FILE UNtTED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, O S . 20460 9375.0-C'

M4Y .0 1389 - r ;rrct :< ­

sauo ~ N L S - EA V O ~ M P C ~ W .a.i ) &iE!!LANDUM-SUBJEm: Interim Final Guidance011 Reparadon of SuperfundMernotanda of

Agreement (SMOAs) ,

FROM: Heny L.Longest II. Director 2V-eOffice ofEmcryncy ud RnnedialRetponte v

rn Dimx-r. WasteMmaganent Division Regioas I. IV.V. W. and VIII

Dm,EmaecncyudRcmedialRerpaueDivisionRegion LI

D k m , H;rsarQu,W w e Management Division Regions IIL and VI

Dirstor.Toric MdWaste Managmnt Di& Region Ix

Direcar. HazardousWasu Division. Region X

Anached is InterimFwlGuidance00 Rrpmtion of Superfund Mcmorydeof Agrrment(SMOAs). The Office ofEmagency .ndRancdial Response (OERR)and thc Offce of Waste R0gmm.s Enfdmrat (OWPE) issued a draft of this guidrnce on October 23. 1987. The draft guidance was rrvised in September. 1988. The rrvired draft guidanceadopted a lest k content of a SMeowtbanmeurlicrdraftgui~,MdcMyindicaIcdth;lttht

A may kpdrpred tohe medr ofa PprdFUlrr SPDCand the rrspctivt EPA Region. It also explained thuEPA and fly Spler may (udinarmin situations. must) w SMOAs to ttsofd(IC establish genaJ p r o m CoadiWiOnpmcsdurrr SMOAs should not be aaached to rite-specific Q non-su-spccif~cfunding d e r mechanisms. The I n t e r n FinalGuidance hr iacarpaartdthc commcnftreceived from the m i e w c n on the revised dnfipudure.

The S M M ira rrrutlofEPA'r continuing effon to imprwc dKquality of communicanon withSptamdwcoaQaof thcSupafundRo~ SMOAsmclprrntlynotmquiredUnderCithStk Eavimnmnral Response. 'on,and Lhbiliry Act of 1980 by the Superfund Amend%Reauthorization Act of 1986 (SARA). or under the N d n a l Oil and HirYdous Substances Pollution Contingency Plan (Ne). 'Ihey will no1be mquircd undcr thep"p"d NcPStates wish to rrmnnrrnd the d y orm be the led ,apency Q nonfund-financed when activities 3t NPL sim. Conxquendy. rhe guidinc - 'dwsnot describe S!~pcrfundopcmtingprocedures but tather suggests w h a SMOA might conrain yd how it might be organized.

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undcnwding between EPA and a State of-h party's roles and responsibilities duringCERCLA ksponse activities. It amy kneceSSary tob l these roles and responsibilitiesin the SMOA i f a State has nok been F y involvedin mncdialresponseactiviaesprior to ' .

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Positive changes in Stare sophisti& and responsecapabiliacs arc desirable developnwnt* ud ~ S M O A-' N m y be nc+ssary for States whose, . ':

propnumd apablkaes uc evolving rapidly Fquen t comunicadon is especially -5.

I. . - critical unda C i r c ~ c c s .For States akady heavily involved in the EPNStateparmarkip e=CIA, the body of the SMOA may q u i r e significant revisions only ' '

when necesnmted by changes in Sue or Federal laws or cegulations. or when+dcsircdby , i; the pzrsiCs. .

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EPA and.States should & n e cprefully.how SMOAs and non-sire-specific CPCAs maywodc together as pan of an ovaallunocgy to imprwc canmunicption and responsecapabilities. A SMOA is optional accept in thorcM mentioned W e . and is not a condition of eligibility for a i p t of bR o p m funding. Funding for SMOA development is an 'kllowableexpnditure under I,=.howwa. and Scates may requestCPCA monies kfmC0-g SMOA dirusd~nr.

The.SMOA and the CPCA me independent Qcumcnu. +CPCA is a legally bikjingssiswce agrcement.chatprovides funding for non-site-specifii Superfund supponactivities. The purpose and of theCPCA is noc cocaminous with the SMOA. If there agrcemna between7rA and a Stareduring SMOA discussions ciclaang to the functional casks funded in the CPCA. which EPA desires 10 mrlrc binding. rhcK pinsh Y -in CPCA npciukm.skpa& from any SMOA agreement. . .

If EPA and a Sme agree f i g SMOA developmentthat the Sum rb.ube responsible for ccnain non-site-specific accivitier orasks, ud if such casks M tobe funded thruugh a CPCA. EPA may q u a t chat theSare includethcze.caivi& in the watr pIanto be submiaed in its application f a Bclr funds.

For example. the State O f f a of Artorney General (AG) maycnacal m a parricular Statelcad agency's involvement in ovF legal suppon

CERCLA implemenranon.The potenad level of involwmcnt of the Statc lead agency Of the AG to pro~l&e d q ~md rimtly gaarf n~n-dte-wa~ program. EPA and the SBD Mrgury may- todelincatt in extent of AG imlvcmmt in the S w ' s avQJiSuprfund program. Toensure that the AG has sufficientcapacirY to pmvidc ukqurte suppmtorheSote leadycncy. EPA oc the Slate may suggest that those nw-sitc-spccitk psbtobe prfomrd by the AG. as explsined in thcSMOA. kincluded in the l e d agency's CPCAwork plan.

In the CPCA work plan, tbc Sutckad agency m is1identify the panicuhr non-sitespecificcasksthcAG will paf- ud it must indicate the dollar amounts requested for those casks. An CPcA fuDding subscqucntly iwudcd to the Starc lead agency for thew tasks

drmugb"by theSBD kad agency to the AG. Site-specific funding formY then "-AG acfivi6amprt be iacludcdin. and charged against, a rparau Cooperanvc Agmment(CA)mgoripsdf a 1pamcuhr*.

