVACs) or small equipment, evacuation equipment must be able to remove
the refrigerant according to the relative vacuum levels presented in the table below under the
conditions of ARI Standard 740-1993, Performance of Refrigeration Recovery, Recycling,
and/or Reclaim Equipment (see Appendix B of 40 CFR Part 82). Under the 1990 Amendments
to the CAA, private citizens are authorized to seek civil penalties for violations of the Act.
Plaintiffs must provide at least 60 days notice of the action to the Administrator, the state, and
the alleged violator (CAA §304). To reinforce how serious Congress is about enforcement of the
CAA, it has authorized EPA to pay a "bounty" of up to $10,000 to anyone who provides
information that leads to a "criminal conviction or a judicial or administrative civil penalty"
(CAA §113 (f)).
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EDDP Guidelines
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Evacuation Levels Required of Certified
Recovery or Recycling Equipment
Types of Appliances
Inches of Mercury Vacuum
Equipment
manufactured
before 11/15/93
Equipment
manufactured
after 11/15/93
High-pressure systems containing less than 200 pounds of HCFC-22
0
0
High-pressure systems containing more than 200 pounds of HCFC-22
4
10
Other high-pressure systems containing less than 200 pounds of
refrigerant
4
10
High-pressure systems containing more than 200 pounds of refrigerant
4
15
Very high-pressure systems
0
0
Low-pressure systems
25 (mm Hg
absolute)
25 (mm Hg
absolute)
Evacuation equipment may also be certified if an approved third party can demonstrate that the
equipment is able to meet specific requirements outlined in 40 CFR Part 82, Subpart F. Each
piece of equipment certified by EPA must be labeled as such by the manufacturer or importer of
the equipment. Effective November 15, 1993, evacuation technicians cannot use equipment that
has not been certified according to the requirements set forth in 40 CFR Part 82, Subpart F.
When removing refrigerants from small appliances, the evacuation equipment must be able to
recover 90 percent of the refrigerant if the system is functioning and intact and the evacuation
equipment was manufactured before November 15, 1993. When the small appliance is intact and
functioning, and the evacuation equipment was manufactured after November 15, 1993, the
evacuation equipment must be able to recover 80 percent of the refrigerant. When the
compressor of the appliance is not functioning, the evacuation equipment must be able to recover
80 percent of the refrigerant. All evacuation equipment used for small appliance refrigerant
recovery must be able to evacuate to four inches of mercury vacuum. For further details on
evacuation and equipment specification requirements, please refer to 40 CFR Part 82, Subpart F.
Types of Technician Certification
Effective November 14, 1994, persons who maintain, service, repair, or dispose of appliances
except MVACs must receive special EPA-approved refrigerant handling certifications. There
are four types of certification depending on the type of ODS-containing appliance serviced.
They are:
Type I, for persons who maintain, service, or repair small appliances
Type II, for persons who maintain, service, repair, or dispose of high- or very high-pressure
ODS-containing appliances except MVACs and small appliances
Type III, for persons who maintain, service, repair, or dispose of low-pressure appliances
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Universal, for persons who maintain, service, repair, or dispose of any type of low- or high-
pressure ODS-containing appliance.
Technicians must be able to provide proof of certification to EPA inspection officials and may
need to be recertified at some future date as determined by the EPA Administrator.
Storage and Transportation Requirements
EPA does not regulate the storage or transportation of refrigerants under the 1990 CAA
Amendments. These handling requirements are regulated by the Occupational Safety and Health
Administration (OSHA) and the Department of Transportation (DOT). OSHA requires that in-
plant handling, storage, and use of compressed gases must follow the guidance established in the
Compressed Gas Association's Pamphlet P-l-1965, which has been incorporated by reference
into 29 CFR §1910.6. The filling and transportation of compressed gas refrigerants is regulated
by DOT in 49 CFR Parts 171 to 177. These requirements cover:
Compressed gases transportation requirements (49 CFR §173.315)
Charging of cylinders with liquefied compressed gases (49 CFR §173.304)
Exemptions for the transportation of refrigerating machines and precharging tubes (49 CFR
§173.307).
Hierarchy of ODS Transfer Options
Priority of Actions for Reuse of Old Refrigerants
Deactivation activities will result in the
accumulation of used CFC refrigerants at
facility locations. The Agency has
established a priority system to ensure that
recovered refrigerants are either efficiently
reused or properly disposed of. The
following flow chart demonstrates the
Agency's hierarchy for refrigerant reuse.
The Agency's recommended option is first
to recycle or reclaim the unused
refrigerants. Recycling and reclaiming
refrigerant ensures that the facilities have an
adequate supply of refrigerant to meet their
present and future needs. The next
recommended option is evacuating the
refrigerant from the equipment and having it transported off-site to the Defense Logistics
Agency (DLA) in Richmond, Virginia. This option allows the Agency to retain control over the
removal procedures and to transfer the refrigerant to the military's refrigerant Defense Reserve
Contract out refrigerant removal
services with certified refrigerant
technicians
Send refrigerants to the Defense
Logistics Agency in Richmond, Virginia
Recycle/reclaim refrigerant for use
by other EPA facilities
Recovered refrigerants from evacuated equipment
during property transfer activities
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for use by the Defense agencies or to set up a refrigerant bank for EPA. DLA has been operating
