CFR 2008 Title40 Vol27 Part300

SUBCHAPTER J—SUPERFUND, EMERGENCY PLANNING, AND
COMMUNITY RIGHT-TO-KNOW PROGRAMS
PART 300—NATIONAL OIL AND Subpart D—Operational Response Phases

HAZARDOUS SUBSTANCES POL- for Oil Removal
LUTION CONTINGENCY PLAN 300.300 Phase I—Discovery or notification.
300.305 Phase II—Preliminary assessment
Subpart A—Introduction and initiation of action.
300.310 Phase III—Containment, counter-
Sec. measures, cleanup, and disposal.
300.1 Purpose and objectives. 300.315 Phase IV—Documentation and cost
300.2 Authority and applicability. recovery.
300.3 Scope. 300.317 National response priorities.
300.4 Abbreviations. 300.320 General pattern of response.
300.5 Definitions. 300.322 Response to substantial threats to
300.6 Use of number and gender. public health or welfare of the United
300.7 Computation of time. States.
300.323 Spills of national significance.
Subpart B—Responsibility and Organization 300.324 Response to worst case discharges.
for Response 300.335 Funding.
300.100 Duties of President delegated to fed- Subpart E—Hazardous Substance

eral agencies. Response
300.105 General organization concepts.
300.400 General.
300.110 National Response Team.
300.405 Discovery or notification.
300.115 Regional Response Teams.
300.410 Removal site evaluation.
300.120 On-scene coordinators and remedial
300.415 Removal action.
project managers: general responsibil-
300.420 Remedial site evaluation.
ities.
300.425 Establishing remedial priorities.
300.125 Notification and communications.
300.430 Remedial investigation/feasibility
300.130 Determinations to initiate response study and selection of remedy.
and special conditions.
300.435 Remedial design/remedial action, op-
300.135 Response operations. eration and maintenance.
300.140 Multi-regional responses. 300.440 Procedures for planning and imple-
300.145 Special teams and other assistance menting off-site response actions.
available to OSCs/RPMs.
300.150 Worker health and safety. Subpart F—State Involvement in Hazardous
300.155 Public information and community Substance Response
relations.
300.160 Documentation and cost recovery. 300.500 General.
300.165 OSC reports. 300.505 EPA/State Superfund Memorandum
300.170 Federal agency participation. of Agreement (SMOA).
300.175 Federal agencies: additional respon- 300.510 State assurances.
sibilities and assistance. 300.515 Requirements for state involvement
300.180 State and local participation in re- in remedial and enforcement response.
sponse. 300.520 State involvement in EPA-lead en-
300.185 Nongovernmental participation. forcement negotiations.
300.525 State involvement in removal ac-
tions.
Subpart C—Planning and Preparedness
300.200 General. Subpart G—Trustees for Natural Resources
300.205 Planning and coordination struc-
300.600 Designation of federal trustees.
ture.
300.605 State trustees.
300.210 Federal contingency plans.
300.610 Indian tribes.
300.211 OPA facility and vessel response 300.612 Foreign trustees.
plans.
300.615 Responsibilities of trustees.
300.212 Area response drills.
300.215 Title III local emergency response Subpart H—Participation by Other Persons
dwashington3 on PRODPC61 with CFR
plans.
300.220 Related Title III issues. 300.700 Activities by other persons.
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§ 300.1 40 CFR Ch. I (7–1–08 Edition)
Subpart I—Administrative Record for to discharges of oil and releases of haz-

Selection of Response Action ardous substances, pollutants, and con-
taminants.
300.800 Establishment of an administrative
record.
300.805 Location of the administrative § 300.2 Authority and applicability.
record file. The NCP is required by section 105 of
300.810 Contents of the administrative the Comprehensive Environmental Re-
record file.
300.815 Administrative record file for a response, Compensation, and Liability
medial action. Act of 1980, 42 U.S.C. 9605, as amended
300.820 Administrative record file for a re- by the Superfund Amendments and Re-
moval action. authorization Act of 1986 (SARA), Pub.
300.825 Record requirements after the deci- L. 99–499, (hereinafter CERCLA), and
sion document is signed. by section 311(d) of the Clean Water
Subpart J—Use of Dispersants and Other Act (CWA), 33 U.S.C. 1321(d), as amend-
Chemicals ed by the Oil Pollution Act of 1990
(OPA), Pub. L. 101–380. In Executive
300.900 General. Order (E.O.) 12777 (56 FR 54757, October
300.905 NCP Product Schedule. 22, 1991), the President delegated to the
300.910 Authorization of use.
300.915 Data requirements.
Environmental Protection Agency
300.920 Addition of products to Schedule. (EPA) the responsibility for the amend-
ment of the NCP. Amendments to the
Subpart K—Federal Facilities [Reserved] NCP are coordinated with members of
the National Response Team (NRT)
Subpart L—National Oil and Hazardous prior to publication for notice and
Substances Pollution Contingency comment. This includes coordination
Plan; Involuntary Acquisition of Prop- with the Federal Emergency Manage-
erty by the Government ment Agency (FEMA) and the Nuclear
300.1105 Involuntary acquisition of property Regulatory Commission in order to
by the government. avoid inconsistent or duplicative re-
APPENDIX A TO PART 300—THE HAZARD RANK- quirements in the emergency planning
ING SYSTEM responsibilities of those agencies. The
APPENDIX B TO PART 300—NATIONAL PRIOR- NCP is applicable to response actions
ITIES LIST taken pursuant to the authorities
APPENDIX C TO PART 300—SWIRLING FLASK
under CERCLA and section 311 of the
DISPERSANT EFFECTIVENESS TEST, RE-
VISED STANDARD DISPERSANT TOXICITY
CWA, as amended.
TEST, AND BIOREMEDIATION AGENT EFFEC-
TIVENESS TEST § 300.3 Scope.
APPENDIX D TO PART 300—APPROPRIATE AC- (a) The NCP applies to and is in ef-
TIONS AND METHODS OF REMEDYING RE-
fect for:
LEASES
APPENDIX E TO PART 300—OIL SPILL RE- (1) Discharges of oil into or on the
SPONSE navigable waters of the United States,
AUTHORITY: 33 U.S.C. 1321(c)(2); 42 U.S.C.
on the adjoining shorelines, the waters
9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, 1991 of the contiguous zone, into waters of
Comp., p.351; E.O. 12580, 52 FR 2923, 3 CFR, the exclusive economic zone, or that
1987 Comp., p.193. may affect natural resources belonging
to, appertaining to, or under the exclu-
Subpart A—Introduction sive management authority of the
United States (See sections 311(c)(1)
SOURCE: 59 FR 47416, Sept. 15, 1994, unless and 502(7) of the CWA).
otherwise noted. (2) Releases into the environment of
hazardous substances, and pollutants
§ 300.1 Purpose and objectives. or contaminants which may present an
The purpose of the National Oil and imminent and substantial danger to
Hazardous Substances Pollution Con- public health or welfare of the United
tingency Plan (NCP) is to provide the States.
organizational structure and proce- (b) The NCP provides for efficient,
dures for preparing for and responding coordinated, and effective response to
Environmental Protection Agency § 300.4
discharges of oil and releases of haz- § 300.4 Abbreviations.

ardous substances, pollutants, and con- (a) Department and Agency Title Abbre-
taminants in accordance with the au- viations:
thorities of CERCLA and the CWA. It
provides for: ATSDR—Agency for Toxic Substances and
Disease Registry
(1) The national response organiza- CDC—Centers for Disease Control
tion that may be activated in response DOC—Department of Commerce
actions. It specifies responsibilities DOD—Department of Defense
among the federal, state, and local gov- DOE—Department of Energy
ernments and describes resources that DOI—Department of the Interior
DOJ—Department of Justice
are available for response. DOL—Department of Labor
(2) The establishment of require- DOS—Department of State
ments for federal, regional, and area DOT—Department of Transportation
contingency plans. It also summarizes EPA—Environmental Protection Agency
FEMA—Federal Emergency Management
state and local emergency planning re-
Agency
quirements under SARA Title III. GSA—General Services Administration
(3) Procedures for undertaking re- HHS—Department of Health and Human
moval actions pursuant to section 311 Services
of the CWA. NIOSH—National Institute for Occupational
Safety and Health
(4) Procedures for undertaking re- NOAA—National Oceanic and Atmospheric
sponse actions pursuant to CERCLA. Administration
(5) Procedures for involving state OSHA—Occupational Health and Safety Ad-
governments in the initiation, develop- ministration
ment, selection, and implementation of RSPA—Research and Special Programs Ad-
ministration
response actions, pursuant to CERCLA. USCG—United States Coast Guard
(6) Listing of federal trustees for nat- USDA—United States Department of Agri-
ural resources for purposes of CERCLA culture
and the CWA. NOTE: Reference is made in the NCP to
(7) Procedures for the participation both the Nuclear Regulatory Commission
of other persons in response actions. and the National Response Center. In order
(8) Procedures for compiling and to avoid confusion, the NCP will spell out
Nuclear Regulatory Commission and use the
making available an administrative
abbreviation ‘‘NRC’’ only with respect to the
record for response actions. National Response Center.
(9) National procedures for the use of
dispersants and other chemicals in re- (b) Operational Abbreviations:
movals under the CWA and response ACP—Area Contingency Plan
actions under CERCLA. ARARs—Applicable or Relevant and Appro-
priate Requirements
(c) In implementing the NCP, consid-
CERCLIS—CERCLA Information System
eration shall be given to international CRC—Community Relations Coordinator
assistance plans and agreements, secu- CRP—Community Relations Plan
rity regulations and responsibilities DRAT—District Response Advisory Team
based on international agreements, fed- DRG—District Response Group
eral statutes, and executive orders. Ac- ERT—Environmental Response Team
ESF—Emergency Support Function
tions taken pursuant to the provisions FCO—Federal Coordinating Officer
of any applicable international joint FRERP—Federal Radiological Emergency
contingency plans shall be consistent Response Plan
with the NCP, to the greatest extent FRP—Federal Response Plan
possible. The Department of State FS—Feasibility Study
HRS—Hazard Ranking System
shall be consulted, as appropriate, LEPC—Local Emergency Planning Com-
prior to taking any action which may mittee
affect its activities. NCP—National Contingency Plan
(d) Additionally, the NCP applies to NPFC—National Pollution Funds Center
and is in effect when the Federal Re- NPL—National Priorities List
NRC—National Response Center
sponse Plan and some or all its Emer- NRS—National Response System
gency Support Functions (ESFs) are NRT—National Response Team

activated. NSF—National Strike Force
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
NSFCC—National Strike Force Coordination and local agencies with responsibilities
Center that include preparing an area contin-
O&M—Operation and Maintenance gency plan for an area designated by
OSC—On-Scene Coordinator
OSLTF—Oil Spill Liability Trust Fund the President.
PA—Preliminary Assessment Area contingency plan (ACP) as pro-
PIAT—Public Information Assist Team vided for by CWA sections 311(a)(19)
RA—Remedial Action and (j)(4), means the plan prepared by
RCP—Regional Contingency Plan an Area Committee that is developed
RD—Remedial Design
RERT—Radiological Emergency Response
to be implemented in conjunction with
Team the NCP and RCP, in part to address
RI—Remedial Investigation removal of a worst case discharge and
ROD—Record of Decision to mitigate or prevent a substantial
RPM—Remedial Project Manager threat of such a discharge from a ves-
RRC—Regional Response Center sel, offshore facility, or onshore facil-
RRT—Regional Response Team
SAC—Support Agency Coordinator
ity operating in or near an area des-
SERC—State Emergency Response Commis- ignated by the President.
sion Bioremediation agents means micro-
SI—Site Inspection biological cultures, enzyme additives,
SMOA—Superfund Memorandum of Agree- or nutrient additives that are delib-
ment erately introduced into an oil dis-
SONS—Spill of National Significance
SSC—Scientific Support Coordinator charge and that will significantly in-
SUPSALV—United States Navy Supervisor crease the rate of biodegradation to
of Salvage mitigate the effects of the discharge.
USFWS—United States Fish and Wildlife Burning agents means those additives
Service that, through physical or chemical
means, improve the combustibility of
§ 300.5 Definitions.
the materials to which they are ap-
Terms not defined in this section plied.
have the meaning given by CERCLA, CERCLA is the Comprehensive Envi-
the OPA, or the CWA. ronmental Response, Compensation,
Activation means notification by tele- and Liability Act of 1980, as amended
phone or other expeditious manner or, by the Superfund Amendments and Re-
when required, the assembly of some or authorization Act of 1986.
all appropriate members of the RRT or
CERCLIS is the abbreviation of the
NRT.
Alternative water supplies as defined CERCLA Information System, EPA’s
by section 101(34) of CERCLA, includes, comprehensive data base and data
but is not limited to, drinking water management system that inventories
and household water supplies. and tracks releases addressed or need-
Applicable requirements means those ing to be addressed by the Superfund
cleanup standards, standards of con- program. CERCLIS contains the offi-
trol, and other substantive require- cial inventory of CERCLA sites and
ments, criteria, or limitations promul- supports EPA’s site planning and
gated under federal environmental or tracking functions. Sites that EPA de-
state environmental or facility siting cides do not warrant moving further in
laws that specifically address a haz- the site evaluation process are given a
ardous substance, pollutant, contami- ‘‘No Further Response Action
nant, remedial action, location, or Planned’’ (NFRAP) designation. This
other circumstance found at a CERCLA means that no additional federal steps
site. Only those state standards that under CERCLA will be taken at the
are identified by a state in a timely site unless future information so war-
manner and that are more stringent rants. Sites given a NFRAP designa-
than federal requirements may be ap- tion are placed in a separate archival
plicable. data base. Inclusion of a specific site or
Area Committee (AC) as provided for area in the CERCLIS data base does
by CWA sections 311(a)(18) and (j)(4), not represent a determination of any
means the entity appointed by the party’s liability, nor does it represent a
President consisting of members from finding that any response action is nec-
qualified personnel of federal, state, essary.
Chemical agents means those ele- Community relations means EPA’s pro-
ments, compounds, or mixtures that gram to inform and encourage public
coagulate, disperse, dissolve, emulsify, participation in the Superfund process
foam, neutralize, precipitate, reduce, and to respond to community concerns.
solubilize, oxidize, concentrate, con- The term ‘‘public’’ includes citizens di-
geal, entrap, fix, make the pollutant rectly affected by the site, other inter-
mass more rigid or viscous, or other- ested citizens or parties, organized
wise facilitate the mitigation of delete- groups, elected officials, and poten-
rious effects or the removal of the pol- tially responsible parties (PRPs).
lutant from the water. Chemical agents Community relations coordinator means
include biological additives, lead agency staff who work with the
dispersants, sinking agents, miscella- OSC/RPM to involve and inform the
neous oil spill control agents, and
public about the Superfund process and
burning agents, but do not include
response actions in accordance with
sorbents.
the interactive community relations
Claim for purposes of a release under
requirements set forth in the NCP.
CERCLA, means a demand in writing
for a sum certain; for purposes of a dis- Contiguous zone means the zone of the
charge under CWA, it means a request, high seas, established by the United
made in writing for a sum certain, for States under Article 24 of the Conven-
compensation for damages or removal tion on the Territorial Sea and Contig-
costs resulting from an incident. uous Zone, which is contiguous to the
Claimant as defined by section 1001 of territorial sea and which extends nine
the OPA means any person or govern- miles seaward from the outer limit of
ment who presents a claim for com- the territorial sea.
pensation under Title I of the OPA. Cooperative agreement is a legal in-
Coastal waters for the purposes of strument EPA uses to transfer money,
classifying the size of discharges, property, services, or anything of value
means the waters of the coastal zone to a recipient to accomplish a public
except for the Great Lakes and speci- purpose in which substantial EPA in-
fied ports and harbors on inland rivers. volvement is anticipated during the
Coastal zone as defined for the pur- performance of the project.
pose of the NCP, means all United Damages as defined by section 1001 of
States waters subject to the tide, the OPA means damages specified in
United States waters of the Great section 1002(b) of the Act, and includes
Lakes, specified ports and harbors on the cost of assessing these damages.
inland rivers, waters of the contiguous
Discharge as defined by section
zone, other waters of the high seas sub-
311(a)(2) of the CWA, includes, but is
ject to the NCP, and the land surface
not limited to, any spilling, leaking,
or land substrata, ground waters, and
pumping, pouring, emitting, emptying,
ambient air proximal to those waters.
The term coastal zone delineates an or dumping of oil, but excludes dis-
area of federal responsibility for re- charges in compliance with a permit
sponse action. Precise boundaries are under section 402 of the CWA, dis-
determined by EPA/USCG agreements charges resulting from circumstances
and identified in federal regional con- identified and reviewed and made a
tingency plans. part of the public record with respect
Coast Guard District Response Group to a permit issued or modified under
(DRG) as provided for by CWA sections section 402 of the CWA, and subject to
311(a)(20) and (j)(3), means the entity a condition in such permit, or contin-
established by the Secretary of the de- uous or anticipated intermittent dis-
partment in which the USCG is oper- charges from a point source, identified
ating, within each USCG district, and in a permit or permit application under
shall consist of: the combined USCG section 402 of the CWA, that are caused
personnel and equipment, including by events occurring within the scope of
marine firefighting equipment, of each relevant operating or treatment sys-
port in the district; additional tems. For purposes of the NCP, dis-
prepositioned response equipment; and charge also means substantial threat of

a district response advisory team. discharge.
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
Dispersants means those chemical transporting oil. This term includes

agents that emulsify, disperse, or solu- any motor vehicle, rolling stock, or
bilize oil into the water column or pro- pipeline used for one or more of these
mote the surface spreading of oil slicks purposes.
to facilitate dispersal of the oil into Feasibility study (FS) means a study
the water column. undertaken by the lead agency to de-
Drinking water supply as defined by velop and evaluate options for remedial
section 101(7) of CERCLA, means any action. The FS emphasizes data anal-
raw or finished water source that is or ysis and is generally performed concur-
may be used by a public water system rently and in an interactive fashion
(as defined in the Safe Drinking Water with the remedial investigation (RI),
Act (42 U.S.C. 300 et seq.) or as drink- using data gathered during the RI. The
ing water by one or more individuals.
RI data are used to define the objec-
Environment as defined by section
tives of the response action, to develop
101(8) of CERCLA, means the navigable
remedial action alternatives, and to
waters, the waters of the contiguous
undertake an initial screening and de-
zone, and the ocean waters of which
the natural resources are under the ex- tailed analysis of the alternatives. The
clusive management authority of the term also refers to a report that de-
United States under the Magnuson scribes the results of the study.
Fishery Conservation and Management Federal Radiological Emergency Re-
Act (16 U.S.C. 1801 et seq.); and any sponse Plan (FRERP) means the inter-
other surface water, ground water, agency agreement for coordinating the
drinking water supply, land surface or response of various agencies, under a
subsurface strata, or ambient air with- variety of statutes, to a large radio-
in the United States or under the juris- logical accident. The Lead Federal
diction of the United States. Agency (LFA), defined by the FRERP,
Exclusive economic zone, as defined by activates the FRERP for any peace-
OPA section 1001, means the zone es- time radiological emergency which,
tablished by Presidential Proclamation based upon its professional judgment,
Numbered 5030, dated March 10, 1983, is expected to have a significant radio-
including the ocean waters of the areas logical effect within the United States,
referred to as ‘‘eastern special areas’’ its territories, possessions, or terri-
in Article 3(1) of the Agreement be- torial waters and that could require a
tween the United States of America response by several federal agencies.
and the Union of Soviet Socialist Re- Federal Response Plan (FRP) means
publics on the Maritime Boundary, the agreement signed by 27 federal de-
signed June 1, 1990. partments and agencies in April 1987
Facility as defined by section 101(9) of and developed under the authorities of
CERCLA, means any building, struc- the Earthquake Hazards Reduction Act
ture, installation, equipment, pipe or
of 1977 (42 U.S.C. 7701 et seq.) and the
pipeline (including any pipe into a
Disaster Relief Act of 1974 (42 U.S.C.
sewer or publicly owned treatment
3231 et seq.), as amended by the Staf-
works), well, pit, pond, lagoon, im-
poundment, ditch, landfill, storage con- ford Disaster Relief Act of 1988.
tainer, motor vehicle, rolling stock, or First federal official means the first
aircraft, or any site or area, where a federal representative of a partici-
hazardous substance has been depos- pating agency of the National Response
ited, stored, disposed of, or placed, or Team to arrive at the scene of a dis-
otherwise come to be located; but does charge or a release. This official co-
not include any consumer product in ordinates activities under the NCP and
consumer use or any vessel. As defined may initiate, in consultation with the
by section 1001 of the OPA, it means OSC, any necessary actions until the
any structure, group of structures, arrival of the predesignated OSC. A
equipment, or device (other than a ves- state with primary jurisdiction over a
sel) which is used for one or more of site covered by a cooperative agree-
the following purposes: Exploring for, ment will act in the stead of the first
drilling for, producing, storing, han- federal official for any incident at the
dling, transferring, processing, or site.
10
Fund or Trust Fund means the Haz- section 1001, means any Indian tribe,
ardous Substance Superfund estab- band, nation, or other organized group
lished by section 9507 of the Internal or community, but not including any
Revenue Code of 1986. Alaska Native regional or village cor-
Ground water as defined by section poration, which is recognized as eligi-
101(12) of CERCLA, means water in a ble for the special programs and serv-
saturated zone or stratum beneath the ices provided by the United States to
surface of land or water. Indians because of their status as Indi-
Hazard Ranking System (HRS) means ans and has governmental authority
the method used by EPA to evaluate over lands belonging to or controlled
the relative potential of hazardous sub- by the tribe.
stance releases to cause health or safe- Inland waters, for the purposes of
ty problems, or ecological or environ- classifying the size of discharges,
mental damage. means those waters of the United
Hazardous substance as defined by sec- States in the inland zone, waters of the
tion 101(14) of CERCLA, means: Any Great Lakes, and specified ports and
substance designated pursuant to sec- harbors on inland rivers.
tion 311(b)(2)(A) of the CWA; any ele- Inland zone means the environment
ment, compound, mixture, solution, or inland of the coastal zone excluding
substance designated pursuant to sec- the Great Lakes and specified ports
tion 102 of CERCLA; any hazardous and harbors on inland rivers. The term
waste having the characteristics iden- inland zone delineates an area of fed-
tified under or listed pursuant to sec- eral responsibility for response action.
tion 3001 of the Solid Waste Disposal Precise boundaries are determined by
Act (but not including any waste the EPA/USCG agreements and identified
regulation of which under the Solid in federal regional contingency plans.
Waste Disposal Act (42 U.S.C. 6901 et Lead administrative trustee means a
seq.) has been suspended by Act of Con- natural resource trustee who is des-
gress); any toxic pollutant listed under ignated on an incident-by-incident
section 307(a) of the CWA; any haz- basis for the purpose of preassessment
ardous air pollutant listed under sec- and damage assessment and chosen by
tion 112 of the Clean Air Act (42 U.S.C. the other trustees whose natural re-
7521 et seq.); and any imminently haz- sources are affected by the incident.
ardous chemical substance or mixture The lead administrative trustee facili-
with respect to which the EPA Admin- tates effective and efficient commu-
istrator has taken action pursuant to nication during response operations be-
section 7 of the Toxic Substances Con- tween the OSC and the other natural
trol Act (15 U.S.C. 2601 et seq.). The resource trustees conducting activities
term does not include petroleum, in- associated with damage assessment,
cluding crude oil or any fraction there- and is responsible for applying to the
of which is not otherwise specifically OSC for access to response operations
listed or designated as a hazardous sub- resources on behalf of all trustees for
stance in the first sentence of this initiation of a damage assessment.
paragraph, and the term does not in- Lead agency means the agency that
clude natural gas, natural gas liquids, provides the OSC/RPM to plan and im-
liquified natural gas, or synthetic gas plement response actions under the
usable for fuel (or mixtures of natural NCP. EPA, the USCG, another federal
gas and such synthetic gas). agency, or a state (or political subdivi-
Indian tribe as defined by section sion of a state) operating pursuant to a
101(36) of CERCLA, means any Indian contract or cooperative agreement exe-
tribe, band, nation, or other organized cuted pursuant to section 104(d)(1) of
group or community, including any CERCLA, or designated pursuant to a
Alaska Native village but not including Superfund Memorandum of Agreement
any Alaska Native regional or village (SMOA) entered into pursuant to sub-
corporation, which is recognized as eli- part F of the NCP or other agreements
gible for the special programs and serv- may be the lead agency for a response
ices provided by the United States to action. In the case of a release of a haz-
Indians because of their status as Indi- ardous substance, pollutant, or con-