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&ti&, ( T R U . as amended that'EPA will provide "for subswdd and' I

1 d w i n v o k u m t by each Staa in hiriadoh development. and KIection ofh o w DD bc ODdaPkcn in IhuState" (Section 121(0). The SMOA facilitates greater in~&­

I Slate ~ffms. Stata in rrmcdidhvities, and hdpS to avoid duplicationof EPA and

%PA must k d n thalrhc quality and consistency of cleaciup efforts are,,

I achieved mdmrinlained

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responsibilitiesthan its resources OT arperdsc twill dlow Q when EPA ovmight is greaterthan neccssay. .Thesecondary purpose of the p C e S s is to assist a Smte in identifying

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aspects of i o proe~mwhich "y quire & l d i W , r r r o ~. I rcf ex-& if the State ! wishes 10 assume a patslevel of responsibility for rcmdatim odsiles within its

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In addin% to luurrdng lead agency &us fm.DtRMSand RD/RA. a State must have aiI SMOA in place to recommend a d y faEPA conmm.Through the SMOA. EPA and a State can agree on theirrespective ioles regarding the major poino of programI , . management and in--. and may atiblish aimprove an ongoing communication ,

process. In udl ing the program mrlysis process on an annual baris. EPA and a State i may agra on the o p W . l e v d of inyolvqmt by a Stnrc. and on whether the State weks ori !

dcsirrs that level of involvannr

I Commeno on the ReviredDraft were d v e d from three Regions. While somc reviewersI suggescai clarifications and &g changer. the major them of thc comments was

I concan regardingimplanenotion of the CQICCP. 'IhLconcept is explained in the Rcamble to the RopoJed N e . the Interim FinalGuidance incaporatesthe concept in a manner consistent with the Roposed NCP. The following mmmcno arc representativeofconcerns cxpmscd by EPA Regions.

'*...why not say thtSmta m not given the blanket "ok"to selox the remedy but can. on. i a site-spmf% basis, be dai- under a coopcntivc a p a n c n t to have lhirole?"

We agra, lad arc haw lrhdro indiatc throughourtheguidance that lead designations mun be a& upon by EPA md the Stafc on a sia-specificbasis aspart of the annual planning 'proccu. The SMOA repsenrs agmemnt ktwecn EPA and a Stateregarding their responsibilitieswhen in l e d and supportagency roles, and thcu d n a d o n pruccdurcs.usually independent of site-spslfc lead designations. Iridced. the general tnms in a SMOA may be altera! in a sitc-spcnfc'Coo.eraave Agmmcnt if necessary. An attachment to the SMOA may document lead designations. to be updated annually.

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Funhermo~.the fol!o\nng language hmthe Ramble to the RopoJcd NCP e x p l u s that States are not provldcd the “blanketok”DD select d e s at NF’L sites:

Undcr thir r p d h (concltmnac). a State can recommend a r a n d y for EPA cmcwrmcc and adopaon only when a SMOA is cspblishcd. %ugh the annualpluming pmccsr EPA and rhc Srates willdesignate at which State­:ddsiou dre F t y e w i l l - :?heROD r EPA q n c m c e and adoption.

EPA intends to implemtnt Sel&x!y the ploass of Sutc prrp.rUimof RODSfar EPA concumnce and adoption af Sutc-leadFund-financed sites,since this prccess is not n s c c d y applicable 10 rll States, nor f a all sites within a State. Sites will be rclsted whac the CircUMunccs at the pardcular . site wanant less EPA lnvolvrment and the Sutc has danonsrrvcd its capabilhy DD conduct ~mcdirlrrsponr lcrionr in an effecdve and responsible manner. (Rcamblc. Subpm F. A. #9) ..

(2) ihalmuu: “EPAshould remn an a - p r o d role over selectionof r e a d y r e g a d h of whether it has a lead or suppon role.”

We agree. However. a distincrionmust be made in thisregardkowctn nan-Fund-fqmcedState-lead enforcement sitesud F u n d - f i n d S ~ t e - b dsites. EPA and a Statemay agree that c a n si- will be &signad non-Fund-finamd Sutc-kad enfonxment

~. acaons. At such sites. a Statem y wthout EPA concumw, thou@ concumncc is advisable as E? inducement to Pe‘to cenle with the Smrc. toavoid thc needfor addincnaiactions,toexpedite b e dclccion pmcess. etc.

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The following language from theRoposcd NCP demonsums the need f a EPA approvalof States’recommended reda for Fund-financed sites: . .

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Unless EPA concurs in UlriM with a Stnte-prcparcd ROD, EPA shall KH k deemed 10 haw approved the i! mtc&cisim. A SPDCm y MIproceed witha Fund-financed response action unlarEPA has tim collctmcdin and .dopedthe ROD. [(300.51S(e)(Z)(ii)]

Thus EPA doesretain an .ppiwJrole whm it is actingassupponapcncy PndFuiaaI . . funds ut king used.

WebelicvebuttbtInmimKNIGuidameis consistentwith theNCP in this regard. For example. maeCrniagrcView ud ovasight of responsepcoc+ts delivuables. Pan 300.%5(8) (3) of thc NCP uucs the following:

The SMOA may describe p n d rsquircments far EPA d g h r Ovmightrcquirrnrnomay k morr m d y defined in coopartive ~grranenn.

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Funhcmnne.in Pan 300.5OS(aX4Xi):

Thc SMOA may dcsuibc the g e n d namof lead and suppan agencyin- re-g "hEVICW of Ly documem and/ordccicin points in

" pre-rrmedi.lrrmedirl.andenforamcnt , 'IhcrrquinmmtsforEPA uul Sutcreview of each orhds k e y z n t s when each is vrving as the appar agency shall k equivalent 10theextent practicable.

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\ Attachnvnt 1 of the Guidance simply &a ample famw f a support agency review of delivaables. EPA Regions and Swes may agm to thek own base renew levels and am-frames asappqniae.

.. I(3) Connncnt.. "Enforcementlanguage (in the Guidmce) shouldspecify that Smes may kdesignatedenforcement lead roles if EPA dctaminadut thcy have sufficient autharities."