the Defense Reserve since 1993 and now stores between 10 million and 15 million pounds of
ODSs. DLA provides recovery cylinders free of charge to agencies that are donating to the
refrigerant Defense Reserve. The last recommended option is to initiate a contract with a
certified technician or reclamation company to remove the refrigerant from the equipment. If the
last option is chosen, the facility must maintain documentation of all transactions involving the
transfer of refrigerant off-site. Although complete records of disposal actions are not required by
law, it is advisable to maintain these records to demonstrate a clear line of custody.
Resources
Refer to the following resources for further information.
Compressed Gas Association, Pamphlet P-1 -1965
40 CFR Part 82, Protection of Stratospheric Ozone
49 CFR Parts 171 -177, Hazardous Materials Regulations
29 CFR Part 1910, Occupational Safety and Health Standards
•	EPA publication, 608: The Refrigerant Recycling Rule, 1994
•	EPA publication, Disposing of Applications with Refrigerants: What You Should Know, 1993
•	Defense Logistic Agency, Procedures for Turning in Ozone-Depleting Substance to the
Defense Reserve, July 8, 1994.
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Appendix F
Office of Administration Letter on Management Responsibility for Transferring EPA Real
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Appendix F
OA Letter on Management Responsibility for Transferring EPA Real Property
HAY 25 1996
mm
SUBJECT: Management Responsibility for Transferring EPA Real
Property,.^
FROM; John C. Chaaberlin, Director
Office of Administration
TO:	Assistant Administrators
Regional Administrator*
CARM Directors fcincinnati and RIP)
The purpose of this correspondence is to outline the
management challenges in -transferring real property: managing
and avoiding potential environmental liability by complying with
the Community Environmental Response Facilitation Act (CERFA)»
Sew construction, lease termination, and changes in program
'mission nay result in an EPA decision to terminate its interest
in real property and vacate owned or leased laboratories and
other facilities. In transferring real property, EPA program
offices must consider the related mdministrative, personal
property relocation, real estate, and environmental requirements.
Facilities management and the program offices are
responsible for meeting this challenge, specifically by providing
the resources required to implement an environmental due dili-
gence process (EDDP). The EDDP is a three-phased approach
developed to comply with CERFA and associated regulations
detailed in 40 CFR 373. The three-phased EDDP is currently
dascribed in an interim draft document titled, SmMbIInets	.far
Transferrins SPA Real...gCQB,fiX.t^JiM_£esB^vint| Vifcft	TO- Ttusse
guidelines, which can be obtained by contacting Facilities
Management and Services Division (FHSD) or Safety, Health, and
Environmental Management Division (SHEKD), provide additional
information on the BDDP responsibilities discussed below.
s!$ ^'>vu '*¦
OA Letter on Management Responsibility for Transferring EPA Real Property
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EDDP Guidelines
December 2000
Once an EPA program office determines that a leased or owned
property should be transferred, the senior pragma manager ssust
provide written notice of this decision to the Office of
Administration. The notification initiates the EDDP, which will
Identify, document, manage, and mitigate the environmental
liability for that facility to comply with CERPA, After receiving
notification, FMSD and SKEMD will jointly conduct Phase I of the
'EDDP, which is a preliminary environmental survey and site
inspection. Because Phase 1 is a six- to twelve-month process,
program offices aust submit notification well in advance of
vacating the property. Before EPA vacates any property, FMSD and
SBEMB will conduct a pro-vacancy inspection as part of the Phase
I EDDP. A pre-vacancy inspection will evaluate whether all
personal property has been relocated, all hazardous ®aterials and
surplus chemicals have been removed, and all laboratory and
facility equipaent and systems have been safely shot down- If
the Phase I identifies suspected environmental contaaination.
Phases 11 and III, sampling and cleanup of any enwirorasentai
contamination, will be conducted and will be a cooperative effort
between FMSD, skekd, and the program offices.
The prograa offices will be responsible for 'managing and
funding sampling and cleanup activities resulting troia the
program's research activities. Examples of these sampling and
cleanup activities may include, but. are not limited to, removing
ancf disposing of hazardous materials and surplus cteaieals;
decontaminating laboratory equipment, cabinets, and surfaces;
safe shutdown of all equipaent, processes, and operations; and
tbe cleanup of test plots, streams, sediments, and other research
media. The progrraa offices are also responsible for relocating
all personal property before vacating the premises in coordina-
tion with the EDDP. The cost incurred for relocating any
personal property left behind is the responsibility of the
program offices. The Office of Administration will be responsi-
ble for funding facility-related environaental contamination,
associated with, but not Halted to, storage tank syeterns,
buildings and major structures, sewer systems, ana utilities.
AH EDDP sampling and clean up of environmental contamination,
regardless of cost, should be coordinated with the Office of
Adninietratiofi/FMS'D and SHEMD to eliminate any duplication of
effort and to ensure tbe appropriate allocation of resources.
The scope of real property transfer and environmental
conditions will be unique for each EPA facility. A successful
real property transfer will require that responsible parties
discuss and concur on an action plan that addresses the specific
conditions at each EPA-occupied facility, If you have any
questions or would like to discuss this correspondence, please
OA Letter on Management Responsibility for Transferring EPA Real Property
F-2