ans. ‘‘Indian tribe,’’ as defined by OPA taminant, where the release is on, or
11
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
the sole source of the release is from, United States that are priorities for
any facility or vessel under the juris- long-term remedial evaluation and re-
diction, custody, or control of Depart- sponse.
ment of Defense (DOD) or Department National response system (NRS) is the
of Energy (DOE), then DOD or DOE mechanism for coordinating response
will be the lead agency. Where the re- actions by all levels of government in
lease is on, or the sole source of the re- support of the OSC/RPM. The NRS is
lease is from, any facility or vessel composed of the NRT, RRTs, OSC/
under the jurisdiction, custody, or con- RPM, Area Committees, and Special
trol of a federal agency other than Teams and related support entities.
EPA, the USCG, DOD, or DOE, then The NRS is capable of expanding or
that agency will be the lead agency for contracting to accommodate the re-
remedial actions and removal actions sponse effort required by the size or
other than emergencies. The federal complexity of the discharge or release.
agency maintains its lead agency re- National Strike Force (NSF) is a spe-
sponsibilities whether the remedy is se- cial team established by the USCG, in-
lected by the federal agency for non- cluding the three USCG Strike Teams,
NPL sites or by EPA and the federal the Public Information Assist Team
agency or by EPA alone under (PIAT), and the National Strike Force
CERCLA section 120. The lead agency Coordination Center. The NSF is avail-
will consult with the support agency, if able to assist OSCs/RPMs in their pre-
one exists, throughout the response paredness and response duties.
process.
National Strike Force Coordination
Management of migration means ac-
Center (NSFCC), authorized as the Na-
tions that are taken to minimize and
tional Response Unit by CWA sections
mitigate the migration of hazardous
311(a)(23) and (j)(2), means the entity
substances or pollutants or contami-
established by the Secretary of the de-
nants and the effects of such migra-
partment in which the USCG is oper-
tion. Measures may include, but are
ating at Elizabeth City, North Carolina
not limited to, management of a plume
with responsibilities that include ad-
of contamination, restoration of a
drinking water aquifer, or surface ministration of the USCG Strike
water restoration. Teams, maintenance of response equip-
Miscellaneous oil spill control agent is ment inventories and logistic net-
any product, other than a dispersant, works, and conducting a national exer-
sinking agent, surface washing agent, cise program.
surface collecting agent, bioremedi- Natural resources means land, fish,
ation agent, burning agent, or sorbent wildlife, biota, air, water, ground
that can be used to enhance oil spill water, drinking water supplies, and
cleanup, removal, treatment, or miti- other such resources belonging to,
gation. managed by, held in trust by, apper-
National Pollution Funds Center taining to, or otherwise controlled by
(NPFC) means the entity established the United States (including the re-
by the Secretary of Transportation sources of the exclusive economic zone
whose function is the administration of defined by the Magnuson Fishery Con-
the Oil Spill Liability Trust Fund servation and Management Act of 1976),
(OSLTF). Among the NPFC’s duties any state or local government, any for-
are: providing appropriate access to the eign government, any Indian tribe, or,
OSLTF for federal agencies and states if such resources are subject to a trust
for removal actions and for federal restriction on alienation, any member
trustees to initiate the assessment of of an Indian tribe.
natural resource damages; providing Navigable waters as defined by 40 CFR
appropriate access to the OSLTF for 110.1, means the waters of the United
claims; and coordinating cost recovery States, including the territorial seas.
efforts. The term includes:
National Priorities List (NPL) means (1) All waters that are currently
the list, compiled by EPA pursuant to used, were used in the past, or may be
CERCLA section 105, of uncontrolled susceptible to use in interstate or for-

hazardous substance releases in the eign commerce, including all waters
12
that are subject to the ebb and flow of dredged spoil. Oil, as defined by section
the tide; 1001 of the OPA means oil of any kind
(2) Interstate waters, including inter- or in any form, including, but not lim-
state wetlands; ited to, petroleum, fuel oil, sludge, oil
(3) All other waters such as intra- refuse, and oil mixed with wastes other
state lakes, rivers, streams (including than dredged spoil, but does not in-
intermittent streams), mudflats, clude petroleum, including crude oil or
sandflats, and wetlands, the use, deg- any fraction thereof, which is specifi-
radation, or destruction of which would cally listed or designated as a haz-
affect or could affect interstate or for- ardous substance under subparagraphs
eign commerce including any such wa- (A) through (F) of section 101(14) of the
ters; Comprehensive Environmental Re-
(i) That are or could be used by inter- sponse, Compensation, and Liability
state or foreign travelers for rec- Act (42 U.S.C. 9601) and which is subject
reational or other purposes; to the provisions of that Act.
(ii) From which fish or shellfish are Oil Spill Liability Trust Fund (OSLTF)
or could be taken and sold in interstate means the fund established under sec-
or foreign commerce; tion 9509 of the Internal Revenue Code
(iii) That are used or could be used of 1986 (26 U.S.C. 9509).
for industrial purposes by industries in On-scene coordinator (OSC) means the
interstate commerce; federal official predesignated by EPA
(4) All impoundments of waters oth- or the USCG to coordinate and direct
erwise defined as navigable waters responses under subpart D, or the gov-
under this section; ernment official designated by the lead
(5) Tributaries of waters identified in agency to coordinate and direct re-
paragraphs (a) through (d) of this defi- moval actions under subpart E of the
nition, including adjacent wetlands; NCP.
and Onshore facility as defined by section
(6) Wetlands adjacent to waters iden- 101(18) of CERCLA, means any facility
tified in paragraphs (a) through (e) of (including, but not limited to, motor
this definition: Provided, that waste vehicles and rolling stock) of any kind
treatment systems (other than cooling located in, on, or under any land or
ponds meeting the criteria of this para- non-navigable waters within the
graph) are not waters of the United United States; and, as defined by sec-
States. tion 311(a)(10) of the CWA, means any
(7) Waters of the United States do facility (including, but not limited to,
not include prior converted cropland. motor vehicles and rolling stock) of
Notwithstanding the determination of any kind located in, on, or under any
an area’s status as prior converted land within the United States other
cropland by any other federal agency, than submerged land.
for the purposes of the Clean Water On-site means the areal extent of con-
Act, the final authority regarding tamination and all suitable areas in
Clean Water Act jurisdiction remains very close proximity to the contamina-
with EPA. tion necessary for implementation of
Offshore facility as defined by section the response action.
101(17) of CERCLA and section Operable unit means a discrete action
311(a)(11) of the CWA, means any facil- that comprises an incremental step to-
ity of any kind located in, on, or under ward comprehensively addressing site
any of the navigable waters of the problems. This discrete portion of a re-
United States, and any facility of any medial response manages migration, or
kind which is subject to the jurisdic- eliminates or mitigates a release,
tion of the United States and is located threat of a release, or pathway of expo-
in, on, or under any other waters, other sure. The cleanup of a site can be di-
than a vessel or a public vessel. vided into a number of operable units,
Oil as defined by section 311(a)(1) of depending on the complexity of the
the CWA, means oil of any kind or in problems associated with the site. Op-
any form, including, but not limited to, erable units may address geographical
petroleum, fuel oil, sludge, oil refuse, portions of a site, specific site prob-
and oil mixed with wastes other than lems, or initial phases of an action, or
13
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
may consist of any set of actions per- being limited to, activities such as re-
formed over time or any actions that lighting gas flares, replacing filters,
are concurrent but located in different and collecting leachate.
parts of a site. Preliminary assessment (PA) under
Operation and maintenance (O&M) CERCLA means review of existing in-
means measures required to maintain formation and an off-site reconnais-
the effectiveness of response actions. sance, if appropriate, to determine if a
Person as defined by section 101(21) of release may require additional inves-
CERCLA, means an individual, firm, tigation or action. A PA may include
corporation, association, partnership, an on-site reconnaissance, if appro-
consortium, joint venture, commercial priate.
entity, United States government, Public participation, see the definition
state, municipality, commission, polit- for community relations.
ical subdivision of a state, or any inter- Public vessel as defined by section
state body. As defined by section 1001 311(a)(4) of the CWA, means a vessel
of the OPA, ‘‘person’’ means an indi- owned or bareboat-chartered and oper-
vidual, corporation, partnership, asso- ated by the United States, or by a state
ciation, state, municipality, commis- or political subdivision thereof, or by a
sion, or political subdivision of a state, foreign nation, except when such vessel
or any interstate body. is engaged in commerce.
Pollutant or contaminant as defined by Quality assurance project plan (QAPP)
section 101(33) of CERCLA, shall in- is a written document, associated with
clude, but not be limited to, any ele- all remedial site sampling activities,
ment, substance, compound, or mix- which presents in specific terms the or-
ture, including disease-causing agents, ganization (where applicable), objec-
which after release into the environ- tives, functional activities, and specific
ment and upon exposure, ingestion, in- quality assurance (QA) and quality
halation, or assimilation into any or- control (QC) activities designed to
ganism, either directly from the envi- achieve the data quality objectives of a
ronment or indirectly by ingestion specific project(s) or continuing oper-
through food chains, will or may rea- ation(s). The QAPP is prepared for each
sonably be anticipated to cause death, specific project or continuing oper-
disease, behavioral abnormalities, can- ation (or group of similar projects or
cer, genetic mutation, physiological continuing operations). The QAPP will
malfunctions (including malfunctions be prepared by the responsible program
in reproduction) or physical deforma- office, regional office, laboratory, con-
tions, in such organisms or their off- tractor, recipient of an assistance
spring. The term does not include pe- agreement, or other organization. For
troleum, including crude oil or any an enforcement action, potentially re-
fraction thereof which is not otherwise sponsible parties may prepare a QAPP
specifically listed or designated as a subject to lead agency approval.
hazardous substance under section Release as defined by section 101(22) of
101(14) (A) through (F) of CERCLA, nor CERCLA, means any spilling, leaking,
does it include natural gas, liquified pumping, pouring, emitting, emptying,
natural gas, or synthetic gas of pipe- discharging, injecting, escaping, leach-
line quality (or mixtures of natural gas ing, dumping, or disposing into the en-
and such synthetic gas). For purposes vironment (including the abandonment
of the NCP, the term pollutant or con- or discarding of barrels, containers,
taminant means any pollutant or con- and other closed receptacles containing
taminant that may present an immi- any hazardous substance or pollutant
nent and substantial danger to public or contaminant), but excludes: Any re-
health or welfare of the United States. lease which results in exposure to per-
Post-removal site control means those sons solely within a workplace, with
activities that are necessary to sustain respect to a claim which such persons
the integrity of a Fund-financed re- may assert against the employer of
moval action following its conclusion. such persons; emissions from the en-
Post-removal site control may be a re- gine exhaust of a motor vehicle, rolling
moval or remedial action under stock, aircraft, vessel, or pipeline

CERCLA. The term includes, without pumping station engine; release of
14
source, byproduct, or special nuclear lead agency to coordinate, monitor, or

material from a nuclear incident, as direct remedial or other response ac-
those terms are defined in the Atomic tions under subpart E of the NCP.
Energy Act of 1954, if such release is Remedy or remedial action (RA) means
subject to requirements with respect to those actions consistent with perma-
financial protection established by the nent remedy taken instead of, or in ad-
Nuclear Regulatory Commission under dition to, removal action in the event
section 170 of such Act, or, for the pur- of a release or threatened release of a
poses of section 104 of CERCLA or any hazardous substance into the environ-
other response action, any release of ment, to prevent or minimize the re-
source, byproduct, or special nuclear lease of hazardous substances so that
material from any processing site des- they do not migrate to cause substan-
ignated under section 102(a)(1) or 302(a) tial danger to present or future public
of the Uranium Mill Tailings Radiation health or welfare or the environment.
Control Act of 1978 (42 U.S.C. 7901 et The term includes, but is not limited
seq.); and the normal application of to, such actions at the location of the
fertilizer. For purposes of the NCP, re- release as storage, confinement, perim-
lease also means threat of release. eter protection using dikes, trenches,
Relevant and appropriate requirements or ditches, clay cover, neutralization,
means those cleanup standards, stand- cleanup of released hazardous sub-
ards of control, and other substantive stances and associated contaminated
requirements, criteria, or limitations materials, recycling or reuse, diver-
promulgated under federal environ- sion, destruction, segregation of reac-
mental or state environmental or facil- tive wastes, dredging or excavations,
ity siting laws that, while not ‘‘appli- repair or replacement of leaking con-
cable’’ to a hazardous substance, pol- tainers, collection of leachate and run-
lutant, contaminant, remedial action, off, on-site treatment or incineration,
location, or other circumstance at a provision of alternative water supplies,
CERCLA site, address problems or situ- any monitoring reasonably required to
ations sufficiently similar to those en- assure that such actions protect the
countered at the CERCLA site that public health and welfare and the envi-
their use is well suited to the par- ronment and, where appropriate, post-
ticular site. Only those state standards removal site control activities. The
that are identified in a timely manner term includes the costs of permanent
and are more stringent than federal re- relocation of residents and businesses
quirements may be relevant and appro- and community facilities (including
priate. the cost of providing ‘‘alternative land
Remedial design (RD) means the tech- of equivalent value’’ to an Indian tribe
nical analysis and procedures which pursuant to CERCLA section 126(b))
follow the selection of remedy for a where EPA determines that, alone or
site and result in a detailed set of plans in combination with other measures,
and specifications for implementation such relocation is more cost-effective
of the remedial action. than, and environmentally preferable
Remedial investigation (RI) is a process to, the transportation, storage, treat-
undertaken by the lead agency to de- ment, destruction, or secure disposi-
termine the nature and extent of the tion off-site of such hazardous sub-
problem presented by the release. The stances, or may otherwise be necessary
RI emphasizes data collection and site to protect the public health or welfare;
characterization, and is generally per- the term includes off-site transport and
formed concurrently and in an inter- off-site storage, treatment, destruc-
active fashion with the feasibility tion, or secure disposition of hazardous
study. The RI includes sampling and substances and associated contami-
monitoring, as necessary, and includes nated materials. For the purpose of the
the gathering of sufficient information NCP, the term also includes enforce-
to determine the necessity for remedial ment activities related thereto.
action and to support the evaluation of Remove or removal as defined by sec-
remedial alternatives. tion 311(a)(8) of the CWA, refers to con-
Remedial project manager (RPM) tainment and removal of oil or haz-

means the official designated by the ardous substances from the water and
15
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
shorelines or the taking of such other (1) Vessels—In the case of a vessel,
actions as may be necessary to mini- any person owning, operating, or de-
mize or mitigate damage to the public mise chartering the vessel.
health or welfare of the United States (2) Onshore Facilities—In the case of
(including, but not limited to, fish, an onshore facility (other than a pipe-
shellfish, wildlife, public and private line), any person owning or operating
property, and shorelines and beaches) the facility, except a federal agency,
or to the environment. For the purpose state, municipality, commission, or po-
of the NCP, the term also includes litical subdivision of a state, or any
monitoring of action to remove a dis- interstate body, that as the owner
charge. As defined by section 101(23) of transfers possession and right to use
CERCLA, remove or removal means the property to another person by
the cleanup or removal of released haz- lease, assignment, or permit.
ardous substances from the environ- (3) Offshore Facilities—In the case of
ment; such actions as may be nec- an offshore facility (other than a pipe-
essary taken in the event of the threat line or a deepwater port licensed under
of release of hazardous substances into the Deepwater Port Act of 1974 (33
the environment; such actions as may U.S.C. 1501 et seq.)), the lessee or per-
be necessary to monitor, assess, and mittee of the area in which the facility
evaluate the release or threat of re- is located or the holder of a right of use
lease of hazardous substances; the dis- and easement granted under applicable
posal of removed material; or the tak- state law or the Outer Continental
ing of such other actions as may be Shelf Lands Act (43 U.S.C. 1301–1356) for
necessary to prevent, minimize, or the area in which the facility is located
mitigate damage to the public health (if the holder is a different person than
or welfare of the United States or to the lessee or permittee), except a fed-
the environment, which may otherwise eral agency, state, municipality, com-
result from a release or threat of re- mission, or political subdivision of a
lease. The term includes, in addition, state, or any interstate body, that as
owner transfers possession and right to
without being limited to, security fenc-
use the property to another person by
ing or other measures to limit access,
lease, assignment, or permit.
provision of alternative water supplies,
(4) Deepwater Ports—In the case of a
temporary evacuation and housing of
deepwater port licensed under the
threatened individuals not otherwise
Deepwater Port Act of 1974 (33 U.S.C.
provided for, action taken under sec-
1501–1524), the licensee.
tion 104(b) of CERCLA, post-removal
(5) Pipelines—In the case of a pipe-
site control, where appropriate, and
line, any person owning or operating
any emergency assistance which may
the pipeline.
be provided under the Disaster Relief
(6) Abandonment—In the case of an
Act of 1974. For the purpose of the NCP, abandoned vessel, onshore facility,
the term also includes enforcement ac- deepwater port, pipeline, or offshore fa-
tivities related thereto. cility, the person who would have been
Removal costs as defined by section responsible parties immediately prior
1001 of the OPA means the costs of re- to the abandonment of the vessel or fa-
moval that are incurred after a dis- cility.
charge of oil has occurred, or in any SARA is the Superfund Amendments
case in which there is a substantial and Reauthorization Act of 1986. In ad-
threat of a discharge of oil, the costs to dition to certain free-standing provi-
prevent, minimize, or mitigate oil pol- sions of law, it includes amendments to
lution from such an incident. CERCLA, the Solid Waste Disposal
Respond or response as defined by sec- Act, and the Internal Revenue Code.
tion 101(25) of CERCLA, means remove, Among the free-standing provisions of
removal, remedy, or remedial action, law is Title III of SARA, also known as
including enforcement activities re- the ‘‘Emergency Planning and Commu-
lated thereto. nity Right-to-Know Act of 1986’’ and
Responsible party as defined by sec- Title IV of SARA, also known as the
tion 1001 of the OPA, means the fol- ‘‘Radon Gas and Indoor Air Quality Re-
lowing: search Act of 1986.’’ Title V of SARA
16
amending the Internal Revenue Code is pollutant(s), or contaminant(s) that

also known as the ‘‘Superfund Revenue poses minimal threat to public health
Act of 1986.’’ or welfare of the United States or the
Sinking agents means those additives environment.
applied to oil discharges to sink float- (2) Medium release means a release
ing pollutants below the water surface. not meeting the criteria for classifica-
Site inspection (SI) means an on-site tion as a minor or major release.
investigation to determine whether (3) Major release means a release of
there is a release or potential release any quantity of hazardous sub-
and the nature of the associated stance(s), pollutant(s), or contami-
threats. The purpose is to augment the nant(s) that poses a substantial threat
data collected in the preliminary as- to public health or welfare of the
sessment and to generate, if necessary, United States or the environment or
sampling and other field data to deter- results in significant public concern.
mine if further action or investigation Sorbents means essentially inert and
is appropriate. insoluble materials that are used to re-
Size classes of discharges refers to the move oil and hazardous substances
following size classes of oil discharges from water through adsorption, in
which are provided as guidance to the which the oil or hazardous substance is
OSC and serve as the criteria for the attracted to the sorbent surface and
actions delineated in subpart D. They then adheres to it; absorption, in which
are not meant to imply associated de- the oil or hazardous substance pene-
grees of hazard to public health or wel- trates the pores of the sorbent mate-
fare of the United States, nor are they rial; or a combination of the two.
a measure of environmental injury. Sorbents are generally manufactured
Any oil discharge that poses a substan- in particulate form for spreading over
tial threat to public health or welfare an oil slick or as sheets, rolls, pillows,
of the United States or the environ- or booms. The sorbent material may
ment or results in significant public consist of, but is not limited to, the
concern shall be classified as a major following materials:
discharge regardless of the following (1) Organic products—
quantitative measures: (i) Peat moss or straw;
(1) Minor discharge means a dis- (ii) Cellulose fibers or cork;
charge to the inland waters of less than (iii) Corn cobs;
1,000 gallons of oil or a discharge to the (iv) Chicken, duck, or other bird
coastal waters of less than 10,000 gal- feathers.
lons of oil.
(2) Mineral compounds—
(2) Medium discharge means a dis-
(i) Volcanic ash or perlite;
charge of 1,000 to 10,000 gallons of oil to
the inland waters or a discharge of (ii) Vermiculite or zeolite.
10,000 to 100,000 gallons of oil to the (3) Synthetic products—
coastal waters. (i) Polypropylene;
(3) Major discharge means a dis- (ii) Polyethylene;
charge of more than 10,000 gallons of (iii) Polyurethane;
oil to the inland waters or more than (iv) Polyester.
100,000 gallons of oil to the coastal wa- Source control action is the construc-
ters. tion or installation and start-up of
Size classes of releases refers to the those actions necessary to prevent the
following size classifications which are continued release of hazardous sub-
provided as guidance to the OSC for stances or pollutants or contaminants
meeting pollution reporting require- (primarily from a source on top of or
ments in subpart B. The final deter- within the ground, or in buildings or
mination of the appropriate classifica- other structures) into the environ-
tion of a release will be made by the ment.
OSC based on consideration of the par- Source control maintenance measures
ticular release (e.g., size, location, im- are those measures intended to main-
pact, etc.): tain the effectiveness of source control
(1) Minor release means a release of a actions once such actions are operating
quantity of hazardous substance(s), and functioning properly, such as the
17
§ 300.5 40 CFR Ch. I (7–1–08 Edition)
maintenance of landfill caps and leach- surances before a federal-lead remedial