L?h&iaL I, . .The Intairn Fmd Guidanceindicates that EPA and a State must agree on theirrespecrive

enforcement roles and responsibilities. However.if ncccssary. EPA &s the final de&* With E@ u)fonnrlS i U - S @ k lead SmNS and the MWCof ! h I C k@authoiriZ comprise a sienifiMt element in thisconsideradon. As stated in the Guidance(PA),'This arncle ("Enfarxmcnt")should plto reference State enforcement authoriues and the de- of reciprocitybetween the Stateand EPA"

(4) !hlxDmL . "U.S.EPA cannot delegatc RPM~ p l l l m yauthorities to a S~tePmjec~Muraga.Thmforc. the SMOA should not designate the Statc Rojccr Manager on a State-lead site as the RPM."

First neither SMOAs nor ahaEPA-Spoc

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9375 0-01 . INTERIM FINALG L d A I CE ON PREPARATION OF SUPERFUND MEMORANDA OF AGREEMENT

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EXECUTIVE Interim F d Guidance on Reparalionof Supenund MemorandaofAgree-SUMMARY ment !SMOAs) provides a g t n d framework for SMOAs. while allowing for

. , .~ considerable flexibility in i' "r prrparadon. The SMOA aniclcs.dikuskd

correspond to the major po- sbf EPA/State interaction set' fonh in the pml posed National Oil and Hazardous Substances Pollution Conringcncy Plan (NCP). A SMOA should indicate the respeclive procedures that EPA and the

.State intend to use to a n y out theproposedNCP.

The SMOA is inlended to establish War clarify a working parmcrship between the lead and suppon agencies for hazardous substance responses. as authorircdunder Section 121 (O(1) of the Comprehensive Environmental Responx. Compenspdon. &xi Liability Act. ac'pmcndcd (CERCLA). It should clearly define program rolesdnd responsibilities. The SMOA is not a legally cnforceable.documen&and it cannot aansfer money or authoriiy to either a State or EPA. A SMOA unmalter or circumvent CERCLA statu­tory or regularory requLcmcnts, although the Stw and EPA may agrre. in a SMOA. to fmxhfy ccrrain propojed NCP minimum requirements where the proposed NCP so allows. EPA should agree to mm SMOA discussions if requested by p State. but EPA may not require IS& to negotiate a SMOA. EPA may also dmi SMOAs with FedenUy-recognized "Indian tribes'' [(as defined in CERQA Sec. 101(36)).seeOSWER Dirrcdvc 9375.5-02: "In­

._- terim Finai Guidance on Indian Involvement in the Superfund Program"].

BACKGROUND The SuperfundAmendments and Ruuthoriration Act of 1986(SARA) ex-of hazardous site responsepan& the scope of state involvement in p h w ~

under CERQA. Thisincrrwdemphasis on the EPNSmte parmenhip has highlighted the nced forS t w s and EPA to documcnt theiroperpung and interaction proceduxes in the Superfund program. I ~ ~ ' S M O A concept was developed to enhance communication bcwen EPA and a State. and to clanfy their rrspccrive rolesa d expectanons withregard to the CERCLA rrspowprocess~

PURPOSE OF The purpose of this'guidanceis to assist.the Stam and EPA Regions in devel-GUIDANCE oping S M O k SMOAs arc p n e d l y o p a d and arc not cumntly required

undereither the NCP or C E R M . The following document provides d i y ­tim and guidanceon preparation of a SMOA. tothoK States that choose to

i' draft and sign one. As such, ais guidance does not deea Superfur-? operating procedures. but rauik provides suggestions o n what SMOAs may

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.~ 9375.U-0I contain and how they should k 0ri:aniZe;i.EPA has developed this gu~dince as pan of its effon 10 improve the quality of communication between, F s d e n l ' and State governments. i

A SMOA is a m8nagc.ix.n: tool used to clarify the p n x e s ~ sand,proc:dures neceuary to imp~ementthe Superfund program at bob the Fedenl and State . levels. These procedures am then irnplemented under, or can serve 3s the basis for developing. site.qxcific,< operative agrrcments.(CAsj or Superfund State Connacts &CS). They can i s0 serve as the basis for developing site- . .

spCcifiC'mA/state enforcement agreements at non fund-financed Naliond Priorides List (NPL) sites (e.&, Smte-lead enforcement). The SMOA sha!l not be consuued to restrict in'any way EPA's authority to fulfill irs oversight ,and enforcement responsibilities under CERCLA.as amended. or under the NCP or EPA rrriWnCe rcgulatih. Unlike CAS and SSCs, however. SMOAs an?not legally binding documentsmd may not be used IO provide CERCLA assurancesor to uansfer Supafund monies. Fimhermore. the SMOA miy not be used to alter or ckcumvcnt e C L A statutory rquirements.

. . The signatory pPrdes may review the SMOA at least once a year, during the. annual rrvkwlphning process. It may kmodifiea. in wiring. upon the request of either of parries. All modifications to the SMOA must be mutually agreed upon in writing.

If- wen. the body of a SMOA mi not qriire significant revisions, except when t h e am changes in S a p or Federal laws and regulations. Sor SMOAs cumntly mdqdevclopment may require modest modification aircr the ?u'- is finalized. The prospect of future revisions need not detract from the wnsrmCtive role SMOAs can play in improving the quality of EPA/Stateinttiactioh

The follo'king g u i d ~ ~ ~presents a sample approach thar States and EPA Regions m y usc todevelop State-spccific SMOAs. The SMOA micles presented hae m s p o n d io the major points of EPNStau interaction set fonh in the proporedNCP: The examples, printed in italics rhkughout rhe document. illusmte w of many possible mponses to these micles. The SMOA shouldindicate the respective procedures that EPA and the State inmdtouse in canying out proposed NCP and other CERCLA requiremcrl!, Sptcs and EPA Regions need not replicate this guidance in developing rhcir S M O k The guidma attempts to consider the major issues b d points of EPA/SpP contact involved in iSuperfund program. These topics should hc wnsidacddeg SMOA development and may k included in State-~peci:ii SMOAs.