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EDDP Guidelines
December 2000
contact Howard Wilson (SHEHD)
CMHSDl at 202/260-2160.
cc: Rich I*mlay
Butch Kalian
Jttlims c. JiiMno
Howard Wilson
Ann K. Lianertf:
Hatluuaial Lewis
SUWt Xanag«rs
Facility lasers
bees a*	ril*
*	taadug WU
mmsam	jrii»
mom-Mllm
Official Vila
32 941 le 14 /15/ «t: gifolieff,€oc
at 202/260-1646 or Butch Kalian
OA Letter on Management Responsibility for Transferring EPA Real Property
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Appendix G
Qualifications for Environmental Due
Diligence Process Personnel and Managers

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EDDP Guidelines
December 2000
Appendix G
Qualifications for Environmental Due
Diligence Process Personnel and Managers
INTRODUCTION
The Environmental Protection Agency (EPA) is responsible for ensuring personnel and
managers are adequately trained and qualified to oversee, perform, or manage the environmental
due diligence process (EDDP). EPA must ensure that only qualified contractors perform EDDP
activities. In addition, EPA's OA must select an EDDP Project Manager to manage Phase I
EDDP activities. The discussions in this appendix assume that due to their primary roles and
responsibilities and to the specific and technical nature of activities, the facility manager and
Safety, Health and Environmental Management Program (SHEMP) manager will not be
designated as the EDDP Project Manager or provide direct oversight of the project. However, it
is expected that they will play a supporting role during the entire EDDP. Specific criteria for
personnel involved in the EDDP are discussed below.
EDDP PROJECT MANAGER
Personnel performing as the EDDP Project Manager should have either:
Performed as a SHEMP manager for five years and have a good understanding of the
Guidelines for Acquiring and Transferring EPA Real Property and Complying with the
Community Environmental Response Facilitation Act (CERFA)\ and/or
A degree in a scientific discipline relevant to the EDDP (e.g., environmental engineering,
environmental science, geology, chemistry, biology, forestry) and have a good understanding
of the Guidelines for Acquiring and Transferring EPA Real Property and Complying with
the Community Environmental Response Facilitation Act (CERFA); and/or
Provided oversight for at least three Phase I EDDPs, environmental due diligence audits
(EDDAs), Resource Conservation and Recovery Act (RCRA) or base closures; or
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
remedial investigations/actions.
PHASE I EDDP REVIEW TEAM
Internal or contract personnel performing Phase I site inspections should have at least 12 hours
of training in Phase I site assessments or environmental due diligence audits and have both:
Conducted or participated in at least five EDDPs, environmental due diligence audits
(EDDAs), or any combination of these; and
Qualifications for EDDP Personnel and Managers
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EDDP Guidelines
December 2000
A degree in a scientific discipline relevant to the EDDP (e.g., environmental science,
geology, chemistry, biology, forestry).
Unless there is a comparable internal training program, out-of-agency training is acceptable.
Training must include instructions on visual site inspections, record searches, and site owner and
personnel interviews.
PHASE I EDDP REVIEWER
Personnel assigned to review Phase I EDDP activities or reports must have similar qualifications
as those of the EDDP Project Manager. In addition, EDDP Phase I Reviewers must work in
coordination with Facilities Management and Services Division (FMSD) and Safety, Health and
Environmental Management Division (SHEMD) personnel.
PHASE II AND III OVERSIGHT PERSONNEL
Personnel who provide oversight for Phases II or III activities must have at least 16 hours of
training in environmental closures or have conducted, participated in, or reviewed at least five
RCRA or base closures, environmental due diligence audits, CERCLA remedial
investigations/remedial actions, Phase I site assessments or any combination, and also have had
any additional training deemed necessary by FMSD and SHEMD.
Qualifications for EDDP Personnel and Managers
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Appendix H
Phase IEDDP Contractor Specifications