ate collection systems. action can begin at a site. In the case
Specified ports and harbors means of a political subdivision-lead remedial
those ports and harbor areas on inland response, a three-party Superfund state
rivers, and land areas immediately ad- contract among EPA, the state, and
jacent to those waters, where the political subdivision thereof, is re-
USCG acts as predesignated on-scene quired before a political subdivision
coordinator. Precise locations are de- takes the lead for any phase of reme-
termined by EPA/USCG regional agree- dial response to ensure state involve-
ments and identified in federal Re- ment pursuant to section 121(f)(1) of
gional Contingency Plans and Area CERCLA. The Superfund state contract
Contingency Plans. may be amended to provide the state’s
Spill of national significance (SONS) CERCLA section 104 assurances before
means a spill that due to its severity, a political subdivision can take the
size, location, actual or potential im-
lead for remedial action.
pact on the public health and welfare
Support agency means the agency or
or the environment, or the necessary
response effort, is so complex that it agencies that provide the support agen-
requires extraordinary coordination of cy coordinator to furnish necessary
federal, state, local, and responsible data to the lead agency, review re-
party resources to contain and clean up sponse data and documents, and pro-
the discharge. vide other assistance as requested by
State means the several states of the the OSC or RPM. EPA, the USCG, an-
United States, the District of Colum- other federal agency, or a state may be
bia, the Commonwealth of Puerto Rico, support agencies for a response action
Guam, American Samoa, the U.S. Vir- if operating pursuant to a contract exe-
gin Islands, the Commonwealth of the cuted under section 104(d)(1) of
Northern Marianas, and any other ter- CERCLA or designated pursuant to a
ritory or possession over which the Superfund Memorandum of Agreement
United States has jurisdiction. For entered into pursuant to subpart F of
purposes of the NCP, the term includes the NCP or other agreement. The sup-
Indian tribes as defined in the NCP ex- port agency may also concur on deci-
cept where specifically noted. Section sion documents.
126 of CERCLA provides that the gov- Support agency coordinator (SAC)
erning body of an Indian tribe shall be means the official designated by the
afforded substantially the same treat- support agency, as appropriate, to
ment as a state with respect to certain interact and coordinate with the lead
provisions of CERCLA. Section agency in response actions under sub-
300.515(b) of the NCP describes the re- part E of this part.
quirements pertaining to Indian tribes Surface collecting agents means those
that wish to be treated as states under chemical agents that form a surface
CERCLA. film to control the layer thickness of
Superfund Memorandum of Agreement oil.
(SMOA) means a nonbinding, written
Surface washing agent is any product
document executed by an EPA Re-
that removes oil from solid surfaces,
gional Administrator and the head of a
such as beaches and rocks, through a
state agency that may establish the
detergency mechanism and does not in-
nature and extent of EPA and state
interaction during the removal, pre-re- volve dispersing or solubilizing the oil
medial, remedial, and/or enforcement into the water column.
response process. The SMOA is not a Tank vessel as defined by section 1001
site-specific document although at- of the OPA means a vessel that is con-
tachments may address specific sites. structed or adapted to carry, or that
The SMOA generally defines the role carries oil or hazardous material in
and responsibilities of both the lead bulk as cargo or cargo residue, and
and the support agencies. that:
Superfund state contract is a joint, le- (1) is a vessel of the United States;
gally binding agreement between EPA (2) operates on the navigable waters;
and a state to obtain the necessary as- or
18
(3) transfers oil or hazardous mate- agency which has authority to accept
rial in a place subject to the jurisdic- volunteer services (examples: See 16
tion of the United States. U.S.C. 742f(c)). A volunteer is subject to
Threat of discharge or release, see defi- the provisions of the authorizing stat-
nitions for discharge and release. ute and the NCP.
Threat of release, see definition for re- Worst case discharge as defined by sec-
lease. tion 311(a)(24) of the CWA, means, in
Treatment technology means any unit the case of a vessel, a discharge in ad-
operation or series of unit operations verse weather conditions of its entire
that alters the composition of a haz- cargo, and, in the case of an offshore
ardous substance or pollutant or con- facility or onshore facility, the largest
taminant through chemical, biological, foreseeable discharge in adverse weath-
or physical means so as to reduce tox- er conditions.
icity, mobility, or volume of the con- 59 FR 47416, Sept. 15, 1994, as amended
taminated materials being treated. at 60 FR 16054, March 29, 1995]
Treatment technologies are an alter-
native to land disposal of hazardous § 300.6 Use of number and gender.
wastes without treatment.
Trustee means an official of a federal As used in this regulation, words in
natural resources management agency the singular also include the plural and
designated in subpart G of the NCP or words in the masculine gender also in-
a designated state official or Indian clude the feminine and vice versa, as
tribe or, in the case of discharges cov- the case may require.
ered by the OPA, a foreign government
§ 300.7 Computation of time.
official, who may pursue claims for
damages under section 107(f) of In computing any period of time pre-
CERCLA or section 1006 of the OPA. scribed or allowed in these rules of
United States when used in relation to practice, except as otherwise provided,
section 311(a)(5) of the CWA, means the the day of the event from which the
states, the District of Columbia, the designated period begins to run shall
Commonwealth of Puerto Rico, the not be included. Saturdays, Sundays,
Northern Mariana Islands, Guam, and federal legal holidays shall be in-
American Samoa, the United States cluded. When a stated time expires on
Virgin Islands, and the Pacific Island a Saturday, Sunday, or legal holiday,
Governments. United States, when the stated time period shall be ex-
used in relation to section 101(27) of tended to include the next business
CERCLA and section 1001(36) of the day.
OPA, includes the several states of the
United States, the District of Colum- Subpart B—Responsibility and
bia, the Commonwealth of Puerto Rico, Organization for Response
Guam, American Samoa, the United
States Virgin Islands, the Common-
wealth of the Northern Marianas, and SOURCE: 59 FR 47424, Sept. 15, 1994, unless
otherwise noted.
any other territory or possession over
which the United States has jurisdic-
§ 300.100 Duties of President delegated
tion. to federal agencies.
Vessel as defined by section 101(28) of
CERCLA, means every description of In Executive Orders 12580 and 12777,
watercraft or other artificial contriv- the President delegated certain func-
ance used, or capable of being used, as tions and responsibilities vested in him
a means of transportation on water; by the CWA, CERCLA, and the OPA.
and, as defined by section 311(a)(3) of
the CWA, means every description of § 300.105 General organization con-
cepts.
watercraft or other artificial contriv-
ance used, or capable of being used, as (a) Federal agencies should:
a means of transportation on water (1) Plan for emergencies and develop
other than a public vessel. procedures for addressing oil dis-
Volunteer means any individual ac- charges and releases of hazardous sub-
cepted to perform services by the lead stances, pollutants, or contaminants;
19
§ 300.105 40 CFR Ch. I (7–1–08 Edition)
(2) Coordinate their planning, pre- before response actions, and for pro-
paredness, and response activities with viding advice and support to the OSC
one another; or RPM when activated during a re-
(3) Coordinate their planning, pre- sponse. RRT membership consists of
paredness, and response activities with designated representatives from each
affected states, local governments, and federal agency participating in the
private entities; and NRT together with state and (as agreed
(4) Make available those facilities or upon by the states) local government
resources that may be useful in a re- representatives.
sponse situation, consistent with agen- (3) The OSC and the RPM, primarily
cy authorities and capabilities. responsible for directing response ef-
(b) Three fundamental kinds of ac- forts and coordinating all other efforts
tivities are performed pursuant to the at the scene of a discharge or release.
NCP: The other responsibilities of OSCs and
(1) Preparedness planning and coordi- RPMs are described in § 300.135.
nation for response to a discharge of oil (4) Area Committees, responsible for
or release of a hazardous substance, developing, under direction of the OSC,
pollutant, or contaminant; ACPs for each area designated by the
(2) Notification and communications; President. Responsibilities of Area
and Committees are described in
(3) Response operations at the scene § 300.205(c).
of a discharge or release. (d) The basic framework for the re-
(c) The organizational elements cre- sponse management structure is a sys-
ated to perform these activities are: tem (e.g., a unified command system)
(1) The NRT, responsible for national that brings together the functions of
response and preparedness planning, the Federal Government, the state gov-
for coordinating regional planning, and ernment, and the responsible party to
for providing policy guidance and sup- achieve an effective and efficient re-
port to the Regional Response Teams sponse, where the OSC maintains au-
(RRTs). NRT membership consists of thority.
representatives from the agencies spec- (e)(1) The organizational concepts of
ified in § 300.175(b). the national response system are de-
(2) RRTs, responsible for regional picted in the following Figures 1a and
planning and preparedness activities 1b:
20
21
EC02AU92.000</GPH>
§ 300.105 40 CFR Ch. I (7–1–08 Edition)
22
EC02AU92.001</GPH>
(2) The standard federal regional RRTs) are shown in the following Fig-
boundaries (which are also the geo- ure 2:
graphic areas of responsibility for the
23
EC02AU92.002</GPH>
§ 300.110 40 CFR Ch. I (7–1–08 Edition)
(3) The USCG District boundaries are

shown in the following Figure 3:
[59 FR 47424, Sept. 15, 1994, as amended at 72 § 300.110 National Response Team.
FR 31753, June 8, 2007]
National planning and coordination
is accomplished through the NRT.
24
ER08JN07.004</GPH>
(a) The NRT consists of representa- (2) Publishing guidance documents

tives from the agencies named in for preparation and implementation of
§ 300.175(b). Each agency shall designate SARA Title III local emergency re-
a member to the team and sufficient sponse plans;
alternates to ensure representation, as (3) Monitoring incoming reports from
agency resources permit. The NRT will all RRTs and activating for a response
consider requests for membership on action, when necessary;
the NRT from other agencies. Other (4) Coordinating a national program
agencies may request membership by to assist member agencies in prepared-
forwarding such requests to the chair ness planning and response, and en-
of the NRT. hancing coordination of member agen-
(b) The chair of the NRT shall be the cy preparedness programs;
representative of EPA and the vice (5) Developing procedures, in coordi-
chair shall be the representative of the nation with the NSFCC, as appropriate,
USCG, with the exception of periods of to ensure the coordination of federal,
activation because of response action. state, and local governments, and pri-
During activation, the chair shall be vate response to oil discharges and re-
the member agency providing the OSC/ leases of hazardous substances, pollut-
RPM. The vice chair shall maintain ants, or contaminants;
records of NRT activities along with (6) Monitoring response-related re-
national, regional, and area plans for search and development, testing, and
response actions. evaluation activities of NRT agencies
(c) While the NRT desires to achieve to enhance coordination, avoid duplica-
a consensus on all matters brought be- tion of effort, and facilitate research in
fore it, certain matters may prove support of response activities;
unresolvable by this means. In such
(7) Developing recommendations for
cases, each agency serving as a partici-
response training and for enhancing
pating agency on the NRT may be ac-
the coordination of available resources
corded one vote in NRT proceedings.
among agencies with training respon-
(d) The NRT may establish such by- sibilities under the NCP;
laws and committees as it deems ap-
(8) Reviewing regional responses to
propriate to further the purposes for
oil discharges and hazardous substance,
which it is established.
pollutant, or contaminant releases, in-
(e) The NRT shall evaluate methods
cluding an evaluation of equipment
of responding to discharges or releases;
readiness and coordination among re-
shall recommend any changes needed
sponsible public agencies and private
in the response organization; and shall
organizations; and
recommend to the Administrator of
EPA changes to the NCP designed to (9) Assisting in developing a national
improve the effectiveness of the na- exercise program, in coordination with
tional response system, including the NSFCC, to ensure preparedness and
drafting of regulatory language. coordination nationwide.
(f) The NRT shall provide policy and (i) The NRT will consider matters re-
program direction to the RRTs. ferred to it for advice or resolution by
(g) The NRT may consider and make an RRT.
recommendations to appropriate agen- (j) The NRT should be activated as an
cies on the training, equipping, and emergency response team:
protection of response teams and nec- (1) When an oil discharge or haz-
essary research, development, dem- ardous substance release:
onstration, and evaluation to improve (i) Exceeds the response capability of
response capabilities. the region in which it occurs;
(h) Direct planning and preparedness (ii) Transects regional boundaries; or
responsibilities of the NRT include: (iii) Involves a substantial threat to
(1) Maintaining national prepared- the public health or welfare of the
ness to respond to a major discharge of United States or the environment, sub-
oil or release of a hazardous substance, stantial amounts of property, or sub-
pollutant, or contaminant that is be- stantial threats to natural resources;

yond regional capabilities; (2) If requested by any NRT member.
25
§ 300.115 40 CFR Ch. I (7–1–08 Edition)
(k) When activated for a response ac- RRT. The role of the standing RRT in-
tion, the NRT shall meet at the call of cludes communications systems and
the chair and may: procedures, planning, coordination,
(1) Monitor and evaluate reports from training, evaluation, preparedness, and
the OSC/RPM and recommend to the related matters on a regionwide basis.
OSC/RPM, through the RRT, actions to It also includes coordination of Area
combat the discharge or release; Committees for these functions in
(2) Request other federal, state, and areas within their respective regions,
local governments, or private agencies, as appropriate.
to provide resources under their exist- (2) The role of the incident-specific
ing authorities to combat a discharge team is determined by the operational
or release, or to monitor response oper- requirements of the response to a spe-
ations; and cific discharge or release. Appropriate
(3) Coordinate the supply of equip- levels of activation and/or notification
ment, personnel, or technical advice to of the incident-specific RRT, including
the affected region from other regions participation by state and local gov-
or districts. ernments, shall be determined by the
designated RRT chair for the incident,
§ 300.115 Regional Response Teams.
based on the RCP. The incident-spe-
(a) Regional planning and coordina- cific RRT supports the designated OSC/
tion of preparedness and response ac- RPM. The designated OSC/RPM directs
tions is accomplished through the response efforts and coordinates all
RRT. In the case of a discharge of oil, other efforts at the scene of a discharge
preparedness activities will be carried or release.
out in conjunction with Area Commit- (c) The representatives of EPA and
tees, as appropriate. The RRT agency the USCG shall act as co-chairs of
membership parallels that of the NRT, RRTs except when the RRT is acti-
as described in § 300.110, but also in- vated. When the RRT is activated for
cludes state and local representation. response actions, the chair shall be the
The RRT provides: member agency providing the OSC/
(1) The appropriate regional mecha-
RPM.
nism for development and coordination
(d) Each participating agency should
of preparedness activities before a re-
designate one member and at least one
sponse action is taken and for coordi-
nation of assistance and advice to the alternate member to the RRT. Agen-
OSC/RPM during such response ac- cies whose regional subdivisions do not
tions; and correspond to the standard federal re-
(2) Guidance to Area Committees, as gions may designate additional rep-
appropriate, to ensure inter-area con- resentatives to the standing RRT to
sistency and consistency of individual ensure appropriate coverage of the
ACPs with the RCP and NCP. standard federal region. Participating
(b) The two principal components of states may also designate one member
the RRT mechanism are a standing and at least one alternate member to
team, which consists of designated rep- the RRT. Indian tribal governments
resentatives from each participating may arrange for representation with
federal agency, state governments, and the RRT appropriate to their geo-
local governments (as agreed upon by graphical location. All agencies and
the states); and incident-specific teams states may also provide additional rep-
formed from the standing team when resentatives as observers to meetings
the RRT is activated for a response. On of the RRT.
incident-specific teams, participation (e) RRT members should designate
by the RRT member agencies will re- representatives and alternates from
late to the technical nature of the inci- their agencies as resource personnel for
dent and its geographic location. RRT activities, including RRT work
(1) The standing team’s jurisdiction planning, and membership on incident-
corresponds to the standard federal re- specific teams in support of the OSCs/
gions, except for Alaska, Oceania in RPMs.
the Pacific, and the Caribbean area, (f) Federal RRT members or their
each of which has a separate standing representatives should provide OSCs/
26
RPMs with assistance from their republic agencies and private organiza-
spective federal agencies commensu- tions, and recommend improvements;
rate with agency responsibilities, re- (3) Recommend revisions of the NCP
sources, and capabilities within the re- to the NRT, based on observations of
gion. During a response action, the response operations;
members of the RRT should seek to (4) Review OSC actions to ensure
make available the resources of their that RCPs and ACPs are effective;
agencies to the OSC/RPM as specified (5) Encourage the state and local re-
in the RCP and ACP. sponse community to improve its pre-
(g) RRT members should nominate paredness for response;
appropriately qualified representatives (6) In coordination with Area Com-
from their agencies to work with OSCs mittees and in accordance with any ap-
in developing and maintaining ACPs. plicable laws, regulations, or require-
(h) Affected states are encouraged to ments, conduct advance planning for
participate actively in all RRT activi- use of dispersants, surface washing
ties. Each state governor is requested agents, surface collecting agents, burn-
to assign an office or agency to rep- ing agents, bioremediation agents, or
resent the state on the appropriate other chemical agents in accordance
RRT; to designate representatives to with subpart J of this part;
work with the RRT in developing (7) Be prepared to provide response
RCPs; to plan for, make available, and resources to major discharges or re-
coordinate state resources; and to leases outside the region;
serve as the contact point for coordina- (8) Conduct or participate in training
tion of response with local government and exercises as necessary to encour-
agencies, whether or not represented age preparedness activities of the re-
on the RRT. The state’s RRT rep- sponse community within the region;
resentative should keep the State (9) Meet at least semiannually to re-
view response actions carried out dur-
Emergency Response Commission
ing the preceding period, consider
(SERC), described in § 300.205(d), ap-
changes in RCPs, and recommend
prised of RRT activities and coordinate
changes in ACPs;
RRT activities with the SERC. Local
(10) Provide letter reports on RRT ac-
governments are invited to participate
tivities to the NRT twice a year, no
in activities on the appropriate RRT as
later than January 31 and July 31. At a
provided by state law or as arranged by
minimum, reports should summarize
the state’s representative. Indian
recent activities, organizational
tribes are also invited to participate in
changes, operational concerns, and ef-
such activities.
forts to improve state and local coordi-
(i) The standing RRT shall rec- nation; and
ommend changes in the regional re- (11) Ensure maximum participation
sponse organization as needed, revise in the national exercise program for
the RCP as needed, evaluate the pre- announced and unannounced exercises.
paredness of the participating agencies (j)(1) The RRT may be activated by
and the effectiveness of ACPs for the the chair as an incident-specific re-
federal response to discharges and response team when a discharge or re-
leases, and provide technical assistance lease:
for preparedness to the response com- (i) Exceeds the response capability
munity. The RRT should: available to the OSC/RPM in the place
(1) Review and comment, to the ex- where it occurs;
tent practicable, on local emergency (ii) Transects state boundaries;
response plans or other issues related (iii) May pose a substantial threat to
to the preparation, implementation, or the public health or welfare of the
exercise of such plans upon request of a United States or the environment, or
local emergency planning committee; to regionally significant amounts of
(2) Evaluate regional and local re- property; or
sponses to discharges or releases on a (iv) Is a worst case discharge, as de-
continuing basis, considering available scribed in § 300.324. RCPs shall specify
legal remedies, equipment readiness, detailed criteria for activation of

and coordination among responsible RRTs.
27
§ 300.120 40 CFR Ch. I (7–1–08 Edition)
(2) The RRT will be activated during mines that the OSC/RPM no longer re-
any discharge or release upon a request quires RRT assistance.
from the OSC/RPM, or from any RRT (8) Notification of the RRT may be
representative, to the chair of the appropriate when full activation is not
RRT. Requests for RRT activation necessary, with systematic commu-
shall later be confirmed in writing. nication of pollution reports or other
Each representative, or an appropriate means to keep RRT members informed
alternate, should be notified imme- as to actions of potential concern to a
diately when the RRT is activated. particular agency, or to assist in later
(3) During prolonged removal or re- RRT evaluation of regionwide response
medial action, the RRT may not need effectiveness.
to be activated or may need to be acti- (k) Whenever there is insufficient na-
vated only in a limited sense, or may tional policy guidance on a matter be-
need to have available only those mem- fore the RRT, a technical matter re-
ber agencies of the RRT who are di- quiring solution, a question concerning
rectly affected or who can provide di- interpretation of the NCP, or a dis-
rect response assistance. agreement on discretionary actions
(4) When the RRT is activated for a among RRT members that cannot be
discharge or release, agency represent- resolved at the regional level, it may
atives shall meet at the call of the be referred to the NRT, described in
chair and may: § 300.110, for advice.
(i) Monitor and evaluate reports from
the OSC/RPM, advise the OSC/RPM on § 300.120 On-scene coordinators and
the duration and extent of response, remedial project managers: general
and recommend to the OSC/RPM spe- responsibilities.
cific actions to respond to the dis- (a) The OSC/RPM directs response ef-
charge or release; forts and coordinates all other efforts
(ii) Request other federal, state, or at the scene of a discharge or release.
local governments, or private agencies, As part of the planning and prepared-
to provide resources under their exist- ness for response, OSCs shall be
ing authorities to respond to a dis- predesignated by the regional or dis-
charge or release or to monitor re- trict head of the lead agency. EPA and
sponse operations; the USCG shall predesignate OSCs for
(iii) Help the OSC/RPM prepare infor- all areas in each region, except as pro-
mation releases for the public and for vided in paragraphs (c) and (d) of this
communication with the NRT; section. RPMs shall be assigned by the
(iv) If the circumstances warrant, lead agency to manage remedial or
make recommendations to the regional other response actions at NPL sites,
or district head of the agency providing except as provided in paragraphs (c)
the OSC/RPM that a different OSC/ and (d) of this section.
RPM should be designated; and (1) The USCG shall provide OSCs for
(v) Submit pollution reports to the oil discharges, including discharges
NRC as significant developments occur. from facilities and vessels under the ju-
(5) At the regional level, a Regional risdiction of another federal agency,
Response Center (RRC) may provide fa- within or threatening the coastal zone.
cilities and personnel for communica- The USCG shall also provide OSCs for
tions, information storage, and other the removal of releases of hazardous
requirements for coordinating re- substances, pollutants, or contami-
sponse. The location of each RRC nants into or threatening the coastal
should be provided in the RCP. zone, except as provided in paragraph
(6) When the RRT is activated, af- (b) of this section. The USCG shall not
fected states may participate in all provide predesignated OSCs for dis-
RRT deliberations. State government charges or releases from hazardous
representatives participating in the waste management facilities or in
RRT have the same status as any fed- similarly chronic incidents. The USCG
eral member of the RRT. shall provide an initial response to dis-
(7) The RRT can be deactivated when charges or releases from hazardous
the incident-specific RRT chair deter- waste management facilities within
28
the coastal zone in accordance with De- shall, as appropriate, be accomplished