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ISTRODUflION The inaducac2 to thC'SMOA should,includc the names of the Federal and Stateagencies that are panpto the SMOA.,and should identify the statutory and regulatory.authoritiesunder which rcspor.se activities arc to be conducted

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(e.& Federaland State statu ' 'I and nigulotions). Thisparagraph should also contain a stawn6111emphasikng thlu the SMOA is not a legally enfor&ablc

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STATEMENT OF PURPOSE

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Each SMOA should contain a nattmMt of pupox. ?his statement delineates the respective rolesand responsibilities of each party as they relate to the conduct of the Supcnimd program cleanup at hazardous waste sites in the State. 1

SMOAs may serve many purposes; they M primarily intended to do the following:

Identify theEPAlSote relationship with respect w Superfund pro­gramma& activides in order w CoIIsauct Wor maintam a coopera­tive working dadonship hIkuserves EPA and State interests;

Dcfim the process DD designate the *?:ad agency" and "SUP~OK

agency" and the R d a l Rojcct Manager (RPM) and Suppon Agency Coordinator ( S A 0 for each NPL site (thcx trrmt M defined in SubpanA of the proporedNB);

Define IIICprocffc eo designate sites for which the lead agency will rcqutn &e suppof~agency's commence on the recommended rem­edy:

Identify pr#edurrs for closc coopaanon and communication between EPA and the Stare in planning rrsponx activities (annud planning , proms) sohIthe annual planning process will lead to optimal use of the prrdtr' rtsolltce~.minimizing conflicts and duplication of effon in

colducting site-specific response activities;

Identify thebase level for review and oversight of site-specific techni­tal delivcrabl# rrpons, studies. of other pertinent materials and documcats;

Ourline the genaal pr--cdurer the P q e s will followwhen interacting with Fcdcral facilities; if a panicular Federal facility in the state IS not involved. thisshould k noted.

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! 937510-01 * set the g e n d frpmeworL for the EPNState relationship, so th3t sire-

specific EPA/state communicadon is enhanced; and

Help s m m intcrtction krwcen EPNSulc to foster response ac@videsthat condvcfed in a manna consistent with CERCLA. proposed N e , PndRlpplicableSfate Iaws,and regulations. ., . . _

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AGREEMENT . n e actual agrremcnu identified urd explained in the SMOA,may be smc-CONCERNIIh . ? d - i nseveral diffmnt way% ,Forexample. an explanation of'rhc planning ROLES AND RE- and coofdination process might kwry lengthy. whereas an article discussing SPONSIBILITLES lead agency designation might be dmple and concise. The following subsec­

, Lead State Agency Designation

SiteSpecific Des­ignation of Lead Support Agency

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Remedial Project 1ManagcdSupport Agency Coordina­tor Designations

tions provide ruggertionr on a n e n t for theSMOA uricles. These arc onlyexampla and may kadaptid tomdt your specific needs.

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ThLdele ofthe SMOA identities which S n u agency is the lead State agency for Superfund pgmm rtivirier.u required by Subpan B of the pro-posed NCP. Thc lead State agency will be the S n u rrprrsentativc (Le., the single point of contact with EPA) for all Superfund hatafdous waste site responses. The udcle m y alto identify the other State agencies and parties that may haw a signifiunt role in rrrpoareand with whom the lead State agency may coodinate. Eumplu includetheS n u public health organiza­tion, the State Anomcy GmCral*sbrticc,theFedarl and State Natural Re-source Tn~stas.Section 104 (b)(ZO) of CZRCLA. asamended.

This article of the SMOA erpbliha a timcframc and procedure for dcsignsr­ing site-specific leadud sup- agencies and detaits a process for reviewing and making apaOpriue lud/suppon .pcacy designation changes. The factors ~~nsidaedwhenmrLinga lddaidonan bc Listed.

A sample &le is presented below. , I

Iftk S= appliesfor the lead agency drcignruion. EPA will. after consul­roriOrr with rhr State, make afinol deciswn. Some fonors EPA wdl con­s&? h selecting tk lead agency are:, sr48Fng and current workload. technical cxpcrdcc. coMMing copobiliy.fucalmanapnent. p a t pcrlormMcc and &gal authorities.

Thi d C l e of IheSMOA specifier tin~~fnmc.process. and method Of documenting R P M A C designations pursuant to the proposed NCP.

A sample udcle is provided below.

T k lead agency will designate anRPM and rk support agency w d

I 9375.0-1)i, dCsigMfc an SAC'(ifpcssible),whc-cr a Site is determined IO have a . high poutuial for listing on the NPL. The'agenty identifying,rhepotential for the site's inclusion on the NPL may initiate the RPMISAC designarion p~ocUC.

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Support Agency This article of the SMOA specifics the process for identifying and document­: Concurryice :, ing those sites for which E P Z and the Srate agree to seek suppcn agcnr..

. .coicurrmcc on the 14agt Icy's ~Ocdidof Decision (ROE).:.L.L..~,.&.

concumnce designation should kmade during the annual planning process.

Points of Contact This article of the SMOA specifies the EPAlState internal chain-of-command used in conducting the Supafund propam. . ,

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Overall Program Communicadon, Coordination. and Planning

This sation indicatu for example. that the EPA Branch Chief and Stare SuperfundProgram Manager at responsible for ovcrall program commu­nication, coordinafion.and planning: it also outlines the process to be used This process outlimconains Nflicient detail concerning points of EPAlSute interpcrion. and includespvisions for ensuring that coordina­tion ud communiacion occur smoothly ud expd~tiously.

R e d d Rojen M.nager/Suppon Agency Coordinator Interaction

This xctioa outlines the genaal roles. responsibilities. and organizational authorities (if diffmnt from the iuthorities specified in the proposed NCP) of boch the RPM and the SAC. It speciFics their responsibilities for inm- ud iaur-rpency mordirua'on. a process to k followed to ensure i n f d and frequent camrmaicarion. ud theiradminisuativefiscal tracking rrspOaribilifkscompamd with the responsibilities of other offi­ciais.

Planning, Thisankle of zt.. SMOA s@fiia pmccdures the lead and support agencies Coordination wi l l use to plan and C O O ~ ~ M Uvarious tasks under the Superfund prognm. It ProcasCr MkespciJly uscful tooutline the annual planning and communication

pmmduraforp~coordilution.