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EDDP Guidelines
December 2000
Appendix H
Phase I Environmental Due
Diligence Process Contractor Specifications
INTRODUCTION
This section contains the minimum specifications that must be met by any contractor selected to
perform Phase I EDDPs for EPA property transfers or closures.
SPECIFICATIONS
General. When selecting a contractor to assist the EPA in performing Phase I EDDPs consider
the following general practices:
Include an explicit scope of work as part of the request for proposals (RFP) and contract
Conduct interviews with the contractors who meet the standard RFP criteria (including the
specific individuals who will be doing the work)
Review standard work product as part of the proposal process
Thoroughly verify all professional references.
Criteria. Use the following specific criteria to evaluate potential Phase I contractors.
(1)	Firm Experience.
i.	Years: Three (total, all activities)
ii.	Subj ect Matter Experti se:
Environmental science and engineering, including the following disciplines:
geology, asbestos management, hazardous materials management, and
hydrogeology. Regulatory expertise is also required.
Two years of experience conducting Phase I site assessments.
Capability to perform Phase II. Requires disciplines such as toxicology,
industrial hygiene, chemistry/ risk assessment, and three years experience in
conducting Phase II site assessments.
(2)	Project Manager Experience.
i.	Years: Five
ii.	Subject Matter Expertise: Environmental Sciences
iii.	Degree: MS or Ph.D.
iv.	Phase I Experience: Two years of experience within the last five years.
Phase I EDDP Contractor Specifications
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EDDP Guidelines
December 2000
(3)	Team Member Experience.
i.	Years: Three
ii.	Subject Matter Expertise: Environmental Sciences
iii.	Degree: MS or BS
iv.	Professional Affiliations: Professional Engineer or Geologist Registration preferred,
but not necessary.
v.	Phase I Experience: Two years of experience, within the last three years.
(4)	Indemnification and Insurance. The contractor must:
i.	Be willing to indemnify the EPA for the result of its professional and other
negligence
ii.	Possess a minimum limitation of liability to $1 million
iii.	Carry limits of errors and omissions insurance of at least $1 million
iv.	Carry limits of general liability insurance of at least $1 million
v.	Carry workers compensation insurance
vi.	Provide certificates of insurance (evidencing coverage) for each of the coverages.
(5)	Conflicts of Interest. Consultants must not have more than 50 percent of their work
coming from developers or real estate leasing groups, the Environmental Protection
Agency, or state.
(6)	Report Quality.
i.	Report experience should show a similar approach to conducting Phase I as outlined
in EPA's guidelines for transferring real property and complying with CERFA.
ii.	Reports should be readable and comprehensible by the lay person.
iii.	Reports should explain all conclusions and explain the relevancy and implication of
findings to the EPA. Regulatory and some legal issues also should be explained.
(7)	Size of the Firm. The contractor must have adequate staff in place to conduct Phase I. It
is anticipated that each Phase I will require 1.5 junior staff and 1 senior/project
management staff during the course of Phase I.
(8)	Client Experience. The contractor shall have at least three years experience conducting
Phase I EDDPs.
(9)	Locations. The contractor must be easily accessible to the EPA group reviewing the
Phase II work assignment.
(10)	Information Protection. The contractor must have a program in place for ensuring the
confidentiality of information provided by the government. Elements shall include
specific standards for labeling information as proprietary and policies for protection of
the information, including disciplinary procedures for employees found infringing upon
the policy. The contract between the EPA and the contractor must provide that the
contractor shall not disclose information obtained from the EPA or related to its
relationship with the EPA to third parties without the express consent of the EPA.
Phase I EDDP Contractor Specifications
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EDDP Guidelines
December 2000
(11)	Cost. Cost shall be reasonable and within the prevailing rates charged by similarly
situated contractors.
(12)	Minority/Woman-Owned Business. The EPA, as well as other federal agencies, are
committed to hiring minority or woman-owned business where all technical
qualifications are met.
Evaluation and Balancing. The following factors shall be considered:
(1)	Primary Criteria.
i.	Firm and individual consultant experience (i.e., education, work)
ii.	Insurance and indemnification
iii.	Report quality
iv.	Conflict of Interest
(2)	Secondary Criteria.
i.	Location
ii.	Size
iii.	Confidentiality and document retention programs
(3)	Additional Criteria to be Considered.
i.	Use of Subcontractors
ii.	Formal quality control programs
iii.	Cost
iv.	Minority/woman-owned business status
Phase I EDDP Contractor Specifications
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Appendix I
Pre-Environmental Due Diligence Process Questionnaire

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EDDP Guidelines
December 2000
Appendix I
Pre-Environmental Due Diligence Process Questionnaire
Answer the following questions to the best of your knowledge. If a question does not apply, or if
you are unsure of the answer, please indicate so in your response. If possible, please identify
which participant responded to the question or set of questions. This will assist in the
verification of suspected contamination during the site inspection, investigation, and interview
process.
1.	List all the personnel involved in the completion of this survey. Include names of any
individuals who have experience in operations at your site. This list of contacts will be
used to arrange interviews during the site inspection and investigation.
2.	Where is the property located (complete address, longitude/latitude, parcel number, or legal
description if available)?
3.	What is the basis for current Environmental Protection Agency (EPA) real property
interests at this location?
4.	Is the site located on or near any waterways, schools, or recreational facilities?
5.	How large is the property (acreage)?
6.	Does the property contain new buildings, improvements, or other modifications since
EPA's occupancy?
7.	How large are the new structures? What are the ages of the buildings? How are they being
used?
8.	Who are the current owners and operators? Identify the main contacts for further inquiries.
9.	What are the current uses of the subject property?
10.	Who were the past owners and operators of the property?
11.	What were the past uses of the property? (To the best of your knowledge)
12.	Is the current owner or operator aware of any present or past underground or aboveground
storage tanks located on or adjacent to the subject property? If yes, can the owner/operator
demonstrate that the tanks have been properly closed, installed, certified or that existing
tanks are not currently leaking? If underground storage tanks (USTs) or aboveground
storage tanks (ASTs) exist, complete the UST questionnaire in Appendix O.
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EDDP Guidelines
December 2000
13.	Is the owner/operator aware of any landfill (public or private) operators on or adjacent to
the subject property? If yes, identify the waste types that were disposed of within the
landfill.
14.	Is the owner/operator aware of any hazardous substances (e.g., polychlorinated biphenyls
(PCBs), asbestos) in any structures, equipment (electrical/mechanical), or on the premises?
Pre-EDDP Questionnaire
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Appendix J
United States Geological Survey Offices