partment of Transportation (DOT)/EPA in cooperation with the RRT, and des-
Instrument of Redelegation (May 27, ignated state and local representatives.
1988) except as provided by paragraph In contingency planning and removal,
(b) of this section. The USCG OSC shall the OSC coordinates, directs, and re-
contact the cognizant RPM as soon as views the work of other agencies, Area
it is evident that a removal may re- Committees, responsible parties, and
quire a follow-up remedial action, to contractors to assure compliance with
ensure that the required planning can the NCP, decision document, consent
be initiated and an orderly transition decree, administrative order, and lead
to an EPA or state lead can occur. agency-approved plans applicable to
(2) EPA shall provide OSCs for dis- the response.
charges or releases into or threatening (f) The RPM is the prime contact for
the inland zone and shall provide RPMs remedial or other response actions
for federally funded remedial actions, being taken (or needed) at sites on the
except in the case of state-lead feder- proposed or promulgated NPL, and for
ally funded response and as provided in sites not on the NPL but under the ju-
paragraph (b) of this section. EPA will risdiction, custody, or control of a fed-
also assume all remedial actions at eral agency. The RPM’s responsibilities
NPL sites in the coastal zone, even include:
where removals are initiated by the (1) Fund-financed response: The RPM
USCG, except as provided in paragraph coordinates, directs, and reviews the
(b) of this section. work of EPA, states and local govern-
(b) In general, USCG Captains of the ments, the U.S. Army Corps of Engi-
Port (COTP) shall serve as the des- neers, and all other agencies and con-
ignated OSCs for areas in the coastal tractors to assure compliance with the
zone for which an ACP is required NCP. Based upon the reports of these
under CWA section 311(j) and EPA Re- parties, the RPM recommends action
gional Administrators shall designate for decisions by lead agency officials.
OSCs for areas in the inland zone for The RPM’s period of responsibility be-
which an ACP is required under CWA gins prior to initiation of the remedial
section 311(j). investigation/feasibility study (RI/FS),
(c) For releases of hazardous sub- described in § 300.430, and continues
stances, pollutants, or contaminants, through design, remedial action, dele-
when the release is on, or the sole tion of the site from the NPL, and the
source of the release is from, any facil- CERCLA cost recovery activity. When
ity or vessel, including vessels a removal and remedial action occur at
bareboat-chartered and operated, under the same site, the OSC and RPM should
the jurisdiction, custody, or control of coordinate to ensure an orderly transi-
DOD, DOE, or other federal agency: tion of responsibility.
(1) In the case of DOD or DOE, DOD (2) Federal-lead non-Fund-financed
or DOE shall provide OSCs/RPMs re- response: The RPM coordinates, di-
sponsible for taking all response ac- rects, and reviews the work of other
tions; and agencies, responsible parties, and con-
(2) In the case of a federal agency tractors to assure compliance with the
other than EPA, DOD, or DOE, such NCP, Record of Decision (ROD), con-
agency shall provide OSCs for all resent decree, administrative order, and
moval actions that are not emergencies lead agency-approved plans applicable
and shall provide RPMs for all reme- to the response. Based upon the reports
dial actions. of these parties, the RPM shall rec-
(d) DOD will be the removal response ommend action for decisions by lead
authority with respect to incidents in- agency officials. The RPM’s period of
volving DOD military weapons and mu- responsibility begins prior to initiation
nitions or weapons and munitions of the RI/FS, described in § 300.430, and
under the jurisdiction, custody, or con- continues through design and remedial
trol of DOD. action and the CERCLA cost recovery
(e) The OSC is responsible for over- activity. The OSC and RPM shall en-
seeing development of the ACP in the sure orderly transition of responsibil-

area of the OSC’s responsibility. ACPs ities from one to the other.
29
§ 300.125 40 CFR Ch. I (7–1–08 Edition)
(3) The RPM shall participate in all calls accepted). (Notification details
decision-making processes necessary to appear in §§ 300.300 and 300.405.) The
ensure compliance with the NCP, in- NRC receives and immediately relays
cluding, as appropriate, agreements be- telephone notices of discharges or re-
tween EPA or other federal agencies leases to the appropriate predesignated
and the state. The RPM may also re- federal OSC. The telephone report is
view responses where EPA has distributed to any interested NRT
preauthorized a person to file a claim member agency or federal entity that
for reimbursement to determine that has established a written agreement or
the response was consistent with the understanding with the NRC. The NRC
terms of such preauthorization in cases evaluates incoming information and
where claims are filed for reimburse- immediately advises FEMA of a poten-
ment. tial major disaster situation.
(g)(1) Where a support agency has (b) The Commandant, USCG, in con-
been identified through a cooperative junction with other NRT agencies,
agreement, Superfund Memorandum of shall provide the necessary personnel,
Agreement (SMOA), or other agree- communications, plotting facilities,
ment, that agency may designate a and equipment for the NRC.
support agency coordinator (SAC) to (c) Notice of an oil discharge or re-
provide assistance, as requested, by the lease of a hazardous substance in an
OSC/RPM. The SAC is the prime rep- amount equal to or greater than the re-
resentative of the support agency for portable quantity must be made imme-
response actions. diately in accordance with 33 CFR part
(2) The SAC’s responsibilities may in- 153, subpart B, and 40 CFR part 302, re-
clude: spectively. Notification shall be made
(i) Providing and reviewing data and to the NRC Duty Officer, HQ USCG,
documents as requested by the OSC/ Washington, DC, telephone (800) 424–
RPM during the planning, design, and 8802 or (202) 267–2675. All notices of dis-
cleanup activities of the response ac- charges or releases received at the NRC
tion; and will be relayed immediately by tele-
(ii) Providing other assistance as re- phone to the OSC.
quested.
(h)(1) The lead agency should provide § 300.130 Determinations to initiate re-
appropriate training for its OSCs, sponse and special conditions.
RPMs, and other response personnel to (a) In accordance with CWA and
carry out their responsibilities under CERCLA, the Administrator of EPA or
the NCP. the Secretary of the department in
(2) OSCs/RPMs should ensure that which the USCG is operating, as appro-
persons designated to act as their on- priate, is authorized to act for the
scene representatives are adequately United States to take response meas-
trained and prepared to carry out ac- ures deemed necessary to protect the
tions under the NCP, to the extent public health or welfare or environ-
practicable. ment from discharges of oil or releases
of hazardous substances, pollutants, or
§ 300.125 Notification and communica- contaminants except with respect to
tions. such releases on or from vessels or fa-
(a) The National Response Center cilities under the jurisdiction, custody,
(NRC), located at USCG Headquarters, or control of other federal agencies.
is the national communications center, (b) The Administrator of EPA or the
continuously manned for handling ac- Secretary of the department in which
tivities related to response actions. the USCG is operating, as appropriate,
The NRC acts as the single point of is authorized to initiate and, in the
contact for all pollution incident re- case of a discharge posing a substantial
porting, and as the NRT communica- threat to public health or welfare of
tions center. Notice of discharges and the United States is required to ini-
releases must be made telephonically tiate and direct, appropriate response
through a toll free number or a special activities when the Administrator or
local number (Telecommunication De- Secretary determines that any oil or

vice for the Deaf (TDD) and collect CWA hazardous substance is discharged
30
or there is a substantial threat of such public health or welfare of the United

discharge from any vessel or offshore States or the environment because of a
or onshore facility into or on the navi- release of a CERCLA hazardous sub-
gable waters of the United States, on stance from a facility.
the adjoining shorelines to the navi- (e) Response actions to remove dis-
gable waters, into or on the waters of charges originating from operations
the exclusive economic zone, or that conducted subject to the Outer Conti-
may affect natural resources belonging nental Shelf Lands Act shall be in ac-
to, appertaining to, or under exclusive cordance with the NCP.
management authority of the United (f) Where appropriate, when a dis-
States; or charge or release involves radioactive
(c) The Administrator of EPA or the materials, the lead or support federal
Secretary of the department in which agency shall act consistent with the
the USCG is operating, as appropriate, notification and assistance procedures
is authorized to initiate appropriate re- described in the appropriate Federal
sponse activities when the Adminis- Radiological Plan. For the purpose of
trator or Secretary determines that the NCP, the FRERP (24 CFR part 2401)
any hazardous substance is released or is the appropriate plan. Most radio-
there is a threat of such a release into logical discharges and releases do not
the environment, or there is a release result in FRERP activation and should
or threat of release into the environ- be handled in accordance with the
ment of any pollutant or contaminant NCP. However, releases from nuclear
which may present an imminent and incidents subject to requirements for
substantial danger to the public health financial protection established by the
or welfare of the United States. Nuclear Regulatory Commission under
(d) In addition to any actions taken the Price-Anderson amendments (sec-
by a state or local government, the Ad- tion 170) of the Atomic Energy Act are
ministrator of EPA or the Secretary of specifically excluded from CERCLA
the department in which the USCG is and NCP requirements.
operating may request the U.S. Attor- (g) Removal actions involving nu-
ney General to secure the relief from clear weapons should be conducted in
any person, including the owner or op- accordance with the joint Department
erator of the vessel or facility nec- of Defense, Department of Energy, and
essary to abate a threat or, after notice FEMA Agreement for Response to Nu-
to the affected state, take any other clear Incidents and Nuclear Weapons
action authorized by section 311 of the Significant Incidents (January 8, 1981).
CWA or section 106 of CERCLA as ap- (h) If the situation is beyond the ca-
propriate, including issuing adminis- pability of state and local governments
trative orders, that may be necessary and the statutory authority of federal
to protect the public health or welfare, agencies, the President may, under the
if the Administrator or Secretary de- Disaster Relief Act of 1974, act upon a
termines: request by the governor and declare a
(1) That there may be an imminent major disaster or emergency and ap-
and substantial threat to the public point a Federal Coordinating Officer
health or welfare of the United States (FCO) to coordinate all federal disaster
or the environment of the United assistance activities. In such cases, the
States, including fish, shellfish, and OSC/RPM would continue to carry out
wildlife, public and private property, OSC/RPM responsibilities under the
shorelines, beaches, habitats, and other NCP, but would coordinate those ac-
living and nonliving natural resources tivities with the FCO to ensure consist-
under the jurisdiction or control of the ency with other federal disaster assist-
United States, because of an actual or ance activities.
threatened discharge of oil or a CWA (i) In the event of a declaration of a
hazardous substance from any vessel or major disaster by the President, the
offshore or onshore facility into or FEMA may activate the Federal Re-
upon the navigable waters of the sponse Plan (FRP). A FCO, designated
United States; or by the President, may implement the
(2) That there may be an imminent FRP and coordinate and direct emer-
and substantial endangerment to the gency assistance and disaster relief of
31
§ 300.135 40 CFR Ch. I (7–1–08 Edition)
impacted individuals, business, and § 300.322; the potential impact on nat-

public services under the Robert T. ural resources and property which may
Stafford Disaster Relief Act. Delivery be affected; priorities for protecting
of federal assistance is facilitated human health and welfare and the en-
through twelve functional annexes to vironment; and appropriate cost docu-
the FRP known as Emergency Support mentation.
Functions (ESFs). EPA coordinates ac- (d) The OSC’s/RPM’s efforts shall be
tivities under ESF #10—Hazardous Ma- coordinated with other appropriate fed-
terials, which addresses preparedness eral, state, local, and private response
and response to hazardous materials agencies. OSCs/RPMs may designate
and oil incidents caused by a natural capable persons from federal, state, or
disaster or other catastrophic event. In local agencies to act as their on-scene
such cases, the OSC/RPM should co- representatives. State and local gov-
ordinate response activities with the ernments, however, are not authorized
FCO, through the incident-specific ESF to take actions under subparts D and E
#10 Chair, to ensure consistency with of the NCP that involve expenditures of
federal disaster assistance activities. the Oil Spill Liability Trust Fund or
CERCLA funds unless an appropriate
§ 300.135 Response operations. contract or cooperative agreement has
(a) The OSC/RPM, consistent with been established. The basic framework
§§ 300.120 and 300.125, shall direct re- for the response management structure
sponse efforts and coordinate all other is a system (e.g., a unified command
efforts at the scene of a discharge or system), that brings together the func-
release. As part of the planning and tions of the federal government, the
preparation for response, the OSCs/ state government, and the responsible
RPMs shall be predesignated by the re- party to achieve an effective and effi-
gional or district head of the lead agen- cient response, where the OSC main-
cy. tains authority.
(b) The first federal official affiliated (e) The OSC/RPM should consult reg-
with an NRT member agency to arrive ularly with the RRT and NSFCC, as ap-
at the scene of a discharge or release propriate, in carrying out the NCP and
should coordinate activities under the keep the RRT and NSFCC, as appro-
NCP and is authorized to initiate, in priate, informed of activities under the
consultation with the OSC, any nec- NCP.
essary actions normally carried out by (f) The OSC/RPM shall advise the
the OSC until the arrival of the support agency as promptly as possible
predesignated OSC. This official may of reported releases.
initiate federal fund-financed actions (g) The OSC/RPM should evaluate in-
only as authorized by the OSC or, if the coming information and immediately
OSC is unavailable, the authorized rep- advise FEMA of potential major dis-
resentative of the lead agency. aster situations.
(c) The OSC/RPM shall, to the extent (h) In those instances where a pos-
practicable, collect pertinent facts sible public health emergency exists,
about the discharge or release, such as the OSC/RPM should notify the Depart-
its source and cause; the identification ment of Health and Human Services
of potentially responsible parties; the (HHS) representative to the RRT.
nature, amount, and location of dis- Throughout response actions, the OSC/
charged or released materials; the RPM may call upon the HHS represent-
probable direction and time of travel of ative for assistance in determining
discharged or released materials; public health threats and call upon the
whether the discharge is a worst case Occupational Safety and Health Ad-
discharge as discussed in § 300.324; the ministration (OSHA) and HHS for as-
pathways to human and environmental sistance on worker health and safety
exposure; the potential impact on issues.
human health, welfare, and safety and (i) All federal agencies should plan
the environment; whether the dis- for emergencies and develop procedures
charge or release poses a substantial for dealing with oil discharges and re-
threat to the public health or welfare leases of hazardous substances, pollut-

of the United States as discussed in ants, or contaminants from vessels and
32
facilities under their jurisdiction. All of a response operation. Should a dis-

federal agencies, therefore, are respon- charge or release affect two or more
sible for designating the office that co- areas, EPA, the USCG, DOD, DOE, or
ordinates response to such incidents in other lead agency, as appropriate, shall
accordance with the NCP and applica- give prime consideration to the area
ble federal regulations and guidelines. vulnerable to the greatest threat, in
(j)(1) The OSC/RPM shall ensure that determining which agency should pro-
the trustees for natural resources are vide the OSC and/or RPM. The RRT
promptly notified of discharges or re- shall designate the OSC and/or RPM if
leases. the RRT member agencies who have re-
(2) The OSC or RPM shall coordinate sponse authority within the affected
all response activities with the affected areas are unable to agree on the des-
natural resource trustees and, for dis- ignation. The NRT shall designate the
charges of oil, the OSC shall consult OSC and/or RPM if members of one
with the affected trustees on the appro- RRT or two adjacent RRTs are unable
priate removal action to be taken. to agree on the designation.
(k) Where the OSC/RPM becomes (c) Where the USCG has initially pro-
aware that a discharge or release may vided the OSC for response to a release
affect any endangered or threatened from hazardous waste management fa-
species or their habitat, the OSC/RPM cilities located in the coastal zone, re-
shall consult with the Department of sponsibility for response action shall
Interior (DOI), or the Department of shift to EPA or another federal agency,
Commerce (DOC) (NOAA) and, if appro- as appropriate.
priate, the cognizant federal land man-
aging agency. § 300.145 Special teams and other as-
(l) The OSC/RPM is responsible for sistance available to OSCs/RPMs.
addressing worker health and safety (a) The NSF is a special team estab-
concerns at a response scene, in accord- lished by the USCG, including the
ance with § 300.150. three USCG Strike Teams, the Public
(m) The OSC shall submit pollution Information Assist Team (PIAT), and
reports to the RRT and other appro- the NSFCC. The NSF is available to as-
priate agencies as significant develop- sist OSCs/RPMs in their preparedness
ments occur during response actions, and response duties.
through communications networks or (1) The three Strike Teams (Atlantic,
procedures agreed to by the RRT and Gulf, and Pacific) provide trained per-
covered in the RCP. sonnel and specialized equipment to as-
(n) OSCs/RPMs should ensure that all sist the OSC in training for spill re-
appropriate public and private inter- sponse, stabilizing and containing the
ests are kept informed and that their spill, and in monitoring or directing
concerns are considered throughout a the response actions of the responsible
response, to the extent practicable, parties and/or contractors. The OSC
consistent with the requirements of has a specific team designated for ini-
§ 300.155 of this part. tial contact and may contact that
team directly for any assistance.
§ 300.140 Multi-regional responses. (2) The NSFCC can provide the fol-
(a) If a discharge or release moves lowing support to the OSC:
from the area covered by one ACP or (i) Technical assistance, equipment
RCP into another area, the authority and other resources to augment the
for response actions should likewise OSC staff during spill response.
shift. If a discharge or release affects (ii) Assistance in coordinating the
areas covered by two or more ACPs or use of private and public resources in
RCPs, the response mechanisms of each support of the OSC during a response
applicable plan may be activated. In to or a threat of a worst case discharge
this case, response actions of all re- of oil.
gions concerned shall be fully coordi- (iii) Review of the area contingency
nated as detailed in the RCPs and plan, including an evaluation of equip-
ACPs. ment readiness and coordination
(b) There shall be only one OSC and/ among responsible public agencies and
or RPM at any time during the course private organizations.
33
§ 300.145 40 CFR Ch. I (7–1–08 Edition)
(iv) Assistance in locating spill re- opinions within the community are
sponse resources for both response and communicated to the OSC/RPM.
planning, using the NSFCC’s national (1) Generally, SSCs are provided by
and international computerized inven- NOAA in the coastal zones, and by EPA
tory of spill response resources. in the inland zone. OSC/RPM requests
(v) Coordination and evaluation of for SSC support can be made directly
pollution response exercises. to the SSC assigned to the area or to
(vi) Inspection of district the agency member of the RRT. NOAA
prepositioned pollution response equip- SSCs can also be requested through
ment. NOAA’s SSC program office in Seattle,
(3) PIAT is an element of the NSFCC WA. NOAA SSCs are assigned to USCG
staff which is available to assist OSCs Districts and are supported by a sci-
to meet the demands for public infor- entific support team that includes ex-
mation during a response or exercise. pertise in environmental chemistry, oil
Its use is encouraged any time the OSC slick tracking, pollutant transport
requires outside public affairs support. modeling, natural resources at risk, en-
Requests for PIAT assistance may be vironmental tradeoffs of counter-
made through the NSFCC or NRC. measures and cleanup, and information
(b)(1) The Environmental Response management.
Team (ERT) is established by EPA in (2) During a response, the SSC serves
accordance with its disaster and emer- on the federal OSC’s/RPM’s staff and
gency responsibilities. The ERT has ex- may, at the request of the OSC/RPM,
pertise in treatment technology, biol- lead the scientific team and be respon-
ogy, chemistry, hydrology, geology, sible for providing scientific support
and engineering. for operational decisions and for co-
(2) The ERT can provide access to ordinating on-scene scientific activity.
special decontamination equipment for Depending on the nature and location
chemical releases and advice to the of the incident, the SSC integrates ex-
OSC/RPM in hazard evaluation; risk as- pertise from governmental agencies,
sessment; multimedia sampling and universities, community representa-
analysis program; on-site safety, in- tives, and industry to assist the OSC/
cluding development and implementa- RPM in evaluating the hazards and po-
tion plans; cleanup techniques and pri- tential effects of releases and in devel-
orities; water supply decontamination oping response strategies.
and protection; application of (3) At the request of the OSC, the
dispersants; environmental assessment; SSC may facilitate the OSC’s work
degree of cleanup required; and dis- with the lead administrative trustee
posal of contaminated material. for natural resources to ensure coordi-
(3) The ERT also provides both intro- nation between damage assessment
ductory and intermediate level train- data collection efforts and data col-
ing courses to prepare response per- lected in support of response oper-
sonnel. ations.
(4) OSC/RPM or RRT requests for (4) SSCs support the Regional Re-
ERT support should be made to the sponse Teams and the Area Commit-
EPA representative on the RRT; EPA tees in preparing regional and area
Headquarters, Director, Emergency Re- contingency plans and in conducting
sponse Division; or the appropriate spill training and exercises. For area
EPA regional emergency coordinator. plans, the SSC provides leadership for
(c) Scientific Support Coordinators the synthesis and integration of envi-
(SSCs) may be designated by the OSC ronmental information required for
(and RPM in the case of EPA SSCs) as spill response decisions in support of
the principal advisors for scientific the OSC.
issues, communication with the sci- (d)(1) SUPSALV has an extensive sal-
entific community, and coordination of vage/search and recovery equipment in-
requests for assistance from state and ventory with the requisite knowledge
federal agencies regarding scientific and expertise to support these oper-
studies. The SSC strives for a con- ations, including specialized salvage,
sensus on scientific issues affecting the firefighting, and petroleum, oil and lu-
response, but ensures that differing bricants offloading capability.
34
(2) When possible, SUPSALV will ment, including marine firefighting

provide equipment for training exer- equipment, in its district, additional
cises in support of national and re- pre-positioned equipment, and a Dis-
gional contingency planning objec- trict Response Advisory Team (DRAT)
tives. that is available to provide support to
(3) The OSC/RPM may request assist- the OSC in the event that a spill ex-
ance directly from SUPSALV. Formal ceeds local response capabilities. Each
requests are routed through the Chief DRG:
of Naval Operations (N312). (i) Shall provide technical assistance,
(e) For marine salvage operations, equipment, and other resources, as
OSCs/RPMs with responsibility for available, when requested by an OSC
monitoring, evaluating, or supervising through the USCG representative to
these activities should request tech- the RRT;
nical assistance from DOD, the Strike (ii) Shall ensure maintenance of all
Teams, or commercial salvors as nec- USCG response equipment within its
essary to ensure that proper actions district;
are taken. Marine salvage operations (iii) May provide technical assistance
generally fall into five categories: in the preparation of the ACP; and
afloat salvage; offshore salvage; river (iv) Shall review each of those plans
and harbor clearance; cargo salvage; that affect its area of geographic re-
and rescue towing. Each category responsibility.
quires different knowledge and special- (2) In deciding where to locate per-
ized types of equipment. The com- sonnel and pre-positioned equipment,
plexity of such operations may be fur- the USCG shall give priority emphasis
ther compounded by local environ- to:
mental and geographic conditions. The
(i) The availability of facilities for
nature of marine salvage and the con-
loading and unloading heavy or bulky
ditions under which it occurs combine
equipment by barge;
to make such operations imprecise, dif-
(ii) The proximity to an airport capa-
ficult, hazardous, and expensive. Thus,
ble of supporting large military trans-
responsible parties or other persons at-
port aircraft;
tempting to perform such operations
without adequate knowledge, equip- (iii) The flight time to provide re-
ment, and experience could aggravate, sponse to oil spills in all areas of the
rather than relieve, the situation. Coast Guard district with the potential
(f) Radiological Emergency Response for marine casualties;
Teams (RERTs) have been established (iv) The availability of trained local
by EPA’s Office of Radiation Programs personnel capable of responding in an
(ORP) to provide response and support oil spill emergency; and
for incidents or sites containing radio- (v) Areas where large quantities of
logical hazards. Expertise is available petroleum products are transported.
in radiation monitoring, radionuclide (h) The NPFC is responsible for im-
analysis, radiation health physics, and plementing those portions of Title I of
risk assessment. RERTs can provide the OPA that have been delegated to
on-site support including mobile moni- the Secretary of the department in
toring laboratories for field analyses of which the Coast Guard is operating.
samples and fixed laboratories for The NPFC is responsible for addressing
radiochemical sampling and analyses. funding issues arising from discharges
Requests for support may be made 24 and threats of discharges of oil. The
hours a day via the NRC or directly to NPFC:
the EPA Radiological Response Coordi- (1) Issues Certificates of Financial
nator in the Office of Radiation Pro- Responsibility to owners and operators
grams. Assistance is also available of vessels to pay for costs and damages
from DOE and other federal agencies. that are incurred by their vessels as a
(g)(1) DRGs assist the OSC by pro- result of oil discharges;
viding technical assistance, personnel, (2) Provides funding for various re-
and equipment, including pre-posi- sponse organizations for timely abate-
tioned equipment. Each DRG consists ment and removal actions related to
of all Coast Guard personnel and equip- oil discharges;
35
§ 300.150 40 CFR Ch. I (7–1–08 Edition)
(3) Provides equitable compensation requirement of section 5(a)(1) of the