AnnurlPlanningRacss

This %ction d i m the pmcedurrs thu the Spte and EPA will follow to conduct annual pgani planning. It lists the documents that will be prepared during annual planning. such as me ledlsuppon agency designa­hons. the Superfund Cmprchmsive Accomplishments Plan (SCAP). site enforcmwnt suaugiedtimcframcs,and any others that may k rppropn­

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9 3 i j . O - ( J I . ate. Sec $e Anachmenk p m o n of.this document for a list of documents .

that EPA and the St& may W. ;h to preparc during G n u d planning. In addition. the section establishes and derribcs. in detail, the pro~cssthat wiC bc used cach,year to develophevise these planning documents. mechanirmr fOr communication of informadon and coordination. and riming.

. _ , .Ongcing Rogram CoodimZion

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This section sets fonh the prgcc.&s that wili be followed to establish and maintain two-way communicition. including the exchange of infokation on p & r a m staNs to ensure ongoing. condnuous program coordination.

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It establishes the & W m thpt the EPA Branch Chief and the State . '

SupafundRogrpm Manager, f& upmple. will use,to&semble assigned staff to~discusssire-specific'dccails. The section also establishes both the method and fqucncy of crchahge of prOgc\m status data '

Sample Kctiont are p ~ d dbelow.

.TheState and EPA intend that ongoing Supetfund program communi­cation k accomplished in accordoncc wth thefollowing procedures.

I - EPA and Stare prog rm representatives intend to mer [igya&io inform each other OJ

ongoing andfnnue activities and w discus and planfor m u w l goals

2 - EPA and Sate program represenmives intend w engage in tele­phone codemnce calls whenever either party decides i k r e is ik need for such a e&. These c&~wiU pmi& opportunities w discuss ongoing and upcoming activities, 10 &cover and resolve problem b e m e n the ~wgponirs. and w maintain nuo-cwy commwucation.

The S w and EPA recognize and agree upon the needfor a simple. @em've systemfor COmplhg at$ nwintaining Supeqid program S t M U &a.

Thepanics agree to exchange Supetfund program staxus daia byl lJ af lean on a fw �tuucndh i s .

Theparties will work w @ e r w i d e e problem and io recommrnr S O h b l U 10 the daU U C h g e vS1- 0s NCCSSOry.

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9:;5.0-rJi Non-Site-Specific D o c w n u. ,

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This section itemizes the non-site-specific documents. such as guidance and p o k y documnu. thsrmust be nansfe- between EPA and $e S r x e and it identifies the EPA and.Stntestaff positions responsible for this exchange. . .

,An example is provided below. '; F ' , .

... Th.tEPAi- ' . #"Ls responsiblefor providing the Stale (u-. . . . . with copies of all non-site-specific EPA guidance. policy., regulodonr, and laws ilvuare rekvant 10 Superfwrd activities.

The SIOK ' is r e s ~ m i b l efor providing the EPA [&. . with copies of oll non-site-specific State guidance. policy.

regulations, and laws that arcrekvant to Superfund activities. . ,

I 0 CommunityRelrti~nsmd T~chnici , . G h t ~,Astis*um~e

This section of the SMOA specifies the gened principles and procedures the State and EPA will follow in conducting community relations'acdvi­

i des and soliciting public pmicipatioh Tlih section m y also specify the d e s and mspondbilititr of the panics adminiincringTechnical Assisrqnce Granu

E m p l t r BZC provided .below:.

I - : N k r o w government agencies and groups, including county. ciry, and local ahor i t is ,Mected citizens. nearby property owners. e n v i r o ~ n t a lgroups, and the media,nust be infonned and given mcMingfyl OpponuitiesIO panic-' in the decision-making processhving the site investigation and cleanup.

While recognizing tlvu Fedrral interem and Slate interests will not.ohvovrbr i&+bl, EPA and the Suuc agree not 10 einphasizc or .

MShught their disagreenunu &ng comminiry relm.ons activities.

2 - ?he prepamtionofpress releases and cotUac& with the media ilw norm0Uy mponsibilit+r of the lead agency. I t is the responsibilir?.a .I the lead agency*sRPM to ~ t i hthe support age& concerning Coni­nuvjrY relodons activities. To the extent possible;apres release shwld'bescheduled in advance and i sskd jointly: The suppon agency will be asked to c&nentpr io r IO release. and copies of the f i nd &um?N will be provided. Press relceccs wil l acknowkdge l'w

i t ' . . the , .. suppon agency's role w+hycr:appropriolc~ O c c ~ w n o l l y . .. ... . . ..

suppon agency maj need to iss+ a press release. in rhesc cues. I I I c '

_ . . .

. . , .

Enforcement

.removal action. . timing fOr the consultation period,and the.manncr in ' ' .

which the State will renew and provide its comments; The'section also includes a provisionfor determining sieuaaons,(i.c..emergencies) in which

, I post-Raooval SitcConuol . . I .

EPA will obtain the State'scomminmnt topost-removal site contfol before tbe removrlaction~'whcnevapractiblc. Howcva. the procedure

'should ksuucnmd to allow negoriation during a removal action when it is nsesJlly toavoid, delay in initiating a removal action. , .. ,

This'akclc of the SMOA describes enforcement expectations and policy. ,and describes me gcnd'nacurc of the EPA and Stau relationship when pursuing potentially responsible parry (PRO) site cleanup cornmiumnls.,This article ' ' .

'

should also reference State cnfo&ement authorities and the d e g m of recip­rocity between the Stan and EPA.

., )375.U-cil The foliowing,wicieh i s t be iric:U2;td'in'theSMOA:

, , . .

'Thir agrement doe$ iot limit the dtimate enforcement aurhorib of � P A or rtie United Srates Government under CERCLA.

I,' . . . . . . . ,&.,, ,

Smples.ofadditional arrjclcs which.&ay,kincluded in a SMOA are pro­, .

vided below. L. .. . , f

. I - �PA and the Stace agree w i h the estab1i;hcd principle that negotiated resp0ns.eactiod with qvolrfid PRPs C ~ Cessetuial to 'meffective program for the cleanup of NPL sites. An dective program dependr on a balanced approach relying on a mix of Fund$nanced cleanup. voluntajl agree­ments reackd throughformal nego&ions. and litigation when necessary and appropriate. , .