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EDDP Guidelines
December 2000
Appendix J
United States Geological Survey Offices
Anchorage, AK
Anchorage-ESIC
U.S. Geological Survey
4230 University Drive, Rm. 101
Anchorage, AK 99508-4664
Toll Free Number: 1-888-ASK-USGS
(from Alaska only)
Telephone (907) 786-7011
FAX: (907) 786-7050
E-mail: gfdurocher@,usgs.gov
Denver, CO
Denver-ISIC
U.S. Geological Survey
Box 25286, Building 810
Denver Federal Center
Denver, CO 80225
Telephone: (303) 202-4200
FAX: (303)202-4188
E-mail: infoservices@,usga.gov
USGS Information Services
(Map and Book Sales)
Box 25286
Denver, CO 80225
Telephone: (303) 202-4700 or
1-888-ASK-USGS
FAX: (303) 202-4693
USGS Information Services
(Open-File Report Sales)
Box 25286
Denver, CO 80225
Telephone: (303) 202-4700
FAX: (303)202-4188
Menlo Park, CA
Menlo Park-ESIC
U.S. Geological Survey
Building 3, MS 532, Rm. 3128
345 Middlefield Road
Menlo Park, CA 94025-3591
Telephone: (650) 329-4309
FAX: (650)329-5130
TDD: (650) 329-5092
E-mail: wmcesic@usga.gov
Reston, VA
Reston-ESIC
U.S. Geological Survey
507 National Center
Reston, VA 20192
Toll Free Number: 1-888-ASK-USGS
Telephone: (703) 648-5953
FAX: (703) 648-5548
TDD: (703)648-4119
E-mail: esicmail@usga.gov
Rolla, MO
Rolla-ESIC
U.S. Geological Survey
1400 Independence Road, MS 231
Rolla, MO 65401-2602
Telephone: (573) 308-3500
FAX: (573) 308-3615
E-mail: momcesic@usga.gov
USGS Offices
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December 2000
Sioux Falls, SD
Washington, DC
Sioux Falls-ESIC
Washington DC-ESIC
U.S. Geological Survey
U.S. Geological Survey
EROS Data Center
U.S. Department of the Interior
1849 C Street, NW, Rm. 2650
Washington, DC 20240
Telephone: (202) 208-4047
E-mail: ask@usgs.gov
Sioux Falls, SD 57198-0001
Telephone: (605) 594-6151
FAX: (605) 594-6589
TDD: (605) 594-6933
E-mail: custserv@edcmail.cr.usgs.gov
Spokane, WA
Spokane-ESIC
U.S. Geological Survey
U.S. Post Office Building, Rm. 135
904 West Riverside Avenue
Spokane, WA 99201
Telephone: (509) 353-2524
FAX: (509) 368-3130
TDD: (509) 368-3133
E-mail: esnfic@usgs.gov
USGS Offices	J-2

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Appendix K
Nuclear Regulatory Commission Regional Offices

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EDDP Guidelines
December 2000
Appendix K
Nuclear Regulatory Commission Regional Offices
Region IV
Region
Region I
Region
Regional Office	Field Office	Headquarters
~ 30 Agreement States I I 20 Non-AgreementStates
(approx. 15,800 licenses)	|	| (approx. 6,000 licenses)
Note: Alaska and Hawaii are included in Region IV, Puerto Rico and Virgin Islands in Region II
Headquarters
US Nuclear Regulatory Commission
One White Flint North
11555 Rockville Pike
Rockville, MD 20852-2738
or
Two White Flint North
11545 Rockville Pike
Rockville, MD 20852-2738
301-415-7000, 1-800-368-5642
Region I
476 Allendale Road
King of Prussia, PA 19406-1415
610-337-5000, 1-800-432-1156
Region II
61 Forsyth Street, SW, Suite 23T85
Atlanta, GA 30303
404-562-4400, 1-800-577-8510
Region III
801 Warrenville Road
Lisle, IL 60532-4351
630-829-9500, 1-800-522-3026
Region IV
611 Ryan Plaza Drive, Suite 400
Arlington, TX 76011-8064
817-860-8100,1-800-952-9577
NRC Regional Offices
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Appendix L
EPA Toxic Substances Control Act Regional Offices

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EDDP Guidelines
December 2000
Appendix L
EPA Toxic Substances Control Act Regional Offices
Region I
Pesticides, Toxics, & Radiation
(617)918-1535
Region II
Pesticides & Toxic Substances
(212) 637-3000
Region III
Air, Radiation, and Toxics Branch
(215) 814-2654
Region IV
Air, Pesticides, and Toxics Management Division
Pesticides and Toxic Substances Branch
(404) 562-9077
Region V
Toxics Program Section
(312)353-2000
Region VI
Toxics Section
(214) 665-6714
Region VII
Toxic Substance Prevention & Planning
(913)551-7020
Region VIII
Toxics Program
(303) 312-6312
Region IX
Toxics Program
(415) 744-1087
Region X
Solid Waste & TSCA Unit
(206)553-1716
EPA TSCA Regional Offices
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Appendix M
EPA Regional Asbestos Coordinator's Offices

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EDDP Guidelines
December 2000
Appendix M
EPA Regional Asbestos Coordinator's Offices
EPA Region I
EPA Region VI
(CT, MA, ME, NH, RI, VT)
(AR, LA, NM, OK, TX)
One Congress Street
1445 Ross Avenue
Suite 110, Mailcode CPT
Dallas, TX 75202-2733
Boston, MA 02114
(214) 665-2295
(617)918-1524


EPA Region VII
EPA Region II
(IA, KA, MO, NE)
(NJ, NY, Puerto Rico, Virgin Islands)
901 N. 5th Street
290 Broadway
Kansas City, KS 66101
21st. Floor
(913)551-7602
New York, NY 10007-1866

(212) 637-4042
EPA Region VIII

(CO, MT, ND, SD, UT, WY)
EPA Region III
999 18th Street
(DE, MD, PA, VA, WV)
Suite 500
3WC32
Denver, CO 80202
1650 Arch Street
(303)312-6204
Philadelphia, PA 19103

(215) 814-2164
EPA Region IX

(AZ, CA, HI, NV,
EPA Region IV
American Samoa, Guam)
(AL, FL, GA, KY, MS, NC, SC, TN)
75 Hawthorne Street
61 Forsyth Street, SW
San Francisco, CA 94105
Atlanta, GA 30303
(415)744-1122
(404) 562-8977


EPA Region X
EPA Region V
(AK, ID, OR, WA)
(TL, IN, MI, MN, OH, WI)
1200 6th Avenue
77 West Jackson Boulevard
Seattle, WA98101
Chicago, IL 60604
(206)553-1757
(312)886-6003