to claimants who sustain costs and OSH Act (29 U.S.C. 654(a)(1)). No action
damages from oil discharges when the by the lead agency with respect to re-
responsible party fails to do so; sponse activities under the NCP con-
(4) Recovers monies from persons lia- stitutes an exercise of statutory au-
ble for costs and damages resulting thority within the meaning of section
from oil discharges to the full extent of 4(b)(1) of the OSH Act. All govern-
liability under the law; and mental agencies and private employers
(5) Provides funds to initiate natural are directly responsible for the health
resource damage assessments. and safety of their own employees.
§ 300.150 Worker health and safety. § 300.155 Public information and com-
(a) Response actions under the NCP munity relations.
will comply with the provisions for re- (a) When an incident occurs, it is im-
sponse action worker safety and health perative to give the public prompt, ac-
in 29 CFR 1910.120. The NRS meets the curate information on the nature of
requirements of 29 CFR 1910.120 con- the incident and the actions underway
cerning use of an incident command to mitigate the damage. OSCs/RPMs
system. and community relations personnel
(b) In a response action taken by a
should ensure that all appropriate pub-
responsible party, the responsible
lic and private interests are kept in-
party must assure that an occupational
formed and that their concerns are
safety and health program consistent
considered throughout a response.
with 29 CFR 1910.120 is made available
They should coordinate with available
for the protection of workers at the re-
public affairs/community relations re-
sponse site.
sources to carry out this responsibility
(c) In a response taken under the
by establishing, as appropriate, a Joint
NCP by a lead agency, an occupational
safety and health program should be Information Center bringing together
made available for the protection of resources from federal and state agen-
workers at the response site, con- cies and the responsible party.
sistent with, and to the extent required (b) An on-scene news office may be
by, 29 CFR 1910.120. Contracts relating established to coordinate media rela-
to a response action under the NCP tions and to issue official federal infor-
should contain assurances that the mation on an incident. Whenever pos-
contractor at the response site will sible, it will be headed by a representa-
comply with this program and with tive of the lead agency. The OSC/RPM
any applicable provisions of the Occu- determines the location of the on-scene
pational Safety and Health Act of 1970 news office, but every effort should be
(29 U.S.C. 651 et seq.) (OSH Act) and made to locate it near the scene of the
state laws with plans approved under incident. If a participating agency be-
section 18 of the OSH Act. lieves public interest warrants the
(d) When a state, or political subdivi- issuance of statements and an on-scene
sion of a state, without an OSHA-ap- news office has not been established,
proved state plan is the lead agency for the affected agency should recommend
response, the state or political subdivi- its establishment. All federal news re-
sion must comply with standards in 40 leases or statements by participating
CFR part 311, promulgated by EPA pur- agencies should be cleared through the
suant to section 126(f) of SARA. OSC/RPM. Information dissemination
(e) Requirements, standards, and reg- relating to natural resource damage as-
ulations of the OSH Act and of state sessment activities shall be coordi-
OSH laws not directly referenced in nated through the lead administrative
paragraphs (a) through (d) of this sec- trustee. The designated lead adminis-
tion, must be complied with where ap- trative trustee may assist the OSC/
plicable. Federal OSH Act require- RPM by disseminating information on
ments include, among other things, issues relating to damage assessment
Construction Standards (29 CFR part activities. Following termination of re-
1926), General Industry Standards (29 moval activity, information dissemina-

CFR part 1910), and the general duty tion on damage assessment activities
36
shall be through the lead administra- ried out under existing programs and
tive trustee. authorities when available. Federal
(c) The community relations require- agencies are to make resources avail-
ments specified in §§ 300.415, 300.430, and able, expend funds, or participate in re-
300.435 apply to removal, remedial, and sponse to discharges and releases under
enforcement actions and are intended their existing authority. Interagency
to promote active communication be- agreements may be signed when nec-
tween communities affected by dis- essary to ensure that the federal re-
charges or releases and the lead agency sources will be available for a timely
responsible for response actions. Com- response to a discharge or release. The
munity Relations Plans (CRPs) are re- ultimate decision as to the appro-
quired by EPA for certain response ac- priateness of expending funds rests
tions. The OSC/RPM should ensure co- with the agency that is held account-
ordination with such plans which may able for such expenditures. Further
be in effect at the scene of a discharge funding provisions for discharges of oil
or release or which may need to be de- are described in § 300.335.
veloped during follow-up activities. (d) The Administrator of EPA and
the Administrator of the Agency for
§ 300.160 Documentation and cost re- Toxic Substances and Disease Registry
covery. (ATSDR) shall assure that the costs of
(a) For releases of a hazardous sub- health assessment or health effect
stance, pollutant, or contaminant, the studies conducted under the authority
following provisions apply: of CERCLA section 104(i) are docu-
(1) During all phases of response, the mented in accordance with standard
lead agency shall complete and main- EPA procedures for cost recovery. Doc-
tain documentation to support all ac- umentation shall include information
tions taken under the NCP and to form on the nature of the hazardous sub-
the basis for cost recovery. In general, stances addressed by the research, in-
documentation shall be sufficient to formation concerning the locations
provide the source and circumstances where these substances have been
of the release, the identity of respon- found, and any available information
sible parties, the response action on response actions taken concerning
taken, accurate accounting of federal, these substances at the location.
state, or private party costs incurred
for response actions, and impacts and § 300.165 OSC reports.
potential impacts to the public health (a) As requested by the NRT or RRT,
and welfare and the environment. the OSC/RPM shall submit to the NRT
Where applicable, documentation shall or RRT a complete report on the re-
state when the NRC received notifica- moval operation and the actions taken.
tion of a release of a reportable quan- The RRT shall review the OSC report
tity. and send to the NRT a copy of the OSC
(2) The information and reports ob- report with its comments or rec-
tained by the lead agency for Fund-fi- ommendations within 30 days after the
nanced response actions shall, as ap- RRT has received the OSC report.
propriate, be transmitted to the chair (b) The OSC report shall record the
of the RRT. Copies can then be for- situation as it developed, the actions
warded to the NRT, members of the taken, the resources committed, and
RRT, and others as appropriate. the problems encountered.
(3) The lead agency shall make avail-
able to the trustees of affected natural § 300.170 Federal agency participation.
resources information and documenta- Federal agencies listed in § 300.175
tion that can assist the trustees in the have duties established by statute, ex-
determination of actual or potential ecutive order, or Presidential directive
natural resource injuries. which may apply to federal response
(b) For discharges of oil, documenta- actions following, or in prevention of,
tion and cost recovery provisions are the discharge of oil or release of a haz-
described in § 300.315. ardous substance, pollutant, or con-
(c) Response actions undertaken by taminant. Some of these agencies also

the participating agencies shall be car- have duties relating to the restoration,
37
§ 300.175 40 CFR Ch. I (7–1–08 Edition)
rehabilitation, replacement, or acquisi- erating as an agency in the United

tion of equivalent natural resources in- States Navy (USN) in time of war. The
jured or lost as a result of such dis- USCG provides the NRT vice chair, co-
charge or release as described in sub- chairs for the standing RRTs, and
part G of this part. The NRT, RRT, and predesignated OSCs for the coastal
Area Committee organizational struc- zone, as described in § 300.120(a)(1). The
ture, and the NCP, RCPs and ACPs, de- USCG maintains continuously manned
scribed in § 300.210, provide for agencies facilities which can be used for com-
to coordinate with each other in car- mand, control, and surveillance of oil
rying out these duties. discharges and hazardous substance re-
(a) Federal agencies may be called leases occurring in the coastal zone.
upon by an OSC/RPM during response
The USCG also offers expertise in do-
planning and implementation to pro-
mestic and international fields of port
vide assistance in their respective
areas of expertise, as described in safety and security, maritime law en-
§ 300.175, consistent with the agencies’ forcement, ship navigation and con-
capabilities and authorities. struction, and the manning, operation,
(b) In addition to their general re- and safety of vessels and marine facili-
sponsibilities, federal agencies should: ties. The USCG may enter into a con-
(1) Make necessary information tract or cooperative agreement with
available to the Secretary of the NRT, the appropriate state in order to imple-
RRTs, Area Committees, and OSCs/ ment a response action.
RPMs. (2) EPA chairs the NRT and co-
(2) Provide representatives to the chairs, with the USCG, the standing
NRT and RRTs and otherwise assist RRTs; provides predesignated OSCs for
RRTs and OSCs, as necessary, in for- all inland areas for which an ACP is re-
mulating RCPs and ACPs. quired under CWA section 311(j) and for
(3) Inform the NRT, RRTs, and Area discharges and releases occurring in
Committees, consistent with national the inland zone and RPMs for remedial
security considerations, of changes in actions except as otherwise provided;
the availability of resources that would and generally provides the SSC for re-
affect the operations implemented sponses in the inland zone. EPA pro-
under the NCP. vides expertise on human health and
(c) All federal agencies are respon-
ecological effects of oil discharges or
sible for reporting releases of haz-
releases of hazardous substances, pol-
ardous substances from facilities or
lutants, or contaminants; ecological
vessels under their jurisdiction or con-
trol in accordance with section 103 of and human health risk assessment
CERCLA. methods; and environmental pollution
(d) All federal agencies are encour- control techniques. Access to EPA’s
aged to report releases of pollutants or scientific expertise can be facilitated
contaminants and must report dis- through the EPA representative to the
charges of oil, as required in 40 CFR Research and Development Committee
part 110, from facilities or vessels of the National Response Team; the
under their jurisdiction or control to EPA Office of Research and Develop-
the NRC. ment’s Superfund Technical Liaisons
or Regional Scientists located in EPA
§ 300.175 Federal agencies: additional Regional offices; or through EPA’s Of-
responsibilities and assistance. fice of Science Planning and Regu-
(a) During preparedness planning or latory Evaluation. EPA also provides
in an actual response, various federal legal expertise on the interpretation of
agencies may be called upon to provide CERCLA and other environmental
assistance in their respective areas of statutes. EPA may enter into a con-
expertise, as indicated in paragraph (b) tract or cooperative agreement with
of this section, consistent with agency the appropriate state in order to imple-
legal authorities and capabilities. ment a response action.
(b) The federal agencies include:
(1) USCG, as provided in 14 U.S.C. 1–

3, is an agency in DOT, except when op-
38
(3) FEMA provides guidance, policy sel under its jurisdiction, custody, or
and program advice, and technical as- control, including vessels bareboat-
sistance in hazardous materials, chem- chartered and operated. In addition,
ical, and radiological emergency pre- under the FRERP, DOE provides advice
paredness activities (including plan- and assistance to other OSCs/RPMs for
ning, training, and exercising). FEMA’s emergency actions essential for the
primary point of contact for admin- control of immediate radiological haz-
istering financial and technical assist- ards. Incidents that qualify for DOE ra-
ance to state and local governments to diological advice and assistance are
support their efforts to develop and those believed to involve source, by-
maintain an effective emergency man- product, or special nuclear material or
agement and response capability is the other ionizing radiation sources, in-
Preparedness, Training, and Exercises cluding radium, and other naturally
Directorate. occurring radionuclides, as well as par-
(4) DOD has responsibility to take all ticle accelerators. Assistance is avail-
action necessary with respect to re- able through direct contact with the
leases where either the release is on, or appropriate DOE Radiological Assist-
the sole source of the release is from, ance Program Regional Office.
any facility or vessel under the juris- (6) The Department of Agriculture
diction, custody, or control of DOD. In (USDA) has scientific and technical ca-
addition to those capabilities provided pability to measure, evaluate, and
by SUPSALV, DOD may also, con- monitor, either on the ground or by use
sistent with its operational require- of aircraft, situations where natural re-
ments and upon request of the OSC, sources including soil, water, wildlife,
provide locally deployed USN oil spill and vegetation have been impacted by
equipment and provide assistance to fire, insects and diseases, floods, haz-
other federal agencies on request. The ardous substances, and other natural or
following two branches of DOD have man-caused emergencies. The USDA
particularly relevant expertise: may be contacted through Forest Serv-
(i) The United States Army Corps of ice emergency staff officers who are
Engineers has specialized equipment the designated members of the RRT.
and personnel for maintaining naviga- Agencies within USDA have relevant
tion channels, for removing navigation capabilities and expertise as follows:
obstructions, for accomplishing struc- (i) The Forest Service has responsi-
tural repairs, and for performing main- bility for protection and management
tenance to hydropower electric gener- of national forests and national grass-
ating equipment. The Corps can also lands. The Forest Service has per-
provide design services, perform con- sonnel, laboratory, and field capability
struction, and provide contract writing to measure, evaluate, monitor, and
and contract administrative services control as needed, releases of pesticides
for other federal agencies. and other hazardous substances on
(ii) The U.S. Navy Supervisor of Sal- lands under its jurisdiction.
vage (SUPSALV) is the branch of serv- (ii) The Agriculture Research Service
ice within DOD most knowledgeable (ARS) administers an applied and de-
and experienced in ship salvage, ship- velopmental research program in ani-
board damage control, and diving. The mal and plant protection and produc-
USN has an extensive array of special- tion; the use and improvement of soil,
ized equipment and personnel available water, and air; the processing, storage,
for use in these areas as well as special- and distribution of farm products; and
ized containment, collection, and re- human nutrition. The ARS has the ca-
moval equipment specifically designed pabilities to provide regulation of, and
for salvage-related and open-sea pollu- evaluation and training for, employees
tion incidents. exposed to biological, chemical, radio-
(5) DOE generally provides des- logical, and industrial hazards. In
ignated OSCs/RPMs that are respon- emergency situations, the ARS can
sible for taking all response actions identify, control, and abate pollution
with respect to releases where either in the areas of air, soil, wastes, pes-
the release is on, or the sole source of ticides, radiation, and toxic substances
the release is from, any facility or ves- for ARS facilities.
39
§ 300.175 40 CFR Ch. I (7–1–08 Edition)
(iii) The Soil Conservation Service guidance, and resources to other fed-
(SCS) has personnel in nearly every eral agencies as well as state and local
county in the nation who are knowl- governments.
edgeable in soil, agronomy, engineer- (i) The principal HHS response comes
ing, and biology. These personnel can from the U.S. Public Health Service
help to predict the effects of pollutants and is coordinated from the Office of
on soil and their movements over and the Assistant Secretary for Health, and
through soils. Technical specialists can various Public Health Service regional
assist in identifying potential haz- offices. Within the Public Health Serv-
ardous waste sites and provide review ice, the primary response to a haz-
and advice on plans for remedial meas- ardous materials emergency comes
ures. from Agency for Toxic Substances and
(iv) The Animal and Plant Health In- Disease Registry (ATSDR) and the Cen-
spection Service (APHIS) can respond ters for Disease Control (CDC). Both
in an emergency to regulate movement ATSDR and CDC have a 24-hour emer-
of diseased or infected organisms to gency response capability wherein sci-
prevent the spread and contamination entific and technical personnel are
of nonaffected areas. available to provide technical assist-
(v) The Food Safety and Inspection ance to the lead federal agency and
Service (FSIS) has responsibility to state and local response agencies on
prevent meat and poultry products human health threat assessment and
contaminated with harmful substances analysis, and exposure prevention and
from entering human food channels. In mitigation. Such assistance is used for
emergencies, the FSIS works with situations requiring evacuation of af-
other federal and state agencies to es- fected areas, human exposure to haz-
tablish acceptability for slaughter of ardous materials, and technical advice
exposed or potentially exposed animals on mitigation and prevention. CDC
and their products. In addition they takes the lead during petroleum re-
are charged with managing the Federal leases regulated under the CWA and
Radiological Emergency Response Pro- OPA while ATSDR takes the lead dur-
gram for the USDA. ing chemical releases under CERCLA.
(7) DOC, through NOAA, provides sci- Both agencies are mutually supportive.
entific support for response and contin- (ii) Other Public Health Service
gency planning in coastal and marine agencies involved in support during
areas, including assessments of the hazardous materials incidents either
hazards that may be involved, pre- directly or through ATSDR/CDC in-
dictions of movement and dispersion of clude the Food and Drug Administra-
oil and hazardous substances through tion, the Health Resources and Serv-
trajectory modeling, and information ices Administration, the Indian Health
on the sensitivity of coastal environ- Service, and the National Institutes of
ments to oil and hazardous substances Health.
and associated clean-up and mitigation (iii) Statutory authority for HHS/Na-
methods; provides expertise on living tional Institutes for Environmental
marine resources and their habitats, Health Sciences (NIEHS) involvement
including endangered species, marine in hazardous materials accident pre-
mammals and National Marine Sanc- vention is non-regulatory in nature
tuary ecosystems; provides informa- and focused on two primary areas for
tion on actual and predicted meteoro- preventing community and worker ex-
logical, hydrological, ice, and oceano- posure to hazardous materials releases:
graphic conditions for marine, coastal, Worker safety training and basic re-
and inland waters, and tide and cir- search activities. Under section 126 of
culation data for coastal and terri- SARA, NIEHS is given statutory au-
torial waters and for the Great Lakes. thority for supporting development of
(8) HHS assists with the assessment, curricula and model training programs
preservation, and protection of human for waste workers and chemical emer-
health and helps ensure the avail- gency responders.
ability of essential human services. Under section 118(b) of the Hazardous
HHS provides technical and nontech- Materials Transportation and Uniform

nical assistance in the form of advice, Safety Act (HMTUSA) (49 U.S.C. 1802 et
40
seq.), NIEHS also administers the (v) Minerals Management Service:

Hazmat Employee Training Program to Oversight of offshore oil and gas explo-
prepare curricula and training for haz- ration and production facilities and as-
ardous materials transportation work- sociated pipelines and pipeline facili-
ers. In the basic research arena, NIEHS ties under the Outer Continental Shelf
is authorized under section 311 of Lands Act and the CWA; oil spill re-
SARA to conduct a hazardous sub- sponse technology research; and estab-
stance basic research and training pro- lishing oil discharge contingency plan-
gram to evaluate toxic effects and as- ning requirements for offshore facili-
sess human health risks from acci- ties.
dental releases of hazardous materials.
(vi) Bureau of Mines: Analysis and
Under Title IX, section 901(h) of the
identification of inorganic hazardous
Clean Air Act Amendments, NIEHS
also is authorized to conduct basic re- substances and technical expertise in
search on air pollutants, as well as metals and metallurgy relevant to site
train physicians in environmental cleanup.
health. Federal research and training (vii) Office of Surface Mining: Coal
in hazardous materials release preven- mine wastes and land reclamation.
tion represents an important non-regu- (viii) National Park Service: General
latory activity and supplements ongo- biological, natural, and cultural re-
ing private sector programs. source managers to evaluate, measure,
(9) DOI may be contacted through monitor, and contain threats to park
Regional Environmental Officers system lands and resources; archae-
(REOs), who are the designated mem- ological and historical expertise in pro-
bers of RRTs. Department land man- tection, preservation, evaluation, im-
agers have jurisdiction over the na- pact mitigation, and restoration of cul-
tional park system, national wildlife tural resources; emergency personnel.
refuges and fish hatcheries, the public (ix) Bureau of Reclamation: Oper-
lands, and certain water projects in ation and maintenance of water
western states. In addition, bureaus projects in the West; engineering and
and offices have relevant expertise as
hydrology; and reservoirs.
follows:
(i) United States Fish and Wildlife (x) Bureau of Indian Affairs: Coordi-
Service (USFWS) and other Bureaus: nation of activities affecting Indian
Anadromous and certain other fishes lands; assistance in identifying Indian
and wildlife, including endangered and tribal government officials.
threatened species, migratory birds, (xi) Office of Territorial Affairs: As-
and certain marine mammals; waters sistance in implementing the NCP in
and wetlands; and effects on natural re- American Samoa, Guam, the Pacific Is-
sources. land Governments, the Northern Mar-
(ii) The National Biological Survey iana Islands, and the Virgin Islands.
performs research in support of biologi- (10) The Department of Justice (DOJ)
cal resource management; inventories, can provide expert advice on com-
monitors, and reports on the status and plicated legal questions arising from
trends in the Nation’s biotic resources; discharges or releases, and federal
and transfers the information gained in agency responses. In addition, the DOJ
research and monitoring to resource represents the federal government, in-
managers and others concerned with cluding its agencies, in litigation relat-
the care, use, and conservation of the ing to such discharges or releases.
Nation’s natural resources. The Na- Other legal issues or questions shall be
tional Biological Survey has labora- directed to the federal agency counsel
tory/research facilities.
for the agency providing the OSC/RPM
(iii) Geological Survey: Geology, hy-
for the response.
drology (ground water and surface
water), and natural hazards. (11) The Department of Labor (DOL),
(iv) Bureau of Land Management: through OSHA and the states operating
Minerals, soils, vegetation, wildlife, plans approved under section 18 of the
habitat, archaeology, and wilderness; OSH Act, has authority to conduct

and hazardous materials.
41
§ 300.180 40 CFR Ch. I (7–1–08 Edition)
safety and health inspections of haz- (14) The Nuclear Regulatory Commis-
ardous waste sites to assure that em- sion will respond, as appropriate, to re-
ployees are being protected and to de- leases of radioactive materials by its
termine if the site is in compliance licensees, in accordance with the NRC
with: Incident Response Plan (NUREG–0728)
(i) Safety and health standards and to monitor the actions of those licens-
regulations promulgated by OSHA (or ees and assure that the public health
the states) in accordance with section and environment are protected and
126 of SARA and all other applicable adequate recovery operations are insti-
standards; and tuted. The Nuclear Regulatory Com-
(ii) Regulations promulgated under mission will keep EPA informed of any
the OSH Act and its general duty significant actual or potential releases
clause. OSHA inspections may be self- in accordance with procedural agree-
generated, consistent with its program ments. In addition, the Nuclear Regu-
operations and objectives, or may be latory Commission will provide advice
conducted in response to requests from to the OSC/RPM when assistance is re-
EPA or another lead agency, or in required in identifying the source and
sponse to accidents or employee com- character of other hazardous substance
plaints. OSHA may also conduct in- releases where the Nuclear Regulatory
spections at hazardous waste sites in Commission has licensing authority for
those states with approved plans that activities utilizing radioactive mate-
choose not to exercise their jurisdic- rials.
tion to inspect such sites. On request,
(15) The General Services Adminis-
OSHA will provide advice and consulta-
tration (GSA) provides logistic and
tion to EPA and other NRT/RRT agen-
telecommunications support to federal
cies as well as to the OSC/RPM regard-
agencies. During an emergency situa-
ing hazards to persons engaged in re-
tion, GSA quickly responds to aid state
sponse activities. OSHA may also take
and local governments as directed by
any other action necessary to assure
other federal agencies. The type of sup-
that employees are properly protected
port provided might include leasing
at such response activities. Any ques-
and furnishing office space, setting up
tions about occupational safety and
health at these sites may be referred to telecommunications and transpor-
the OSHA Regional Office. tation services, and advisory assist-
(12) DOT provides response expertise ance.
pertaining to transportation of oil or
§ 300.180 State and local participation
hazardous substances by all modes of in response.
transportation. Through the Research
and Special Programs Administration (a) Each state governor is requested
(RSPA), DOT offers expertise in the re- to designate one state office/represent-
quirements for packaging, handling, ative to represent the state on the ap-
and transporting regulated hazardous propriate RRT. The state’s office/rep-
materials. DOT, through RSPA, estab- resentative may participate fully in all
lishes oil discharge contingency plan- activities of the appropriate RRT. Each
ning requirements for pipelines, trans- state governor is also requested to des-
port by rail and containers or bulk ignate a lead state agency that will di-
transport of oil. rect state-lead response operations.
(13) The Department of State (DOS) This agency is responsible for desig-
will lead in the development of inter- nating the lead state response official
national joint contingency plans. It for federal and/or state-lead response
will also help to coordinate an inter- actions, and coordinating/commu-
national response when discharges or nicating with any other state agencies,
releases cross international boundaries as appropriate. Local governments are
or involve foreign flag vessels. Addi- invited to participate in activities on
tionally, DOS will coordinate requests the appropriate RRT as may be pro-
for assistance from foreign govern- vided by state law or arranged by the
ments and U.S. proposals for con- state’s representative. Indian tribes
ducting research at incidents that wishing to participate should assign

occur in waters of other countries. one person or office to represent the
42
tribal government on the appropriate ment other aspects of those plans in