2 - EPA and the Stace agree that,response action senlements reached with PRPs will be setfonh in,enforceable agreemetus. For the purposes of this '

SMOA. anenforceable agreement means issuance.of an administrative order or execution ofa CONeN or&? or decree [or specify other State-specific mechanism re is legally enforceable]. Enforcehkmactions taken in reqoonse to nonsompliance with &I enforceable agreement will be rimcly and pursued 10 resolution in accordance with applicable Scare or Federd h,applicable pdicies and guidelines. and the terms of the .

particular agreement;, ' , ,

NOTE: Three-pany agrcemenk [EPNStaufPRP]must& embodied in F , d djudicialconknt d d s . ' Moreova. CERCLA requires United States Depurment of Jusace &cw of any coven&s-not-co-sue agreed,to byEPA. .. . .

3 - Twno-pany (i.c.. EPA or Stou with PRP) negonarion.senlemcnt. and CICNion isprrfcredover three-pony (i.e.. EPA IStacelPRP) negotiation. settlement,Mdaecut ion k c a w e it is generally more %icient. However. when EPA is designated P( tk lead agency. EPA will (a)twrifr the State regording the scope of nsponst-actions, and (b)provide the Stace an opporwliry w k involved in negotiorions with PRPs and to be parry IO

any setthunt,pursuant to C E R C U Section 12l(fxi)(F).

4 - EPA and the State will review and designate the lead agency and the support agencyfor enforcewunt acnbns 01NPL sites subject to relevant criteria during,theannul planning proccts. The Stou should get lead agenq desigMtion only upon EPA determinationrhnt ir ha^ demon­strated S@UN State ourhontirs and other program capabilities.

5 - The lead agency wil l providt notice to the support agency as to die s m of negoMdonswith PRPs.

. , ' ~ . .

.

. < . ,

, 9375.0-01 6 - I t is the,leadage'nry's responsibility taidentifi and norib poienrially

I , ' , " responsibk pm.es of L: platbud reme&al investigationlfearibiliry study

(RIIFS)and to &ternhe the willingness and abiliiy of the PRP to conducf , . t k RItFS. The le& agency will also send a rehedial designlremedial

a c d n ( F I R A )norifiColionleuer to PRPs at the completionof a RIJFS. . ,

.f .* - 7 - T k le& agency for a site ge&rdly will be responsible for all site

' . < specific communications with PRPs, T k support agency wiil not c o r n u ­. , .

, . nicate with PRPs co&e;aing tk,.rite without prior notice:tc rhe !e:.,.!..: . ..

.. . I , ,! ageno: . . , ,

Federal Facilitia ' ' Thissection ourlines the process hat EPA wdl use to provide for Sate in­volvement in F e d d f A i t y remedid actions. Discukion may include appqniate staffcontacts and =hods of initial contact concerning state involvement Pending piomulgirion of the p r o p o d NCP. as well as SubpanK -Federal Facilities of the propod NCP (to k proposed and pmmulganed sepmtely). state personnel should consult the- EPA regional counterpans concerning c m n i EPA pl icy on rcsponh at Federal facilities.

Other Areas of This &Cle of the SMOA addresses dditional processes which require EPA/Coordination state coordimion. It is useful to outline the steps in detail. knowing that the

description cm krevised as the proces~csevolve and change.

Superfund Comprehensive Accomplishments Plan (SCAP)

This Kction may specify the proccdraes that each pany will follow in dcvelophg the annual SCAP. The SCAP is the cenoalmechanism for planning, oacking and evaluating Superfund program activities. SCAP dwelopuent procedraes should include the timing of the initial contact betwan the Region and the Smc, follow-up actions on Headquarten' re­questsmd steps for revising the SCAPd h g the year. The section also identifies dK tides of the Sua and Regional contacts for ongoing SCAP. .

, , mduwlm. This coordi~rionprocess also should include discussion of the S w ' s commiencncs under any similarState planning and tracking

. / Srs-

Appliublc or Relevant and Appropriate Rquircments (ARARs)/To Becoluidaedme)

This secrion dcsaiks the procedures and for soliciting/ idmrifyin&c a g i n g . and d y i n g ARARslIBcS. taking into consid­eratho theprocessestablishedin the proposed NCP. It should indicate the Wtsh theresponse prwcess at which A R A R m C s would ~.ormallybe

, soliciWkkntificd the p i n t s of corltacc (usually the RPM and SAC) for s o l i c i r n d W i d e n t o n , and steps taken when disagreements Yise over ARARr/lgO if diffmnt from Resoluaon of Disputes (seepage 12 of this

. . . .

. .

i

Administrative Record.$

This section outlines asncts of the Adminiswtive Record.

I 2bblishing the i.mi@stiive Record

This para.graph specifies that the lead agency'is risponsible for compil­ing and maintaining the Adminiswdve Record and cites the office 3nd staffposition mponsible f a compiling and &mining site-specific . AdminidkRRec4lb. . - SupportA g e n j Pankipation -Th$ paragraph &fin& ,theextent of suppon agency.involvement in . establishing the Adminisuwivc Record and,mayalso list siu-specific documents in h e file which should kuansmiad by the lead agency to the suppon agency. This paragraph may alio address suppon agency review of the AdministrPtiw Record for completeness.

State Takeover of Long-Tam Response Actions (LTRA)

This section dcsuitx the coordination of Srau takeover of LlRAs. It may indicate that EPA and the State agree thar. at a site muiring onsite or offsite actions toreston ground or s- water quality, the State will rake over operationof these Pcoivitia pt h e site as soon as possible after EPA has&tcnnincd consmution i s complete. States may assume the lead for rhis portion of rrmcdi.laction through a cooperative agreement.

Consultation, Agreement, and Concurrence P-

This luoiclc of theSMOA specifiesp r o c c s ~ spataining to consultation. agreemen& ud COIICUIICIKIC. Subpan F of the proposed NCP also contans proadurrr 10k followtd LI the absence of a SMOA.

NPL Listing (Consultation/Dcfcmd Listing)

Thissection definesprocedures and points of contact for EPNState wnsulmtion concerning sites to k proposed fafiring on the NPL.