EPA Regional Asbestos Coordinator's Offices
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Appendix N
Site Survey and Investigation Guidelines

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EDDP Guidelines
December 2000
Appendix N
Site Survey and Investigation Guidelines
The guidelines below can be used in performing a site investigation during Phase I of the
environmental due diligence process (EDDP). Answers to the questions can be helpful in
identifying potential environmental issues that should be addressed before transferring real
property
General Information
1.	Is the property located in an area designated as a wetland, wilderness, or historical area?
2.	Are any rivers, streams, springs, lakes, or ponds located near or on the property?
3.	What are the zoning requirements or intended future use for the property?
Adjacent Property
4.	What are the zoning requirements or intended future use for adjacent properties?
5.	Who are the adjacent property owners? What activities take place at all adjacent properties
(e.g., commercial tenants handling hazardous waste, military or industrial research,
machinery repair, landscaping, mining/quarrying, oil/gas extraction, manufacturing,
agriculture)?
6.	Who are the adjacent property main contacts for further inquiries and coordination?
7.	Is the current owner/operator aware of any present or past underground or aboveground
storage tanks being located adjacent to the subject property? If yes, can the owner/operator
demonstrate that the tanks have been properly closed, installed, certified or that existing
tanks are not currently leaking? If underground storage tanks (USTs) or aboveground
storage tanks (ASTs) exist complete UST questionnaire in Appendix O.
Records and Documents
8.	Is (or has been) the subject property on the National Priorities List (NPL) of Superfund sites?
The Comprehensive Environmental Response, Compensation, and Liability Act Information
System (CERCLIS) reports can be obtained from the Resource Conservation and Recovery
Act (RCRA)/SuperfundIndustry Assistance Hotline (800-424-9810), the CERCLIS Helpline
(202-260-0056), the EPA Regional Office, or from the state environmental agency.
9.	Have or are nearby properties (within two miles of the site) been on the NPL?
Site Survey and Investigation Guidelines
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EDDP Guidelines
December 2000
10.	Have there been any fuel leaks in the area? The State Environmental Agency Site Lists,
which is similar to CERCLIS, contain information on smaller fuel leak sites.
Permits. Surveys. Violations
11.	Has the facility possessed any environmental permits in the past or present? Indicate Y/N.
	air quality;	hazardous waste treatment, storage or disposal facility;
	public owned treatment works;	sanitary sewer;	USTs
	National Pollutant Discharge Elimination System;	stormwater discharge
12.	Has the facility been cited for permit violations or environmental noncompliances? If yes,
provide a brief description of all violations or noncompliance.
13.	Have soil or groundwater studies been performed on the subject property or adjacent
properties? These reports and test results should be available from the owner/operator of
the properties.
14.	Does the local fire department have record of any violations (impacting human health and the
environment) of the owner/operator facility? Provide a list or brief description.
15.	Has an indoor air quality survey been performed recently? If so, when and what were the
results?
16.	Has a radon survey been performed recently? If so, when and what were the results?
17.	Has a radiological survey been performed recently? If so, when and what were the results?
18.	Has an asbestos inspection or survey been performed at the facility before or during
occupancy? Are reports available documenting the inspection results? Briefly describe the
results or provide the inspection report. The report can be obtainedfrom the owner or
operator of the facility.
19.	Has an UST survey been performed by a qualified engineer? If so, when and what were the
results?
20.	Were aerial photographs taken prior to EPA occupying the property? The United States
Geological Survey (USGS) in Reston, Virginia, maintains aerial photographs of the United
States.
21.	Has a lead-based paint survey been performed recently? If so, when and what were the
results?
22.	Has a RCRA facility assessment or investigation been performed in the past or present?
Provide a brief description.
Site Survey and Investigation Guidelines
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December 2000
Hazardous Materials Usage/Releases
23.	Are any automotive or industrial batteries or paints handled or used in large volumes greater
than five gallons?
24.	Are any industrial drums (15-55 gallons) used, handled, or stored at the facility? If so
approximately how many?
25.	Was the site ever used for or by commercial tenants handling hazardous waste, military or
industrial research, machinery repair, landscaping, mining/quarrying, oil/gas extraction,
manufacturing, or agriculture?
26.	Are hazardous substances disposed of on-site, injected into groundwater, or discharged into
drains, septic systems, ponds, or lagoons?
27.	Are there any ponds or collection pits on-site? If yes, what do they contain?
28.	Are the signs of stressed vegetation (browned, burned out) or stained soil?
29.	Are any leaks, spills, or stains present on the property or in any buildings?
30.	What hazardous materials are or have been used, treated, or otherwise handled on-site? This
information can be obtainedfrom material safety data sheets (MSDS) or from the local fire
department.
31.	Has there been any history of hazardous or municipal solid waste disposal on-site?
32.	Have there been on-site or off-site releases?
33.	Are there any drinking water or groundwater monitoring wells on-site?
Storage Tanks
34.	Have or are wells, dry wells, or septic tanks operating? Are there any abandoned wells or
septic tanks?
35.	Are any underground storage tanks on the property, close proximity to EPA's facility, or on
the adjacent property? If yes, complete the UST questionnaire in Appendix O.
36.	Are any aboveground storage tanks on or near the property? If so, describe the construction,
age, capacity, and contents of the tank(s).
37.	Is there staining around any of the storage tanks?
38.	Does the AST have secondary containment?
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December 2000
Polvchlorinated Biphenvl fPCB) Transformers
39.	Are any of the following transformers on-site? Indicate Y or N. 	electrical transformer;
	electrical capacitors;	hydraulic systems;	waste oil tank; 	other (specify)
40.	Has or is any of the equipment leaking or damaged? If leaks or damages have occurred in
the past, provide a brief description of the incident and actions taken.
Asbestos
41.	When was each building on-site constructed? Note any construction prior to 1987 that may
contain asbestos.
Pesticides
42.	Are or were pesticides used, stored, or manufactured at the site?
43.	Has there ever been a spill of pesticides at the site?
Radioactive Materials and Waste
44.	Are or were radioactive materials used, stored, or manufactured at the site? Is a Nuclear
Regulatory Commission (NRC) license available for review?
45.	Has there ever been a radioactive materials release or violation at the site?
46.	What engineering controls for radioactive materials are or have been used?
47.	Is or has a liquid radioactive waste storage and treatment system been operated at the
facility?
48.	Is or has liquid radiological waste been discharged to the sanitary sewers?
49.	Were or are radiological materials used, or stored in rooms, areas or work surfaces
constructed of porous materials, tile floors, concrete, or other surfaces with cracks, crevices,
and seams?
Laboratory Operations, Analysis, and Experiments
50.	Are or have experiments been conducted in the soils, groundwater, man-made streams, or
sediments at the site? Provide a brief description of each experiment.
51.	What laboratory bench or pilot-scale operations or experiments have been or are conducted
that involve engineering systems or equipment exposure to hazardous materials? Provide a
description of each.
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52.	What treatment systems have been or are in operation including, but not limited to, waste
water, water, incinerators, solvent recovery/recycling, elementary neutralization, sanitary?
53.	Are or have laboratory activities been conducted in temporary structures or mobile trailers?
Provide a description of the structure and associated activities.
54.	Are EPA-owned mobile equipment or temporary structures on site that may require removal,
decommissioning, shutdown, or decontamination because of exposure to hazardous or
radiological materials? Provide a list and brief description.
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Appendix O
Underground Storage Tank and
Aboveground Storage Tank Questionnaire