RRT. accordance with the requirements of 30
(b) Appropriate local and state offi- CFR part 254, 33 CFR parts 150, 154, and
cials (including Indian tribes) will par- 155; 40 CFR part 112; and 49 CFR parts
ticipate as part of the response struc- 171 and 194.
ture as provided in the ACP. (b) The technical and scientific infor-
(c) In addition to meeting the re- mation generated by the local commu-
quirements for local emergency plans nity, along with information from fed-
under SARA section 303, state and eral, state, and local governments,
local government agencies are encour- should be used to assist the OSC/RPM
aged to include contingency planning in devising response strategies where
for responses, consistent with the NCP, effective standard techniques are un-
RCP, and ACP in all emergency and available. Such information and strate-
disaster planning. gies will be incorporated into the ACP,
(d) For facilities not addressed under as appropriate. The SSC may act as li-
CERCLA or the CWA, states are en- aison between the OSC/RPM and such
couraged to undertake response actions interested organizations.
themselves or to use their authorities (c) ACPs shall establish procedures to
to compel potentially responsible par- allow for well organized, worthwhile,
ties to undertake response actions. and safe use of volunteers, including
(e) States are encouraged to enter compliance with § 300.150 regarding
into cooperative agreements pursuant worker health and safety. ACPs should
to sections 104 (c)(3) and (d) of CERCLA provide for the direction of volunteers
to enable them to undertake actions by the OSC/RPM or by other federal,
authorized under subpart E of the NCP. state, or local officials knowledgeable
Requirements for entering into these in contingency operations and capable
agreements are included in subpart F of providing leadership. ACPs also
of the NCP. A state agency that acts should identify specific areas in which
pursuant to such agreements is re- volunteers can be used, such as beach
ferred to as the lead agency. In the surveillance, logistical support, and
event there is no cooperative agree- bird and wildlife treatment. Unless spe-
ment, the lead agency can be des- cifically requested by the OSC/RPM,
ignated in a SMOA or other agreement. volunteers generally should not be used
(f) Because state and local public for physical removal or remedial ac-
safety organizations would normally be tivities. If, in the judgment of the OSC/
the first government representatives at RPM, dangerous conditions exist, vol-
the scene of a discharge or release, unteers shall be restricted from on-
they are expected to initiate public scene operations.
(d) Nongovernmental participation
safety measures that are necessary to
must be in compliance with the re-
protect public health and welfare and
quirements of subpart H of this part if
that are consistent with containment
any recovery of costs will be sought.
and cleanup requirements in the NCP,
and are responsible for directing evacu-
ations pursuant to existing state or Subpart C—Planning and
local procedures. Preparedness
§ 300.185 Nongovernmental participa- SOURCE: 59 FR 47440, Sept. 15, 1994, unless
tion. otherwise noted.
(a) Industry groups, academic organi-
zations, and others are encouraged to § 300.200 General.
commit resources for response oper- This subpart summarizes emergency
ations. Specific commitments should preparedness activities relating to dis-
be listed in the RCP and ACP. Those charges of oil and releases of hazardous
entities required to develop tank vessel substances, pollutants, or contami-
and facility response plans under CWA nants; describes the three levels of con-
section 311(j) must be able to respond tingency planning under the national
to a worst case discharge to the max- response system; and cross-references
imum extent practicable, and shall state and local emergency prepared-
commit sufficient resources to imple- ness activities under SARA Title III,
43
§ 300.205 40 CFR Ch. I (7–1–08 Edition)
also known as the ‘‘Emergency Plan- and coordinate their activities, and re-
ning and Community Right-to-Know view local emergency response plans,
Act of 1986’’ but referred to herein as which are described in § 300.215. The
‘‘Title III.’’ Regulations implementing SERC also is to establish procedures
Title III are codified at 40 CFR sub- for receiving and processing requests
chapter J. from the public for information gen-
erated by Title III reporting require-
§ 300.205 Planning and coordination ments and to designate an official to
structure.
serve as coordinator for information.
(a) National. As described in § 300.110, (e) Local. As provided by sections 301
the NRT is responsible for national and 303 of Title III, emergency plan-
planning and coordination. ning districts are designated by the
(b) Regional. As described in § 300.115, SERC in order to facilitate the prepa-
the RRTs are responsible for regional ration and implementation of emer-
planning and coordination. gency plans. Each LEPC is to prepare a
(c) Area. As required by section 311(j) local emergency response plan for the
of the CWA, under the direction of the
emergency planning district and estab-
federal OSC for its area, Area Commit-
lish procedures for receiving and proc-
tees comprising qualified personnel of
essing requests from the public for in-
federal, state, and local agencies shall
formation generated by Title III re-
be responsible for:
(1) Preparing an ACP for their areas porting requirements. The LEPC is to
(as described in § 300.210(c)); appoint a chair and establish rules for
(2) Working with appropriate federal, the LEPC. The LEPC is to designate an
state, and local officials to enhance the official to serve as coordinator for in-
contingency planning of those officials formation and designate in its plan a
and to assure pre-planning of joint re- community emergency coordinator.
sponse efforts, including appropriate (f) As required by section 311(j)(5) of
procedures for mechanical recovery, the CWA, a tank vessel, as defined
dispersal, shoreline cleanup, protection under section 2101 of title 46, U.S. Code,
of sensitive environmental areas, and an offshore facility, and an onshore fa-
protection, rescue, and rehabilitation cility that, because of its location,
of fisheries and wildlife; and could reasonably be expected to cause
(3) Working with appropriate federal, substantial harm to the environment
state, and local officials to expedite de- by discharging into or on the navigable
cisions for the use of dispersants and waters, adjoining shorelines, or exclu-
other mitigating substances and de- sive economic zone must prepare and
vices. submit a plan for responding, to the
(d) State. As provided by sections 301 maximum extent practicable, to a
and 303 of Title III, the SERC of each worst case discharge, and to a substan-
state, appointed by the Governor, is to tial threat of such a discharge, of oil or
designate emergency planning dis- a hazardous substance.
tricts, appoint Local Emergency Plan- (g) The relationship of these plans is
ning Committees (LEPCs), supervise described in Figure 4.
44
§ 300.210 Federal contingency plans. Government Manual, issued annually,

or in local telephone directories.
There are three levels of contingency
(a) The National Contingency Plan.
plans under the national response sys-
The purpose and objectives, authority,
tem: The National Contingency Plan,
and scope of the NCP are described in
RCPs, and ACPs. These plans are avail-
§§ 300.1 through 300.3.
able for inspection at EPA regional of-
(b) Regional Contingency Plans. The
fices or USCG district offices. Address-
RRTs, working with the states, shall
es and telephone numbers for these of-

develop federal RCPs for each standard
fices may be found in the United States
federal region, Alaska, Oceania in the
45
EC02AU92.004</GPH>
§ 300.210 40 CFR Ch. I (7–1–08 Edition)
Pacific, and the Caribbean to coordi- (ii) A description in detail of the re-
nate timely, effective response by var- sponsibilities of an owner or operator
ious federal agencies and other organi- and of federal, state, and local agencies
zations to discharges of oil or releases in removing a discharge, and in miti-
of hazardous substances, pollutants, or gating or preventing a substantial
contaminants. RCPs shall, as appro- threat of a discharge;
priate, include information on all use- (iii) A list of equipment (including
ful facilities and resources in the re- firefighting equipment), dispersants, or
gion, from government, commercial, other mitigating substances and de-
academic, and other sources. To the vices, and personnel available to an
greatest extent possible, RCPs shall owner or operator and federal, state,
follow the format of the NCP and be co- and local agencies, to ensure an effec-
ordinated with state emergency re- tive and immediate removal of a dis-
sponse plans, ACPs, which are de- charge, and to ensure mitigation or
scribed in § 300.210(c), and Title III local prevention of a substantial threat of a
emergency response plans, which are discharge (this may be provided in an
described in § 300.215. Such coordination appendix or by reference to other rel-
should be accomplished by working evant emergency plans (e.g., state or
with the SERCs in the region covered LEPC plans), which may include such
by the RCP. RCPs shall contain lines of equipment lists);
demarcation between the inland and (iv) A description of procedures to be
coastal zones, as mutually agreed upon followed for obtaining an expedited de-
by USCG and EPA. cision regarding the use of dispersants;
(c) Area Contingency Plans. (1) Under and
the direction of an OSC and subject to (v) A detailed description of how the
approval by the lead agency, each Area plan is integrated into other ACPs and
Committee, in consultation with the tank vessel, offshore facility, and on-
appropriate RRTs, Coast Guard DRGs, shore facility response plans approved
the NSFCC, SSCs, LEPCs, and SERCs, by the President, and into operating
procedures of the NSFCC.
shall develop an ACP for its designated
(4)(i) In order to provide for coordi-
area. This plan, when implemented in
nated, immediate and effective protec-
conjunction with other provisions of
tion, rescue, and rehabilitation of, and
the NCP, shall be adequate to remove a
minimization of risk of injury to, fish
worst case discharge under § 300.324,
and wildlife resources and habitat,
and to mitigate or prevent a substan-
Area Committees shall incorporate
tial threat of such a discharge, from a
into each ACP a detailed annex con-
vessel, offshore facility, or onshore fa-
taining a Fish and Wildlife and Sen-
cility operating in or near the area.
sitive Environments Plan that is con-
(2) The areas of responsibility may sistent with the RCP and NCP. The
include several Title III local planning annex shall be prepared in consultation
districts, or parts of such districts. In with the USFWS and NOAA and other
developing the ACP, the OSC shall co- interested natural resource manage-
ordinate with affected SERCs and ment agencies and parties. It shall ad-
LEPCs. The ACP shall provide for a dress fish and wildlife resources and
well coordinated response that is inte- their habitat, and shall include other
grated and compatible, to the greatest areas considered sensitive environ-
extent possible, with all appropriate re- ments in a separate section of the
sponse plans of state, local, and non- annex, based upon Area Committee rec-
federal entities, and especially with ommendations. The annex will provide
Title III local emergency response the necessary information and proce-
plans. dures to immediately and effectively
(3) The ACP shall include the fol- respond to discharges that may ad-
lowing: versely affect fish and wildlife and
(i) A description of the area covered their habitat and sensitive environ-
by the plan, including the areas of spe- ments, including provisions for a re-
cial economic or environmental impor- sponse to a worst case discharge. Such
tance that might be damaged by a dis- information shall include the identi-
charge; fication of appropriate agencies and
46
their responsibilities, procedures to no- specimens by response personnel; and

tify these agencies following a dis- fish and wildlife, their habitat, and en-
charge or threat of a discharge, proto- vironmentally sensitive areas coming
cols for obtaining required fish and in contact with various cleaning or bio-
wildlife permits and other necessary remediation agents. Furthermore, the
permits, and provisions to ensure com- annex should identify the areas where
patibility of annex-related activities the movement of oiled debris may pose
with removal operations. a risk to resident, transient, or migra-
(ii) The annex shall: tory fish and wildlife, and other sen-
(A) Identify and establish priorities sitive environments and should discuss
for fish and wildlife resources and their measures to be considered for removing
habitats and other important sensitive such oiled debris in a timely fashion to
areas requiring protection from any di- reduce such risk.
rect or indirect effects from discharges (D) Provide for pre-approval of appli-
that may occur. These effects include, cation of specific countermeasures or
but are not limited to, any seasonal or removal actions that, if expeditiously
historical use, as well as all critical, applied, will minimize adverse spill-in-
special, significant, or otherwise des- duced impacts to fish and wildlife re-
ignated protected areas. sources, their habitat, and other sen-
(B) Provide a mechanism to be used sitive environments. Such pre-approval
during a spill response for timely iden- plans must be consistent with para-
tification of protection priorities of graphs (c)(4)(ii)(B) and (C) of this sec-
those fish and wildlife resources and tion and subpart J requirements, and
habitats and sensitive environmental must have the concurrence of the nat-
areas that may be threatened or in- ural resource trustees.
jured by a discharge. These include as (E) Provide monitoring plan(s) to
appropriate, not only marine and fresh- evaluate the effectiveness of different
water species, habitats, and their food countermeasures or removal actions in
sources, but also terrestrial wildlife protecting the environment. Moni-
and their habitats that may be affected toring should include ‘‘set-aside’’ or
directly by onshore oil or indirectly by ‘‘control’’ areas, where no mitigative
oil-related factors, such as loss or con- actions are taken.
tamination of forage. The mechanism (F) Identify and plan for the acquisi-
shall also provide for expeditious eval- tion and utilization of necessary re-
uation and appropriate consultations sponse capabilities for protection, res-
on the effects to fish and wildlife, their cue, and rehabilitation of fish and wild-
habitat, and other sensitive environ- life resources and habitat. This may in-
ments from the application of chemical clude appropriately permitted private
countermeasures or other counter- organizations and individuals with ap-
measures not addressed under para- propriate expertise and experience. The
graph (e)(4)(iii). suitable organizations should be identi-
(C) Identify potential environmental fied in cooperation with natural re-
effects on fish and wildlife, their habi- source law enforcement agencies. Such
tat, and other sensitive environments capabilities shall include, but not be
resulting from removal actions or limited to, identification of facilities
countermeasures, including the option and equipment necessary for deterring
of no removal. Based on this evaluation sensitive fish and wildlife from enter-
of potential environmental effects, the ing oiled areas, and for capturing, hold-
annex should establish priorities for ing, cleaning, and releasing injured
application of countermeasure and re- wildlife. Plans for the provision of such
moval actions to habitats within the capabilities shall ensure that there is
geographic region of the ACP. The no interference with other OSC re-
annex should establish methods to moval operations.
minimize the identified effects on fish (G) Identify appropriate federal and
and wildlife because of response activi- state agency contacts and alternates
ties, including, but not limited to: Dis- responsible for coordination of fish and
turbance of sensitive areas and habi- wildlife rescue and rehabilitation and
tats; illegal or inadvertent taking or protection of sensitive environments;

disturbance of fish and wildlife or identify and provide for required fish
47
§ 300.211 40 CFR Ch. I (7–1–08 Edition)
and wildlife handling and rehabilita- (e) For pipeline facilities, these regu-
tion permits necessary under federal lations are codified in 49 CFR part 194;
and state laws; and provide guidance and
on the implementation of law enforce- (f) For rolling stock, these regula-
ment requirements included under cur- tions are codified in 49 CFR part 106 et
rent federal and state laws and cor- al.
responding regulations. Requirements
include, but are not limited to proce- § 300.212 Area response drills.
dures regarding the capture, transport, The OSC periodically shall conduct
rehabilitation, and release of wildlife drills of removal capability (including
exposed to or threatened by oil, and fish and wildlife response capability),
disposal of contaminated carcasses of without prior notice, in areas for which
wildlife. ACPs are required by § 300.210(c) and
(H) Identify and secure the means for under relevant tank vessel and facility
providing, if needed, the minimum re- response plans.
quired OSHA and EPA training for vol-
§ 300.215 Title III local emergency re-
unteers, including those who assist sponse plans.
with injured wildlife.
This section describes and cross-ref-
(I) Define the requirements for evalu-
erences the regulations that implement
ating the compatibility between this
Title III. These regulations are codified
annex and non-federal response plans
at 40 CFR part 355.
(including those of vessels, facilities, (a) Each LEPC is to prepare an emer-
and pipelines) on issues affecting fish gency response plan in accordance with
and wildlife, their habitat, and sen- section 303 of Title III and review the
sitive environments. plan once a year, or more frequently as
changed circumstances in the commu-
§ 300.211 OPA facility and vessel re-
sponse plans. nity or at any facility may require.
Such Title III local emergency re-
This section describes and cross-ref- sponse plans should be closely coordi-
erences the regulations that implement nated with applicable federal ACPs and
section 311(j)(5) of the CWA. A tank state emergency response plans.
vessel, as defined under section 2101 of (b) [Reserved]
title 46, U.S. Code, an offshore facility,
and an onshore facility that, because of § 300.220 Related Title III issues.
its location, could reasonably expect to Other related Title III requirements
cause substantial harm to the environ- are found in 40 CFR part 355.
ment by discharging into or on the
navigable waters, adjoining shorelines, Subpart D—Operational Response
or exclusive economic zone must pre- Phases for Oil Removal
pare and submit a plan for responding,
to the maximum extent practicable, to
a worst case discharge, and to a sub- SOURCE: 59 FR 47444, Sept. 15, 1994, unless
otherwise noted.
stantial threat of such a discharge, of
oil or a hazardous substance. These re- § 300.300 Phase I—Discovery or notifi-
sponse plans are required to be con- cation.
sistent with applicable Area Contin-
(a) A discharge of oil may be discov-
gency Plans. These regulations are
ered through:
codified as follows: (1) A report submitted by the person
(a) For tank vessels, these regula- in charge of a vessel or facility, in ac-
tions are codified in 33 CFR part 155; cordance with statutory requirements;
(b) For offshore facilities, these regu- (2) Deliberate search by patrols;
lations are codified in 30 CFR part 254; (3) Random or incidental observation
(c) For non-transportation related by government agencies or the public;
onshore facilities, these regulations are or
codified in 40 CFR 112.20; (4) Other sources.
(d) For transportation-related on- (b) Any person in charge of a vessel
shore facilities, these regulations are or a facility shall, as soon as he or she