Draft FS urd Row Plan ( A p m c n t )

This section defims praalurcs. timframcr.and points of conract to facilitate agreement on or resolution of significant comments regarding 3, draft FS and pwplan for a remedial action.

- 1 1 -

* NPL Deletion (Concumnce)

This &on defines the procedures a d points of contact for concurrence on or resolution of outs'mding issues concerning deleting sites from t k NPL.

ROD Concm'ace . .

'' This Kction defines the pm d'mrtimefrmes. and points of contact fo; concumnct on RODS.

Generally. EPA in& for the l ed agency to be responsible for developing technical documents during fhcRUFS and the RD/RA at a site. Therefore. this

.,

article of the SMOA establiirhu thc procedures, timeframes. and points-of-contact for all site-specific technicaldocument rewew/oversight by the sup­parr agency. Suppon agency review/ovenight of site-specific technical documents should fall into one of the following rhne categoncs:

1 - Review and approve: site work or the next phase of response does nor proceed until the support agency reviews and p v i d c s wnttcn approval.

2 - Review and comment: site work or the next phase may proceed but the led agency shouldattempt U)incorporatesupport agency comments 1

(if any), as appropriate. into the site work.

3 - submit for inforrmkm and maintenance of support agency files: the l ed agency submits a document to the suppon agency for information and maintenance of the suppon agency me. This procedure may also be tied to the Regi0ll.l office's prrdcipation in theestablishment of the Adrninis­uuive Record

These cutgorics m y not apply to all StDtJEpA rehionships. The aniclc lists thc site-rpccific documentsand the category into which each document willfall u I gcncd mtemcnt of the degree of suppon agency revicw/over­s i g h '2hir tnicle should alsorccognue that the agmd-upon base level of suppon apary mriew/ovasight activity could and should be modified in C \, Q SSC, farpecific sites (see Atrachmnt 1 for an example of how to docu­ment s u p p a t agency sauegy).

This &le of the SMOA establishes a State-tpcclfic process to&solve .disputes that m y h e regarding implementation of the procedures specifmi

in'a SMOA or any si&-spccific c"za&FeFnts. Various proccdu& may be developed and &&b& the process explained in the preamble to the pro-posed NCP.isone procedure that-my be used as a guide. (Additional guid-. ance.is fonhcoming from heOffice ofWasu Progrdms Enforcemcnt,(OWPt

Resolution of Disputes

. . . .

- 1 2 - ,

.<#*.,. , 9 j75.O.C cbnceming the'rcsolurion of disputer ktwein EPA and'a State when PW'S y e conducting response actions under a Federal consenr decree.)

The e&& &vided k l o w is based on the proposed NCP Pr6amble.

I n t k event of disputes herween EPA and the Stare concerning rhe im­. . . . plem.%-;nbii'bf any pr. ;':cdurcs specified in rhis SMOA or any.sire-speclfic

response a c h n dispute, r k WM.andSAC will Dnempr ro resolve such diSputCSprOt?QK~.Ifdirputrc cannor be resolvedm this level. rhc problem will be referred w tk svpcrvisors of r.ksepersons for furrhcr EPAiStart! consulmion. This svpcrvboy referral and resoluhon process will con­tinuc, ifnecessaru. w r k level of [pand Regional Adminisrator. EPA. Region [J. If agreement still cannot be reached, the Region and rhe S u e can jointly rcfrr the dispute IO the ' ,

Assis~an~Adminiswator for Solid W a t e and m r g c n c y Response. who will resolve the dispurc.

Exclusion of Third Each SMOA must contain the following article: Party Benefits

ThisAgreement is intended w beKft only ;he Stare and EPA. Ir neither rxp4ndc nor abridgesrhe rights of any party. including poremially n­sponsible pa?Kies. no1 signawty to rhis AgreemenK.

Wegation of Each SMOA must contain the followng article regarding the negation of Agency Relation- agency rclanonship: ship

Nothing coruoincd in rhis SMOA shall be cornmud, either expressly or by implicabn. u)make EPA or the Sme the otkr's ogent .

SIGNATURES Although the SMOA is not a legally binding document. it should be signed by Ihc parlicipadng parties.

A sample format is illusaaated below. I

For the S u e of

.. For the Environmental ? rokr ion Agency

_- \

(Regional Adminiswaror) (Dare) C

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9575.0-01 ATTACHMENTS

Support Age. cy Site-Specific Reviea/Overdght Strategy

.Enforcement

Site-Specific Designation of LtadISupport Agency

. Support Agency Concurrence

Pnmssa to be Defined

IAttachments to SMOAS genenlly address site-specific issues related t o EP.4 and SUtC interactions. They Can be drafted separately fmm the body of the SMOA. allowing for changes 8s frequently as necessary. EPA and the State shouldmutually decide,which of the following topics need to be addressed

. . I" )I

funhcr in an attachment.

.I

'Thisdaument esmlishes the . .&due, timcframcs. and bik-of-contact for all site-specific technical review/oveaight by the suppon agency ( i t ...\ review and approve. m k w and&mmcnt. and submit for information and maintenance of suppon agency fdes). Sec Attachment 1 for sample time-frames. . . . .

This document details sitC enforcement Seategics and timeframes to ensure Responsible Panics' commitments to cleanuo. and may be used to satisfy the proposed N B Section MO.u)S(b)(3) requirement of supplementing SMOAs with site-specific enforcement agreements at non-Fund-financed sites where the State is designated lead agency. See Attachment 2 for a sample format.

Thisdocument establishes the timeframe. procedure. and form ofdocumenta­tion for designafing site-specificlead and s u p M agencies. It also details a process for miewing and making appropriate lepdlsuppon agency designa­tion changes.

Sites for which EPA and the State agrec to provide opportunities for support agency c o n m n c e on the leadagency's ROD should be uientified and documented here.

Thisdocument specifies pmcesscs that may be implemented by the State includiag:

Rondurcs for dcvelopinghevising the annual SCAP

RoKduzcs and timeframcs for solicidnglidentifymg. exchangin$. and sarifying ARARsllBCr

h c d m s for establishing AdminiJaative Records and making hemavailable to the public.