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Appendix O
Underground Storage Tank and
Aboveground Storage Tank Questionnaire
This questionnaire can be used to obtain important information on underground storage tanks
(USTs) and aboveground storage tanks (ASTs) on real property slated for transfer.
Owner and Operator Determination - If there is more than one UST at the facility complete the
attached matrix to answer questions 1 and 2.
1. Who is the owner of the UST(s)? 	
2. Who is the operator of the UST(s)? Operator means any person in control of, or having
responsibility for, the daily operation of the UST system. Provide the individual's name,
organization, and/or relationship to owner. 	
3. Who submits the required notifications and reports (e.g., certification of installation,
corrective action plans, release reports) to the implementing agency? See 40 CFR
§§280.22 and 280.34 for notifications and reports. 	
4. Who maintains the documentation generated from UST notification and reporting
activities? Where are they kept? 	
5. Who oversees and tracks product delivery and inventory control? Provide the individual's
name, organization, and/or relationship to owner. See 40 CFR §§280.40 and 280.43. 	
6. Who performs operation and maintenance of the UST equipment and systems? Provide the
individual's name, organization, and/or relationship to owner. 	
UST Profile - If there is more than one UST at the facility complete the attached matrix to
answer questions 7-13.
7.	How many USTs are at the facility?	 What is the UST capacity in gallons?	
8.	What is the tank constructed of? What is the piping system constructed of?
Indicate "T" for tank and "P" for piping.
	steel with cathodic protection
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	fiberglass
	fiberglass-reinforced plastic
	steel-fiberglass-reinforced-plastic composite
	other metal
	steel w/o protection
	steel with corrosion protection
	vaulted steel
	unknown
	other	
9.	What product is stored in the UST? 	
10.	Has the tank been upgraded to meet current standards? 	Yes 	No
11.	What method(s) have been used to detect product releases?
Indicate "T" for tank and "P" for piping.
	Inventory control process
	Vapor monitoring
	Manual or automatic tank gauging
	Groundwater monitoring
	Tank tightness testing
	Interstitial monitoring
	Other approved method
12.	Is the tank used for storing heating oil for consumptive use on the premises where stored?
Yes No
13.	What equipment (e.g., emergency power generators) does the UST serve? 	
14.	Where are the tanks located relative to one another? Please attach site maps, facility
layouts or provide descriptions relative to facility buildings. 	
15. Are the USTs in close proximity to water retention ponds, surface impoundments, sewer
and utility lines, storm/waste water lines, surface water, or stormwater drains?
	Yes 	No If yes, please describe. 	
UST History
17. Has there been a release associated with this tank? 	Yes 	No
Who is responsible for release detection records and where are they maintained?
18. Has an investigation or corrective action been taken for this tank?	Yes 	No
Identify the specific corrective action taken.
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	Passive remediation (e.g., vapor recovery)
	Soil removal
	Inert fill material
	Other 	
19.	Is this a replacement tank? 	Yes 	No
20.	Have UST closure activities been performed in the past on these or other tanks at this
facility? 	Yes 	No
Groundwater Monitoring
21.	Are groundwater monitoring wells in place? 	Yes 	No
When and where were they installed? 	
22. Are monitoring well data, results, and reports available for the last two years?
Yes	No
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Multiple USTs Matrix To Answer Questions 1, 2, 7-13
Tank ID
# 1 and #2
Owner/
Operator
#1
Capacity
#8
Tank
Material1
#8
Piping
Material1
#9
Product
Stored
#10
UST Upgraded
(Y/N)
#11
Release Detection
Method 2
#12
Stores
Heating
Oil (Y/N)
#13
Equipment
Served


















