codified in 33 CFR part 154; has knowledge of any discharge from
48
such vessel or facility in violation of (d) Except in a case when the OSC is
section 311(b)(3) of the CWA, imme- required to direct the response to a dis-
diately notify the NRC. If direct re- charge that may pose a substantial
porting to the NRC is not practicable, threat to the public health or welfare
reports may be made to the USCG or of the United States (including but not
EPA predesignated OSC for the geo- limited to fish, shellfish, wildlife, other
graphic area where the discharge oc- natural resources, and the public and
curs. The EPA predesignated OSC may private beaches and shorelines of the
also be contacted through the regional United States), the OSC may allow the
24-hour emergency response telephone responsible party to voluntarily and
number. All such reports shall be promptly perform removal actions,
promptly relayed to the NRC. If it is provided the OSC determines such ac-
not possible to notify the NRC or tions will ensure an effective and im-
predesignated OSC immediately, remediate removal of the discharge or
ports may be made immediately to the mitigation or prevention of a substan-
nearest Coast Guard unit. In any event tial threat of a discharge. If the respon-
such person in charge of the vessel or sible party does conduct the removal,
facility shall notify the NRC as soon as the OSC shall ensure adequate surveil-
possible. lance over whatever actions are initi-
(c) Any other person shall, as appro- ated. If effective actions are not being
priate, notify the NRC of a discharge of taken to eliminate the threat, or if re-
oil. moval is not being properly done, the
(d) Upon receipt of a notification of OSC should, to the extent practicable
discharge, the NRC shall promptly no- under the circumstances, so advise the
tify the OSC. The OSC shall ensure no- responsible party. If the responsible
tification of the appropriate state party does not respond properly the
agency of any state which is, or may OSC shall take appropriate response
reasonably be expected to be, affected actions and should notify the respon-
by the discharge. The OSC shall then sible party of the potential liability for
proceed with the following phases as federal response costs incurred by the
outlined in the RCP and ACP. OSC pursuant to the OPA and CWA.
Where practicable, continuing efforts
§ 300.305 Phase II—Preliminary assess- should be made to encourage response
ment and initiation of action. by responsible parties.
(a) The OSC is responsible for (1) In carrying out a response under
promptly initiating a preliminary as- this section, the OSC may:
sessment. (i) Remove or arrange for the re-
(b) The preliminary assessment shall moval of a discharge, and mitigate or
be conducted using available informa- prevent a substantial threat of a dis-
tion, supplemented where necessary charge, at any time;
and possible by an on-scene inspection. (ii) Direct or monitor all federal,
The OSC shall undertake actions to: state, and private actions to remove a
(1) Evaluate the magnitude and se- discharge; and
verity of the discharge or threat to (iii) Remove and, if necessary, de-
public health or welfare of the United stroy a vessel discharging, or threat-
States or the environment; ening to discharge, by whatever means
(2) Assess the feasibility of removal; are available.
and (2) If the discharge results in a sub-
(3) To the extent practicable, identify stantial threat to the public health or
potentially responsible parties. welfare of the United States (including,
(c) Where practicable, the framework but not limited to fish, shellfish, wild-
for the response management structure life, other natural resources, and the
is a system (e.g., a unified command public and private beaches and shore-
system), that brings together the func- lines of the United States), the OSC
tions of the federal government, the must direct all response efforts, as pro-
state government, and the responsible vided in § 300.322(b) of this part. The
party to achieve an effective and effi- OSC should declare as expeditiously as
cient response, where the OSC main- practicable to spill response partici-
tains authority. pants that the federal government will
49
§ 300.310 40 CFR Ch. I (7–1–08 Edition)
direct the response. The OSC may act health or welfare of the United States
without regard to any other provision or the environment. Actions may in-
of the law governing contracting proce- clude but are not limited to: Analyzing
dures or employment of personnel by water samples to determine the source
the federal government in removing or and spread of the oil; controlling the
arranging for the removal of such a dis- source of discharge; measuring and
charge. sampling; source and spread control or
(e) The OSC shall ensure that the salvage operations; placement of phys-
natural resource trustees are promptly ical barriers to deter the spread of the
notified in the event of any discharge oil and to protect natural resources
of oil, to the maximum extent prac- and sensitive ecosystems; control of
ticable as provided in the Fish and the water discharged from upstream
Wildlife and Sensitive Environments impoundment; and the use of chemicals
Plan annex to the ACP for the area in and other materials in accordance with
which the discharge occurs. The OSC subpart J of this part to restrain the
and the trustees shall coordinate as- spread of the oil and mitigate its ef-
sessments, evaluations, investigations, fects. The ACP prepared under
and planning with respect to appro- § 300.210(c) should be consulted for pro-
priate removal actions. The OSC shall cedures to be followed for obtaining an
consult with the affected trustees on expedited decision regarding the use of
the appropriate removal action to be dispersants and other products listed
taken. The trustees will provide timely on the NCP Product Schedule.
advice concerning recommended ac- (b) As appropriate, actions shall be
tions with regard to trustee resources taken to recover the oil or mitigate its
potentially affected. The trustees also effects. Of the numerous chemical or
will assure that the OSC is informed of physical methods that may be used,
their activities in natural resource the chosen methods shall be the most
damage assessment that may affect re- consistent with protecting public
sponse operations. The trustees shall health and welfare and the environ-
assure, through the lead administra- ment. Sinking agents shall not be used.
tive trustee, that all data from the nat- (c) Oil and contaminated materials
ural resource damage assessment ac- recovered in cleanup operations shall
tivities that may support more effec- be disposed of in accordance with the
tive operational decisions are provided RCP, ACP, and any applicable laws,
in a timely manner to the OSC. When regulations, or requirements. RRT and
circumstances permit, the OSC shall Area Committee guidelines may iden-
share the use of non-monetary response tify the disposal options available dur-
resources (i.e., personnel and equip- ing an oil spill response and may de-
ment) with the trustees, provided scribe what disposal requirements are
trustee activities do not interfere with mandatory or may not be waived by
response actions. The lead administra- the OSC. ACP guidelines should ad-
tive trustee facilitates effective and ef- dress: the sampling, testing, and
ficient communication between the classifying of recovered oil and oiled
OSC and the other trustees during re- debris; the segregation, temporary
sponse operations and is responsible for storage, and stockpiling of recovered
applying to the OSC for non-monetary oil and oiled debris; prior state disposal
federal response resources on behalf of approvals and permits; and the routes;
all trustees. The lead administrative methods (e.g. recycle/reuse, on-site
trustee is also responsible for applying burning, incineration, landfilling, etc.);
to the NPFC for funding for initiation and sites for the disposal of collected
of damage assessment for injuries to oil, oiled debris, and animal carcasses;
natural resources. and procedures for obtaining waivers,
exemptions, or authorizations associ-
§ 300.310 Phase III—Containment, ated with handling or transporting
countermeasures, cleanup, and dis- waste materials. The ACPs may iden-
posal. tify a hierarchy of preferences for dis-
(a) Defensive actions shall begin as posal alternatives, with recycling (re-
soon as possible to prevent, minimize, processing) being the most preferred,

or mitigate threat(s) to the public and other alternatives preferred based
50
on priorities for health or the environ- or explosion, so that it does not com-
ment. pound the problem. Comparable meas-
ures should be taken to stabilize a situ-
§ 300.315 Phase IV—Documentation ation involving a facility, pipeline, or
and cost recovery. other source of pollution. Stabilizing
(a) All OSLTF users need to collect the situation includes securing the
and maintain documentation to sup- source of the spill and/or removing the
port all actions taken under the CWA. remaining oil from the container (ves-
In general, documentation shall be suf- sel, tank, or pipeline) to prevent addi-
ficient to support full cost recovery for tional oil spillage, to reduce the need
resources utilized and shall identify for follow-up response action, and to
the source and circumstances of the in- minimize adverse impact to the envi-
cident, the responsible party or parties, ronment.
and impacts and potential impacts to (c) The response must use all nec-
public health and welfare and the envi- essary containment and removal tac-
ronment. Documentation procedures tics in a coordinated manner to ensure
are contained in 33 CFR part 136. a timely, effective response that mini-
(b) When appropriate, documentation mizes adverse impact to the environ-
shall also be collected for scientific un- ment.
derstanding of the environment and for (d) All parts of this national response
research and development of improved strategy should be addressed concur-
response methods and technology. rently, but safety and stabilization are
Funding for these actions is restricted the highest priorities. The OSC should
by section 6002 of the OPA. not delay containment and removal de-
(c) OSCs shall submit OSC reports to cisions unnecessarily and should take
the NRT or RRT, only if requested, as actions to minimize adverse impact to
provided by § 300.165. the environment that begins as soon as
(d) OSCs shall ensure the necessary a discharge occurs, as well as actions
collection and safeguarding of informa- to minimize further adverse environ-
tion, samples, and reports. Samples mental impact from additional dis-
and information shall be gathered ex- charges.
peditiously during the response to en- (e) The priorities set forth in this
sure an accurate record of the impacts section are broad in nature, and should
incurred. Documentation materials not be interpreted to preclude the con-
shall be made available to the trustees sideration of other priorities that may
of affected natural resources. The OSC arise on a site-specific basis.
shall make available to trustees of the
affected natural resources information § 300.320 General pattern of response.
and documentation in the OSC’s pos- (a) When the OSC receives a report of
session that can assist the trustees in a discharge, actions normally should be
the determination of actual or poten- taken in the following sequence:
tial natural resource injuries. (1) Investigate the report to deter-
(e) Information and reports obtained mine pertinent information such as the
by the EPA or USCG OSC shall be threat posed to public health or welfare
transmitted to the appropriate offices of the United States or the environ-
responsible for follow-up actions. ment, the type and quantity of pol-
luting material, and the source of the
§ 300.317 National response priorities. discharge.
(a) Safety of human life must be (2) Officially classify the size (i.e.,
given the top priority during every re- minor, medium, major) and type (i.e.,
sponse action. This includes any search substantial threat to the public health
and rescue efforts in the general prox- or welfare of the United States, worst
imity of the discharge and the insur- case discharge) of the discharge and de-
ance of safety of response personnel. termine the course of action to be fol-
(b) Stabilizing the situation to pre- lowed to ensure effective and imme-
clude the event from worsening is the diate removal, mitigation, or preven-
next priority. All efforts must be fo- tion of the discharge. Some discharges
cused on saving a vessel that has been that are classified as a substantial
involved in a grounding, collision, fire, threat to the public health or welfare
51
§ 300.322 40 CFR Ch. I (7–1–08 Edition)
of the United States may be further the OSC considers removal complete,
classified as a spill of national signifi- OSLTF removal funding shall end. This
cance by the Administrator of EPA or determination shall not preclude addi-
the Commandant of the USCG. The ap- tional removal actions under applica-
propriate course of action may be pre- ble state law.
scribed in §§ 300.322, 300.323, and 300.324.
(i) When the reported discharge is an § 300.322 Response to substantial
actual or potential major discharge, threats to public health or welfare
the OSC shall immediately notify the of the United States.
RRT and the NRC. (a) As part of the investigation de-
(ii) When the investigation shows scribed in § 300.320, the OSC shall deter-
that an actual or potential medium mine whether a discharge results in a
discharge exists, the OSC shall rec- substantial threat to public health or
ommend activation of the RRT, if ap- welfare of the United States (including,
propriate. but not limited to, fish, shellfish, wild-
(iii) When the investigation shows
life, other natural resources, and the
that an actual or potential minor dis-
public and private beaches and shore-
charge exists, the OSC shall monitor
lines of the United States). Factors to
the situation to ensure that proper re-
moval action is being taken. be considered by the OSC in making
(3) If the OSC determines that effec- this determination include, but are not
tive and immediate removal, mitiga- limited to, the size of the discharge,
tion, or prevention of a discharge can the character of the discharge, and the
be achieved by private party efforts, nature of the threat to public health or
and where the discharge does not pose welfare of the United States. Upon ob-
a substantial threat to the public taining such information, the OSC
health or welfare of the United States, shall conduct an evaluation of the
determine whether the responsible threat posed, based on the OSC’s expe-
party or other person is properly car- rience in assessing other discharges,
rying out removal. Removal is being and consultation with senior lead agen-
done properly when: cy officials and readily available au-
(i) The responsible party is applying thorities on issues outside the OSC’s
the resources called for in its response technical expertise.
plan to effectively and immediately re- (b) If the investigation by the OSC
move, minimize, or mitigate threat(s) shows that the discharge poses or may
to public health and welfare and the present a substantial threat to public
environment; and health or welfare of the United States,
(ii) The removal efforts are in accord- the OSC shall direct all federal, state,
ance with applicable regulations, in- or private actions to remove the dis-
cluding the NCP. Even if the OSC sup- charge or to mitigate or prevent the
plements responsible party resources threat of such a discharge, as appro-
with government resources, the spill priate. In directing the response in
response will not be considered im- such cases, the OSC may act without
proper, unless specifically determined regard to any other provision of law
by the OSC.
governing contracting procedures or
(4) Where appropriate, determine
employment of personnel by the fed-
whether a state or political subdivision
eral government to:
thereof has the capability to carry out
any or all removal actions. If so, the (1) Remove or arrange for the re-
OSC may arrange funding to support moval of the discharge;
these actions. (2) Mitigate or prevent the substan-
(5) Ensure prompt notification of the tial threat of the discharge; and
trustees of affected natural resources (3) Remove and, if necessary, destroy
in accordance with the applicable RCP a vessel discharging, or threatening to
and ACP. discharge, by whatever means are
(b) Removal shall be considered com- available.
plete when so determined by the OSC (c) In the case of a substantial threat
in consultation with the Governor or to public health or welfare of the

Governors of the affected states. When United States, the OSC shall:
52
(1) Assess opportunities for the use of § 300.324 Response to worst case dis-
various special teams and other assist- charges.
ance described in § 300.145, including
(a) If the investigation by the OSC
the use of the services of the NSFCC,
shows that a discharge is a worst case
as appropriate;
discharge as defined in the ACP, or
(2) Request immediate activation of
there is a substantial threat of such a
the RRT; and
discharge, the OSC shall:
(3) Take whatever additional re-
sponse actions are deemed appropriate, (1) Notify the NSFCC;
including, but not limited to, imple- (2) Require, where applicable, imple-
mentation of the ACP as required by mentation of the worst case portion of
section 311(j)(4) of the CWA or relevant an approved tank vessel or facility re-
tank vessel or facility response plan response plan required by section 311(j)(5)
quired by section 311(j)(5) of the CWA. of the CWA;
When requested by the OSC, the lead (3) Implement the worst case portion
agency or RRT shall dispatch appro- of the ACP required by section 311(j)(4)
priate personnel to the scene of the dis- of the CWA; and
charge to assist the OSC. This assist- (4) Take whatever additional re-
ance may include technical support in sponse actions are deemed appropriate.
the agency’s areas of expertise and dis- (b) Under the direction of the OSC,
seminating information to the public. the NSFCC shall coordinate use of pri-
The lead agency shall ensure that a vate and public personnel and equip-
contracting officer is available on ment, including strike teams, to re-
scene, at the request of the OSC. move a worst case discharge and miti-
gate or prevent a substantial threat of
§ 300.323 Spills of national signifi- such a discharge.
cance.
(a) A discharge may be classified as a § 300.335 Funding.
spill of national significance (SONS) by
(a) The OSLTF is available under cer-
the Administrator of EPA for dis-
tain circumstances to fund removal of
charges occurring in the inland zone
oil performed under section 311 of the
and the Commandant of the USCG for
CWA. Those circumstances and the
discharges occurring in the coastal
procedures for accessing the OSLTF
zone.
are described in 33 CFR part 136. The
(b) For a SONS in the inland zone,
responsible party is liable for costs of
the EPA Administrator may name a
federal removal and damages in accord-
senior Agency official to assist the OSC
ance with section 311(f) of the CWA,
in communicating with affected parties
section 1002 of the OPA, and other fed-
and the public and coordinating fed-
eral, state, local, and international re- eral laws.
sources at the national level. This stra- (b) Where the OSC requests assist-
tegic coordination will involve, as ap- ance from a federal agency, that agen-
propriate, the NRT, RRT(s), the Gov- cy may be reimbursed in accordance
ernor(s) of affected state(s), and the with the provisions of 33 CFR part 136.
mayor(s) or other chief executive(s) of Specific interagency reimbursement
local government(s). agreements may be used when nec-
(c) For a SONS in the coastal zone, essary to ensure that the federal re-
the USCG Commandant may name a sources will be available for a timely
National Incident Commander (NIC) response to a discharge of oil.
who will assume the role of the OSC in (c) Procedures for funding the initi-
communicating with affected parties ation of natural resource damage as-
and the public, and coordinating fed- sessment are covered in 33 CFR part
eral, state, local, and international re- 136.
sources at the national level. This stra- (d) Response actions other than re-
tegic coordination will involve, as ap- moval, such as scientific investigations
propriate, the NRT, RRT(s), the Gov- not in support of removal actions or
ernor(s) of affected state(s), and the law enforcement, shall be provided by
mayor(s) or other chief executive(s) of the agency with legal responsibility for
local government(s). those specific actions.
53
§ 300.400 40 CFR Ch. I (7–1–08 Edition)
(e) The funding of a response to a dis- respond will do so in a timely manner,

charge from a federally owned, oper- a removal or remedial action under
ated, or supervised facility or vessel is section 104 of CERCLA shall not be un-
the responsibility of the owning, oper- dertaken in response to a release:
ating, or supervising agency if it is a (1) Of a naturally occurring sub-
responsible party. stance in its unaltered form, or altered
(f) The following agencies have funds solely through naturally occurring
available for certain discharge removal processes or phenomena, from a loca-
actions: tion where it is naturally found;
(1) DOD has two specific sources of (2) From products that are part of
funds that may be applicable to an oil the structure of, and result in exposure
discharge under appropriate cir- within, residential buildings or busi-
cumstances. This does not consider ness or community structures; or
military resources that might be made (3) Into public or private drinking
available under specific conditions. water supplies due to deterioration of
(i) Funds required for removal of a the system through ordinary use.
sunken vessel or similar obstruction of
(c) Fund-financed action. In deter-
navigation are available to the Corps of
mining the need for and in planning or
Engineers through Civil Works Appro-
undertaking Fund-financed action, the
priations, Operations and Maintenance,
General. lead agency shall, to the extent prac-
(ii) USN may conduct salvage oper- ticable:
ations contingent on defense oper- (1) Engage in prompt response;
ational commitments, when funded by (2) Provide for state participation in
the requesting agency. Such funding response actions, as described in sub-
may be requested on a direct cite basis. part F of this part;
(2) Pursuant to Title I of the OPA, (3) Conserve Fund monies by encour-
the state or states affected by a dis- aging private party response;
charge of oil may act where necessary (4) Be sensitive to local community
to remove such discharge. Pursuant to concerns;
33 CFR part 136 states may be reim- (5) Consider using treatment tech-
bursed from the OSLTF for the reason- nologies;
able costs incurred in such a removal. (6) Involve the Regional Response
Team (RRT) in both removal and reme-
Subpart E—Hazardous Substance dial response actions at appropriate de-
Response cision-making stages;
(7) Encourage the involvement and
SOURCE: 55 FR 8839, Mar. 8, 1990, unless oth- sharing of technology by industry and
erwise noted. other experts; and
(8) Encourage the involvement of or-
§ 300.400 General. ganizations to coordinate responsible
(a) This subpart establishes methods party actions, foster site response, and
and criteria for determining the appro- provide technical advice to the public,
priate extent of response authorized by federal and state governments, and in-
CERCLA and CWA section 311(c): dustry.
(1) When there is a release of a haz- (d) Entry and access. (1) For purposes
ardous substance into the environ- of determining the need for response,
ment; or or choosing or taking a response ac-
(2) When there is a release into the tion, or otherwise enforcing the provi-
environment of any pollutant or con- sions of CERCLA, EPA, or the appro-
taminant that may present an immi- priate federal agency, and a state or
nent and substantial danger to the pub- political subdivision operating pursu-
lic health or welfare of the United ant to a contract or cooperative agree-
States. ment under CERCLA section 104(d)(1),
(b) Limitations on response. Unless the has the authority to enter any vessel,
lead agency determines that a release facility, establishment or other place,
constitutes a public health or environ- property, or location described in para-
mental emergency and no other person graph (d)(2) of this section and conduct,
with the authority and capability to complete, operate, and maintain any
54
response actions authorized by EPA, or the appropriate federal agen-

CERCLA or these regulations. cy, may exercise the authority con-
(2)(i) Under the authorities described tained in section 104(e) of CERCLA to
in paragraph (d)(1) of this section, obtain access for its designated rep-
EPA, or the appropriate federal agen- resentative. A potentially responsible
cy, and a state or political subdivision party may only be designated as a rep-
operating pursuant to a contract or co- resentative of the lead agency where
operative agreement under CERCLA that potentially responsible party has
section 104(d)(1), may enter: agreed to conduct response activities
(A) Any vessel, facility, establish- pursuant to an administrative order or
ment, or other place or property where consent decree.
any hazardous substance or pollutant (4)(i) If consent is not granted under
or contaminant may be or has been the authorities described in paragraph
generated, stored, treated, disposed of, (d)(1) of this section, or if consent is
or transported from; conditioned in any manner, EPA, or
(B) Any vessel, facility, establish- the appropriate federal agency, may
ment, or other place or property from issue an order pursuant to section
which, or to which, a hazardous sub- 104(e)(5) of CERCLA directing compli-
stance or pollutant or contaminant has ance with the request for access made
been, or may have been, released or under § 300.400(d)(1). EPA or the appro-
where such release is or may be threat- priate federal agency may ask the At-
ened; torney General to commence a civil ac-
(C) Any vessel, facility, establish- tion to compel compliance with either
ment, or other place or property where a request for access or an order direct-
entry is necessary to determine the ing compliance.
need for response or the appropriate re- (ii) EPA reserves the right to pro-
sponse or to effectuate a response ac- ceed, where appropriate, under applica-
tion; or ble authority other than CERCLA sec-
(D) Any vessel, facility, establish- tion 104(e).
ment, or other place, property, or loca- (iii) The administrative order may
tion adjacent to those vessels, facili- direct compliance with a request to
ties, establishments, places, or prop- enter or inspect any vessel, facility, es-
erties described in paragraphs tablishment, place, property, or loca-
(d)(2)(i)(A), (B), or (C) of this section. tion described in paragraph (d)(2) of
(ii) Once a determination has been this section.
made that there is a reasonable basis (iv) Each order shall contain:
to believe that there has been or may (A) A determination by EPA, or the
be a release, EPA, or the appropriate appropriate federal agency, that it is
federal agency, and a state or political reasonable to believe that there may be
subdivision operating pursuant to a or has been a release or threat of a re-
contract or cooperative agreement lease of a hazardous substance or pol-
under CERCLA section 104(d)(1), is au- lutant or contaminant and a statement
thorized to enter all vessels, facilities, of the facts upon which the determina-
establishments, places, properties, or tion is based;
locations specified in paragraph (B) A description, in light of CERCLA
(d)(2)(i) of this section, at which the re- response authorities, of the purpose
lease is believed to be, and all other and estimated scope and duration of
vessels, facilities, establishments, the entry, including a description of
places, properties, or locations identi- the specific anticipated activities to be
fied in paragraph (d)(2)(i) of this sec- conducted pursuant to the order;
tion that are related to the response or (C) A provision advising the person
are necessary to enter in responding to who failed to consent that an officer or
that release. employee of the agency that issued the
(3) The lead agency may designate as order will be available to confer with
its representative solely for the pur- respondent prior to effective date of
pose of access, among others, one or the order; and
more potentially responsible parties, (D) A provision advising the person
including representatives, employees, who failed to consent that a court may

agents, and contractors of such parties. impose a penalty of up to $25,000 per
55
§ 300.400 40 CFR Ch. I (7–1–08 Edition)
day for unreasonable failure to comply problems or situations sufficiently