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, . .

.&& "

, .

' . Processes .

.~. , , t , 'I 0 3'

Status of Hazardous Waste Site Problem

Status of State's Superfund -Program

. , 9375.0-01

' S$es proposed for theNPL .Draft FS and proposed plan for a remedial action Sites proposed for NPL deletion . ,

ROD:', i.. This document summarizes the status of the State's hazardous waste site'situation. It may include the number of sites (NPL­and non-NPL), the environmental media potentially affected, and other information that may help describe the size and extent of the State's problem. .

\

, . . ,

This document describes the current status of the State's Superfund program and its anticipated future roles.and goals. It may include descriptions of the current program, the levels of sophistication/maturity achieved, and types and number of State actions taken at non-NPL sites leading to site cleanup. Infor­mation regarding the future role of the State in Superfund activities,'methods of increasing State 'response capability,prograrn.directions, and action to. coordinate, the .RCRA/CERCLA programs may also be summarized.

(

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. a ' .

-15-. ..

9375.0-01

EXAMPLE OF SUPPORT AGENCY STRATiZGY FOR REVIEW/OVERSICHT OF RE­SPONSEPROCESS DELrVERIBLES

Once nmeframcs arc nCgOdued and agrrcd upon. the uufhavnt rcprcsents the base level of under­standing beween a Sate and EPA aMcerning support agency rcvkw/ovdght activity. This base level can and should be modifiedas approgrLte in coopruive agreements orSSCs.depending upon site-specfic considaatlons.

Exampl: formats arc orovidcd below. (A sample format for F d d - l e a d enforcement sites is fonh­coming from OWE.)-,-

1 .

' , 2,.

3.'

4 .

' ' 5.

6.

7.

8.

. .

9.

Item Reviewed by

PA Reports

SI Reporrr

HRS Scoring Packgc

Drqfr RIlFS Work Plans

RI Work Plans Sampling and anatysis phnr

9 Commvniry reidomphnrHealth and&my phnr

Preliminary site clwam&uion S w M l o r i u

Drqfr AZSDR He& ArtuancM

Drqfr FS P h e I a d II Repnnr( A l t e r h udeve&pentlscreening)

Drqfr TreatabiliryReporn (Oddirionalsite characterization infomuation. bcnchtpilor srudi?s)

-hxf t RJIFS Reports ( i n c l d r i i g&toiled atu&$s of alternn'ves)with skuenurn of proposed plan

T y p of Review1

, RmirwlCommcnr

RmirwlCommhnr

RevirwlConsulrarion

RmiewlComnr

RwiewlCommcnr

RcvinvlCommcnr

RmirwlCommcnt

RcvinvlCommcnt

: tievi&/Co+mnt

\

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TVrnomLnd

10 working days

IS w o r h g days

30 h y s

10 working days

15 working days

15 working days

1Sworkingdays ,

IS working days

30 working d a i s I

, .

. .

IO. Final RIIFS Rrpom

1I . Drqti Re& qf Decision (RODS)

12. ~ ~ E x r c ~ e dRODS

Item Reviewed by -I . Enforceable A g m ? ~ ~ n t r(such

as the A&ninisvm've Or&r or ConsentDecree)

2 . Final RIIFS Work P h-RI work Phnt sampling ad phnr

' convluuu.ry nhi4NphnrHealth adscafrrup h

... 3. Final site characterization S w N l l o r i u

4. Drqti ATSDR Health Asseamunts

. . 5. Final FS chase I adI1Repons(Altertuuivesdevebpmcrulscreening)

6.

7.

'8.

9. Dr# Records ofDecision (RODS)

. +.,., .... 1 '

Io: Executed RODS

9375 0-01 && (continued)

Submitfor file maintenance

ReviovlConcwenc, IS working days

..< -

Submitfor informodonl filcmoinuMncr

Submitfor informodon/ filetnaintenance

ReviovICommcr~ 20 working days

Submitfor ityomaiontjile minunonce-

RevioulCommmnt 30 working days

I

submitfor i t y o m a & /file maituenance

RevieulConcurrence 15 working &s

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rder.

r

9375.0-01 AIT'ACHMENT 2

I ' EXAMPLE OF EPMSTATE ENFOkCEMENT SITE STRATEGY

The SMOA may include. as an anachwns the details.of rhe StateEPA enforcement site strategy. sample format is p m W below. . \ .

. . 8 ,

. . , . Site Name: i . Z n . ..,. . :*

1

L e a d A 8 e n c y : . F , , : . . . . ..Respoke Phase: p m d i a l I nVesnnMonlFcarrbrlrn, Sncdv IRIIFS)

Objective: convince(0r come l )t k X n C o r v or w n d o i h eraorentialresvon&leyihlcw rn'esio con& C I . . p RIIFS rhuf u u i v r 'r nn r

.Straiegy: Cornoration for a three-nhase consent order. Phase I will be for XYZ w vreoare a RI work ~ l h n

. .. r v r ranbn willconwlete nor awee to ihe t- i-- hcwiN RIIFS k i n a CERCU funds.

Enforcement Action Sckdule:

drripn

1 Complete PRP search m ' v i r i u 2. Issue Nonce Lcnrrs - EPA & State ogcncy 3. BeginfonnalMIFS negotiations 4. Execute RJtF3 comentor& p~ pcnninate

RIIFS nCg0dOtiOtU5 uno consent order submit CA qpplic&n

. ,

RtUc AUglUl1.1989September 30. I989 November IS,1989

Febnuny I , 1990 Mwch 30.1990

Authority W k US& by lccd ogcruy: (ADDrVDnbrc SIOIC StanCtrS).

Cod i ionsfor ageKy e#orc-nt intervention: Failwe of tk SICUC APenn, w substantiallv meet the enforcement &&!&&& or-cam violation of a consent order bv tk PRP

Signatures:

Stare Supegid-Program MoMgt? &ate EPA Superfund Branch Chief date L

Note: This agreement will be upon 1)&lays exceeding schedule. 2 ) change in lead agency designonon, 3) significam change in objective or smategv.

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I