1	Choose from the following: steel with cathodic protection (scp); fiberglass (f); fiberglass-reinforced plastic (frp); steel-fiberglass-reinforced-plastic composite
(sfrpc); other metal; steel w/o protection (sw/op); steel with corrosion protection (sw/cp); vaulted steel (vs)
2	Choose from the following: inventory control process; vapor monitoring; manual or automatic tank gauging; groundwater monitoring; tank tightness testing;
interstitial monitoring; other approved method
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Appendix P
Phase II and III Environmental Due Diligence
Process Contractor Procurement Specifications

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Appendix P
Phase II and III Environmental Due Diligence
Process Contractor Procurement Specifications
The following specifies qualifications for a Phase II environmental due diligence process
(EDDP) contractor. The language is extracted from Federal Aviation Administration (FAA)
Order 1050.19, Environmental Due Diligence Audits in the Conduct of FAA Real Property
Transactions.
a. General. Phase II EDDPs are
considerably site-specific. Therefore, it is
impracticable to prepare specific, minimum
contractor specifications for the conduct of
these activities. However, like the
procurement approach for Phase I EDDPs,
when selecting a contractor to assist the
EPA in performing Phase II EDDPs, the
Agency shall consider the following general
requirements:
An explicit scope of work shall be
included as part of the request for
proposals (RFP) and contract.
Interviews shall be conducted with the
contractors who meet the standard RFP
criteria (including the specific
individuals who will be doing the work).
A recent work product on a related
activity shall be reviewed as part of the
proposal process.
(1)	Firm Experience.
i.	Years: 10 (total, all activities)
ii.	Subject Matter Expertise:
•	Environmental science and
engineering including, but not
limited to, the following
disciplines: hazardous site
remediation, toxicology, risk
assessment, chemistry, geology,
hydrogeology, asbestos,
hazardous materials
management, and industrial
hygiene. Regulatory expertise
also shall be required.
•	Five years of experience in
conducting Phase II EDDPs or
related activities.
(2)	Project Manager Experience.
All professional references shall be
thoroughly verified.
b. Criteria. As stated above, the site-
specific nature of the Phase II EDDP
precludes the issuance of detailed
procurement specifications. The following
general criteria shall be used when
evaluating the potential Phase II EDDP
contractors.
i.	Years (10)
ii.	Subject Matter Expertise:
Environmental Sciences
iii.	Degree: M.S. or Ph.D.
iv.	Professional Affiliations:
Professional Engineer's or Geologist's
Registration
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v. Phase II Experience: two years of
experience within the last three years.
(4)	Indemnification, Insurance and
Bonding. Insurance and bonding are highly
dependent upon the nature and scope of the
work to be performed. It is therefore not
practical to provide specific levels of
coverage. Generally, the contractor shall:
• Be willing to indemnify the EPA for the
results of its professional and other
negligence
Possess adequate bonding, including bid
bonding, performance bonding, and
payment bonding
Carry limits of errors and omissions
insurance
Carry limits of general liability
insurance
Carry workers compensation insurance
Provide certificates of insurance
(evidencing coverage) for each of the
coverages.
(5)	Conflicts of Interest. Consultants
shall not have greater than 50 percent of
their work coming from developers or real
estate leasing group, the Environmental
Protection Agency, or State environmental
agencies.
(6)	Report Quality.
i.	Report experience should show a
similar approach to conducting Phase II
EDDPs as outlined in EPA's EDDP
Guidelines.
ii.	Reports should be readable and
comprehensible by the lay person.
iii. Reports should explain all
conclusions and explain the relevancy
and implication of findings to the EPA.
Regulatory and some legal issues also
should be explained.
(7)	Size of the Firm. The contractor
shall have demonstrated capabilities to
adequately staff and conduct two Phase II
EDDPs concurrently for EPA.
(8)	Client Experience. The contractor
shall have some experience in working with
Federal agencies, although it does not need
to be 100 percent of their experience.
(9)	Location. While the primary
contractor shall be easily accessible to EPA
Headquarters, to minimize costs, the
contractor shall also have staff in the areas
likely to be the location of Phase II
activities.
(10)	Information Protection. The
contractor shall have in place a program for
ensuring the confidentiality of information
provided by the Government. Elements
shall include specific standards for labeling
information as proprietary and policies for
protection of the information, including
disciplinary procedures for employees found
infringing upon the policy. The contract
between the EPA and the contractor must
provide that the contractor shall not disclose
information obtained from the EPA or
related to its relationship with the EPA to
third parties without the express consent of
the EPA.
(11)	Cost. Cost shall be reasonable and
within the prevailing rates charged by
similarly situated contractors.
(12)	Minority/Woman-Owned
Business. The EPA, as well as other
Federal agencies, are committed to hiring
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minority or woman-owned businesses,
where all technical qualifications are met.
c. Evaluation and Balancing. The
following factors shall be considered:
(1) Primary Criteria.
i.	Firm and individual consultant
experience (years)
ii.	Firm and individual consultant
expertise (education, work experience)
iii.	Insurance and indemnification
iv.	Report quality
v.	Use and quality of subcontractors
vi.	Conflict of interest
(2)	Secondary Criteria.
i.	Location
ii.	Size
iii.	Confidentiality and document
retention programs.
(3)	Additional Criteria to be
Considered.
i.	Formal quality control programs
ii.	Cost
iii.	Minority/woman-owned business
status.
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