with the order. similar to the circumstances of the re-
(v) Orders shall be served upon the lease or remedial action contemplated,
person or responsible party who failed and whether the requirement is well-
to consent prior to their effective date. suited to the site, and therefore is both
Force shall not be used to compel com- relevant and appropriate. The perti-
pliance with an order. nence of each of the following factors
(vi) Orders may not be issued for any will depend, in part, on whether a re-
criminal investigations. quirement addresses a chemical, loca-
(e) Permit requirements. (1) No federal, tion, or action. The following compari-
state, or local permits are required for sons shall be made, where pertinent, to
on-site response actions conducted pur- determine relevance and appropriate-
suant to CERCLA sections 104, 106, 120, ness:
121, or 122. The term on-site means the (i) The purpose of the requirement
areal extent of contamination and all and the purpose of the CERCLA action;
suitable areas in very close proximity (ii) The medium regulated or affected
to the contamination necessary for im- by the requirement and the medium
plementation of the response action. contaminated or affected at the
(2) Permits, if required, shall be ob- CERCLA site;
tained for all response activities con- (iii) The substances regulated by the
ducted off-site. requirement and the substances found
(f) Health assessments. Health assess- at the CERCLA site;
ments shall be performed by ATSDR at
(iv) The actions or activities regu-
facilities on or proposed to be listed on
lated by the requirement and the reme-
the NPL and may be performed at
dial action contemplated at the
other releases or facilities in response
CERCLA site;
to petitions made to ATSDR. Where
(v) Any variances, waivers, or exemp-
available, these health assessments
tions of the requirement and their
may be used by the lead agency to as-
availability for the circumstances at
sist in determining whether response
the CERCLA site;
actions should be taken and/or to iden-
tify the need for additional studies to (vi) The type of place regulated and
assist in the assessment of potential the type of place affected by the re-
human health effects associated with lease or CERCLA action;
releases or potential releases of haz- (vii) The type and size of structure or
ardous substances. facility regulated and the type and size
(g) Identification of applicable or rel- of structure or facility affected by the
evant and appropriate requirements. (1) release or contemplated by the
The lead and support agencies shall CERCLA action;
identify requirements applicable to the (viii) Any consideration of use or po-
release or remedial action con- tential use of affected resources in the
templated based upon an objective de- requirement and the use or potential
termination of whether the require- use of the affected resource at the
ment specifically addresses a haz- CERCLA site.
ardous substance, pollutant, contami- (3) In addition to applicable or rel-
nant, remedial action, location, or evant and appropriate requirements,
other circumstance found at a CERCLA the lead and support agencies may, as
site. appropriate, identify other advisories,
(2) If, based upon paragraph (g)(1) of criteria, or guidance to be considered
this section, it is determined that a re- for a particular release. The ‘‘to be
quirement is not applicable to a spe- considered’’ (TBC) category consists of
cific release, the requirement may still advisories, criteria, or guidance that
be relevant and appropriate to the cir- were developed by EPA, other federal
cumstances of the release. In evalu- agencies, or states that may be useful
ating relevance and appropriateness, in developing CERCLA remedies.
the factors in paragraphs (g)(2)(i) (4) Only those state standards that
through (viii) of this section shall be are promulgated, are identified by the
examined, where pertinent, to deter- state in a timely manner, and are more
mine whether a requirement addresses stringent than federal requirements
56
may be applicable or relevant and ap- federal government to take any re-
propriate. For purposes of identifica- sponse action at any particular time.
tion and notification of promulgated
[55 FR 8839, Mar. 8, 1990, as amended at 59 FR
state standards, the term promulgated 47447, Sept. 15, 1994]
means that the standards are of gen-
eral applicability and are legally en- § 300.405 Discovery or notification.
forceable.
(5) The lead agency and support agen- (a) A release may be discovered
cy shall identify their specific require- through:
ments that are applicable or relevant (1) A report submitted in accordance
and appropriate for a particular site. with section 103(a) of CERCLA, i.e., re-
These agencies shall notify each other, portable quantities codified at 40 CFR
in a timely manner as described in part 302;
§ 300.515(d), of the requirements they (2) A report submitted to EPA in ac-
have determined to be applicable or cordance with section 103(c) of
relevant and appropriate. When identi- CERCLA;
fying a requirement as an ARAR, the (3) Investigation by government au-
lead agency and support agency shall thorities conducted in accordance with
include a citation to the statute or reg- section 104(e) of CERCLA or other stat-
ulation from which the requirement is utory authority;
derived. (4) Notification of a release by a fed-
(6) Notification of ARARs shall be ac- eral or state permit holder when re-
cording to procedures and timeframes quired by its permit;
specified in § 300.515 (d)(2) and (h)(2). (5) Inventory or survey efforts or ran-
(h) Oversight. The lead agency may dom or incidental observation reported
provide oversight for actions taken by by government agencies or the public;
potentially responsible parties to en- (6) Submission of a citizen petition to
sure that a response is conducted con- EPA or the appropriate federal facility
sistent with this part. The lead agency requesting a preliminary assessment,
may also monitor the actions of third in accordance with section 105(d) of
parties preauthorized under subpart H CERCLA;
of this part. EPA will provide oversight (7) A report submitted in accordance
when the response is pursuant to an with section 311(b)(5) of the CWA; and
EPA order or federal consent decree. (8) Other sources.
(i) Other. (1) This subpart does not es- (b) Any person in charge of a vessel
tablish any preconditions to enforce- or a facility shall report releases as de-
ment action by either the federal or scribed in paragraph (a)(1) of this sec-
state governments to compel response tion to the National Response Center
actions by potentially responsible par- (NRC). If direct reporting to the NRC is
ties. not practicable, reports may be made
(2) While much of this subpart is ori- to the United States Coast Guard
ented toward federally funded response (USCG) on-scene coordinator (OSC) for
actions, this subpart may be used as the geographic area where the release
guidance concerning methods and cri- occurs. The EPA predesignated OSC
teria for response actions by other par- may also be contacted through the re-
ties under other funding mechanisms. gional 24-hour emergency response
Except as provided in subpart H of this telephone number. All such reports
part, nothing in this part is intended to shall be promptly relayed to the NRC.
limit the rights of any person to seek If it is not possible to notify the NRC
recovery of response costs from respon- or predesignated OSC immediately, re-
sible parties pursuant to CERCLA sec- ports may be made immediately to the
tion 107. nearest USCG unit. In any event, such
(3) Activities by the federal and state person in charge of the vessel or facil-
governments in implementing this sub- ity shall notify the NRC as soon as pos-
part are discretionary governmental sible.
functions. This subpart does not create (c) All other reports of releases de-
in any private party a right to federal scribed under paragraph (a) of this sec-
response or enforcement action. This tion, except releases reported under

subpart does not create any duty of the paragraphs (a)(2) and (6) of this section,
57
§ 300.410 40 CFR Ch. I (7–1–08 Edition)
shall, as appropriate, be made to the § 300.410 Removal site evaluation.

NRC.
(a) A removal site evaluation in-
(d) The NRC will generally need includes a removal preliminary assess-
formation that will help to charac- ment and, if warranted, a removal site
terize the release. This will include, inspection.
but not be limited to: Location of the (b) A removal site evaluation of a re-
release; type(s) of material(s) released; lease identified for possible CERCLA
an estimate of the quantity of material response pursuant to § 300.415 shall, as
released; possible source of the release; appropriate, be undertaken by the lead
and date and time of the release. Re- agency as promptly as possible. The
porting under paragraphs (b) and (c) of lead agency may perform a removal
this section shall not be delayed due to preliminary assessment in response to
incomplete notification information. petitions submitted by a person who is,
(e) Upon receipt of a notification of a or may be, affected by a release of a
release, the NRC shall promptly notify hazardous substance, pollutant, or con-
the appropriate OSC. The OSC shall no- taminant pursuant to § 300.420(b)(5).
tify the Governor, or designee, of the (c)(1) The lead agency shall, as appro-
state affected by the release. priate, base the removal preliminary
(f)(1) When the OSC is notified of a assessment on readily available infor-
release that may require response pur- mation. A removal preliminary assess-
suant to § 300.415(b), a removal site ment may include, but is not limited
evaluation shall, as appropriate, be to:
promptly undertaken pursuant to (i) Identification of the source and
§ 300.410. nature of the release or threat of re-
(2) When notification indicates that lease;
removal action pursuant to § 300.415(b) (ii) Evaluation by ATSDR or by other
is not required, a remedial site evalua- sources, for example, state public
tion shall, if appropriate, be under- health agencies, of the threat to public
taken by the lead agency pursuant to health;
§ 300.420, if one has not already been (iii) Evaluation of the magnitude of
performed. the threat;
(3) If radioactive substances are (iv) Evaluation of factors necessary
present in a release, the EPA Radio- to make the determination of whether
logical Response Coordinator should be a removal is necessary; and
notified for evaluation and assistance (v) Determination of whether a non-
either directly or via the NRC, con- federal party is undertaking proper re-
sistent with §§ 300.130(e) and 300.145(f). sponse.
(g) Release notification made to the (2) A removal preliminary assessment
NRC under this section does not relieve of releases from hazardous waste man-
the owner/operator of a facility from agement facilities may include collec-
any obligations to which it is subject tion or review of data such as site man-
under SARA Title III or state law. In agement practices, information from
particular, it does not relieve the generators, photographs, analysis of
owner/operator from the requirements historical photographs, literature
searches, and personal interviews con-
of section 304 of SARA Title III and 40
ducted, as appropriate.
CFR part 355 and § 300.215(f) of this part
(d) A removal site inspection may be
for notifying the community emer-
performed if more information is need-
gency coordinator for the appropriate
ed. Such inspection may include a pe-
local emergency planning committee of
rimeter (i.e., off-site) or on-site inspec-
all affected areas and the state emer-
tion, taking into consideration wheth-
gency response commission of any
er such inspection can be performed
state affected that there has been a re- safely.
lease. Federal agencies are not legally
(e)(1) As part of the evaluation under
obligated to comply with the require-
this section, the OSC shall determine
ments of Title III of SARA. whether a release governed by CWA
[55 FR 8839, Mar. 8, 1990, as amended at 59 FR section 311(c)(1), as amended by OPA

47447, Sept. 15, 1994] section 4201(a), has occurred.
58
(2) If such a release of a CWA haz- dial action under § 300.430 may be nec-
ardous substance has occurred, the essary, the lead agency shall, as appro-
OSC shall determine whether the re- priate, initiate a remedial site evalua-
lease results in a substantial threat to tion pursuant to § 300.420.
the public health or welfare of the
[59 FR 47448, Sept. 15, 1994]
United States. Factors to be considered
by the OSC in making this determina- § 300.415 Removal action.
tion include, but are not limited to, the
size of the release, the character of the (a)(1) In determining the appropriate
release, and the nature of the threat to extent of action to be taken in re-
public health or welfare of the United sponse to a given release, the lead
States. Upon obtaining relevant ele- agency shall first review the removal
ments of such information, the OSC site evaluation, any information pro-
shall conduct an evaluation of the duced through a remedial site evalua-
threat posed, based on the OSC’s expe- tion, if any has been done previously,
rience in assessing other releases, and and the current site conditions, to de-
consultation with senior lead agency termine if removal action is appro-
officials and readily available authori- priate.
ties on issues outside the OSC’s tech- (2) Where the responsible parties are
nical expertise. known, an effort initially shall be
(f) A removal site evaluation shall be made, to the extent practicable, to de-
terminated when the OSC or lead agen- termine whether they can and will per-
cy determines: form the necessary removal action
(1) There is no release; promptly and properly.
(2) The source is neither a vessel nor (3) This section does not apply to re-
a facility as defined in § 300.5 of the moval actions taken pursuant to sec-
NCP; tion 104(b) of CERCLA. The criteria for
(3) The release involves neither a haz- such actions are set forth in section
ardous substance, nor a pollutant or 104(b) of CERCLA.
contaminant that may present an im- (b)(1) At any release, regardless of
minent and substantial danger to pub- whether the site is included on the Na-
lic health or welfare of the United tional Priorities List (NPL), where the
States; lead agency makes the determination,
(4) The release consists of a situation based on the factors in paragraph (b)(2)
specified in § 300.400(b)(1) through (3) of this section, that there is a threat to
subject to limitations on response; public health or welfare of the United
(5) The amount, quantity, or con- States or the environment, the lead
centration released does not warrant agency may take any appropriate re-
federal response; moval action to abate, prevent, mini-
(6) A party responsible for the re- mize, stabilize, mitigate, or eliminate
lease, or any other person, is providing the release or the threat of release.
appropriate response, and on-scene (2) The following factors shall be con-
monitoring by the government is not sidered in determining the appropriate-
required; or ness of a removal action pursuant to
(7) The removal site evaluation is this section:
completed. (i) Actual or potential exposure to
(g) The results of the removal site nearby human populations, animals, or
evaluation shall be documented. the food chain from hazardous sub-
(h) The OSC or lead agency shall en- stances or pollutants or contaminants;
sure that natural resource trustees are (ii) Actual or potential contamina-
promptly notified in order that they tion of drinking water supplies or sen-
may initiate appropriate actions, in- sitive ecosystems;
cluding those identified in subpart G of (iii) Hazardous substances or pollut-
this part. The OSC or lead agency shall ants or contaminants in drums, bar-
coordinate all response activities with rels, tanks, or other bulk storage con-
such affected trustees. tainers, that may pose a threat of re-
(i) If the removal site evaluation in- lease;
dicates that removal action under (iv) High levels of hazardous sub-
§ 300.415 is not required, but that reme- stances or pollutants or contaminants
59
§ 300.415 40 CFR Ch. I (7–1–08 Edition)
in soils largely at or near the surface, under section 104(b) of CERCLA, shall
that may migrate; be terminated after $2 million has been
(v) Weather conditions that may obligated for the action or 12 months
cause hazardous substances or pollut- have elapsed from the date that re-
ants or contaminants to migrate or be moval activities begin on-site, unless
released; the lead agency determines that:
(vi) Threat of fire or explosion; (i) There is an immediate risk to pub-
(vii) The availability of other appro- lic health or welfare of the United
priate federal or state response mecha- States or the environment; continued
nisms to respond to the release; and response actions are immediately re-
(viii) Other situations or factors that quired to prevent, limit, or mitigate an
may pose threats to public health or emergency; and such assistance will
welfare of the United States or the en- not otherwise be provided on a timely
vironment. basis; or
(3) If the lead agency determines that (ii) Continued response action is oth-
a removal action is appropriate, ac- erwise appropriate and consistent with
tions shall, as appropriate, begin as the remedial action to be taken.
soon as possible to abate, prevent, min- (c)(1) In carrying out a response to a
imize, stabilize, mitigate, or eliminate release of a CWA hazardous substance,
the threat to public health or welfare as described in CWA section 311(c)(1),
of the United States or the environ- as amended by OPA section 4201(a), the
ment. The lead agency shall, at the OSC may:
earliest possible time, also make any (i) Remove or arrange for the re-
necessary determinations pursuant to moval of a release, and mitigate or pre-
paragraph (b)(4) of this section. vent a substantial threat of a release,
(4) Whenever a planning period of at at any time;
least six months exists before on-site (ii) Direct or monitor all federal,
activities must be initiated, and the state, and private actions to remove a
lead agency determines, based on a site release; and
evaluation, that a removal action is (iii) Remove and, if necessary, de-
appropriate: stroy a vessel releasing or threatening
(i) The lead agency shall conduct an to release CWA hazardous substances,
engineering evaluation/cost analysis by whatever means are available.
(EE/CA) or its equivalent. The EE/CA is (2) If the investigation by the OSC
an analysis of removal alternatives for under § 300.410 shows that the release of
a site. a CWA hazardous substance results in a
(ii) If environmental samples are to substantial threat to public health or
be collected, the lead agency shall de- welfare of the United States, the OSC
velop sampling and analysis plans that shall direct all federal, state, or private
shall provide a process for obtaining actions to remove the release or to
data of sufficient quality and quantity mitigate or prevent the threat of such
to satisfy data needs. Sampling and a release, as appropriate. In directing
analysis plans shall be reviewed and the response, the OSC may act without
approved by EPA. The sampling and regard to any other provision of law
analysis plans shall consist of two governing contracting procedures or
parts: employment of personnel by the fed-
(A) The field sampling plan, which eral government to:
describes the number, type, and loca- (i) Remove or arrange for the re-
tion of samples and the type of anal- moval of the release;
yses; and (ii) Mitigate or prevent the substan-
(B) The quality assurance project tial threat of the release; and
plan, which describes policy, organiza- (iii) Remove and, if necessary, de-
tion, and functional activities and the stroy a vessel releasing, or threatening
data quality objectives and measures to release, by whatever means are
necessary to achieve adequate data for available.
use in planning and documenting the (3) In the case of a release of a CWA
removal action. hazardous substance posing a substan-
(5) CERCLA fund-financed removal tial threat to public health or welfare

actions, other than those authorized of the United States, the OSC shall:
60
(i) Assess opportunities for the use of (5) Using chemicals and other mate-
various special teams and other assist- rials to retard the spread of the release
ance described in § 300.145, as appro- or to mitigate its effects—where the
priate; use of such chemicals will reduce the
(ii) Request immediate activation of spread of the release;
the RRT; and (6) Excavation, consolidation, or re-
(iii) Take whatever additional removal of highly contaminated soils
sponse actions are deemed appropriate. from drainage or other areas—where
When requested by the OSC, the lead such actions will reduce the spread of,
agency or RRT shall dispatch appro- or direct contact with, the contamina-
priate personnel to the scene of the re- tion;
lease to assist the OSC. This assistance (7) Removal of drums, barrels, tanks,
may include technical support in the or other bulk containers that contain
agency’s areas of expertise and dis- or may contain hazardous substances
seminating information to the public or pollutants or contaminants—where
in accordance with § 300.155. The lead it will reduce the likelihood of spillage;
agency shall ensure that a contracting leakage; exposure to humans, animals,
officer is available on-scene, at the re- or food chain; or fire or explosion;
quest of the OSC. (8) Containment, treatment, disposal,
(d) Removal actions shall, to the ex- or incineration of hazardous mate-
rials—where needed to reduce the like-
tent practicable, contribute to the effi-
lihood of human, animal, or food chain
cient performance of any anticipated
exposure; or
long-term remedial action with respect
(9) Provision of alternative water
to the release concerned.
supply—where necessary immediately
(e) The following removal actions to reduce exposure to contaminated
are, as a general rule, appropriate in household water and continuing until
the types of situations shown; however, such time as local authorities can sat-
this list is not exhaustive and is not in- isfy the need for a permanent remedy.
tended to prevent the lead agency from (f) Where necessary to protect public
taking any other actions deemed nec- health or welfare, the lead agency shall
essary under CERCLA, CWA section request that FEMA conduct a tem-
311, or other appropriate federal or porary relocation or that state/local of-
state enforcement or response authori- ficials conduct an evacuation.
ties, and the list does not create a duty (g) If the lead agency determines that
on the lead agency to take action at the removal action will not fully ad-
any particular time: dress the threat posed by the release
(1) Fences, warning signs, or other se- and the release may require remedial
curity or site control precautions— action, the lead agency shall ensure an
where humans or animals have access orderly transition from removal to re-
to the release; medial response activities.
(2) Drainage controls, for example, (h) CERCLA removal actions con-
run-off or run-on diversion—where ducted by states under cooperative
needed to reduce migration of haz- agreements, described in subpart F of
ardous substances or pollutants or con- this part, shall comply with all re-
taminants off-site or to prevent pre- quirements of this section.
cipitation or run-off from other (i) Facilities operated by a state or
sources, for example, flooding, from en- political subdivision at the time of dis-
tering the release area from other posal require a state cost share of at
areas; least 50 percent of Fund-financed re-
(3) Stabilization of berms, dikes, or sponse costs if a Fund-financed reme-
impoundments or drainage or closing dial action is conducted.
of lagoons—where needed to maintain (j) Fund-financed removal actions
the integrity of the structures; under CERCLA section 104 and removal
(4) Capping of contaminated soils or actions pursuant to CERCLA section
sludges—where needed to reduce migra- 106 shall, to the extent practicable con-
tion of hazardous substances or pollut- sidering the exigencies of the situation,
ants or contaminants into soil, ground attain applicable or relevant and ap-
or surface water, or air; propriate requirements (ARARs) under
61
§ 300.415 40 CFR Ch. I (7–1–08 Edition)
federal environmental or state environ- (m) OSCs/RPMs conducting removal

mental or facility siting laws. Waivers actions shall submit OSC reports to the
described in § 300.430(f)(1)(ii)(C) may be RRT as required by § 300.165.
used for removal actions. Other federal (n) Community relations in removal ac-
and state advisories, criteria, or guid- tions. (1) In the case of all CERCLA re-
ance may, as appropriate, be consid- moval actions taken pursuant to
ered in formulating the removal action § 300.415 or CERCLA enforcement ac-
(see § 300.400(g)(3)). In determining tions to compel removal response, a
whether compliance with ARARs is spokesperson shall be designated by
practicable, the lead agency may con- the lead agency. The spokesperson
sider appropriate factors, including: shall inform the community of actions
(1) The urgency of the situation; and taken, respond to inquiries, and pro-
(2) The scope of the removal action to vide information concerning the re-
lease. All news releases or statements
be conducted.
made by participating agencies shall be
(k) Removal actions pursuant to sec-
coordinated with the OSC/RPM. The
tion 106 or 122 of CERCLA are not sub- spokesperson shall notify, at a min-
ject to the following requirements of imum, immediately affected citizens,
this section: state and local officials, and, when ap-
(1) Section 300.415(a)(2) requirement propriate, civil defense or emergency
to locate responsible parties and have management agencies.
them undertake the response; (2) For CERCLA actions where, based
(2) Section 300.415(b)(2)(vii) require- on the site evaluation, the lead agency
ment to consider the availability of determines that a removal is appro-
other appropriate federal or state re- priate, and that less than six months
sponse and enforcement mechanisms to exists before on-site removal activity
respond to the release; must begin, the lead agency shall:
(3) Section 300.415(b)(5) requirement (i) Publish a notice of availability of
to terminate response after $2 million the administrative record file estab-
has been obligated or 12 months have lished pursuant to § 300.820 in a major
elapsed from the date of the initial re- local newspaper of general circulation
sponse; and within 60 days of initiation of on-site
(4) Section 300.415(g) requirement to removal activity;
assure an orderly transition from re- (ii) Provide a public comment period,
moval to remedial action. as appropriate, of not less than 30 days
(l) To the extent practicable, provi- from the time the administrative
sion for post-removal site control fol- record file is made available for public
lowing a CERCLA Fund-financed re- inspection, pursuant to § 300.820(b)(2);
moval action at both NPL and non- and
NPL sites is encouraged to be made (iii) Prepare a written response to
prior to the initiation of the removal significant comments pursuant to
§ 300.820(b)(3).
action. Such post-removal site control
(3) For CERCLA removal actions
includes actions necessary to ensure
where on-site action is expected to ex-
the effectiveness and integrity of the
tend beyond 120 days from the initi-
removal action after the completion of
ation of on-site removal activities, the
the on-site removal action or after the
lead agency shall by the end of the 120-
$2 million or 12-month statutory limits day period:
are reached for sites that do not meet (i) Conduct interviews with local offi-
the exemption criteria in paragraph cials, community residents, public in-
(b)(5) of this section. Post-removal site terest groups, or other interested or af-
control may be conducted by: fected parties, as appropriate, to solicit
(1) The affected state or political sub- their concerns, information needs, and
division thereof or local units of gov- how or when citizens would like to be
ernment for any removal; involved in the Superfund process;
(2) Potentially responsible parties; or (ii) Prepare a formal community re-
(3) EPA’s remedial program for some lations plan (CRP) based on the com-
federal-lead Fund-financed responses at munity interviews and other relevant

NPL sites. information, specifying the community
62
relations activities that the lead agen- stances, pollutants, or contaminants.

cy expects to undertake during the re- The evaluation may consist of two
sponse; and steps: a remedial preliminary assess-
(iii) Establish at least one local in- ment (PA) and a remedial site inspec-
formation repository at or near the lo- tion (SI).
cation of the response action. The in- (b) Remedial preliminary assessment. (1)
formation repository should contain The lead agency shall perform a reme-
items made available for public infor- dial PA on all sites in CERCLIS as de-
mation. Further, an administrative fined in § 300.5 to:
record file established pursuant to sub- (i) Eliminate from further consider-
part I for all removal actions shall be
ation those sites that pose no threat to
available for public inspection in at
public health or the environment;
least one of the repositories. The lead
agency shall inform the public of the (ii) Determine if there is any poten-
establishment of the information re- tial need for removal action;
pository and provide notice of avail- (iii) Set priorities for site inspec-
ability of the administrative record file tions; and
for public review. All items in the re- (iv) Gather existing data to facilitate
pository shall be available for public later evaluation of the release pursu-
inspection and copying. ant to the Hazard Ranking System
(4) Where, based on the site evalua- (HRS) if warranted.
tion, the lead agency determines that a (2) A remedial PA shall consist of a
CERCLA removal action is appropriate review of existing information about a
and that a planning period of at least release such as information on the
six months exists prior to initiation of pathways of exposure, exposure tar-
the on-site removal activities, the lead gets, and source and nature of release.
agency shall at a minimum: A remedial PA shall also include an
(i) Comply with the requirements set off-site reconnaissance as appropriate.
forth in paragraphs (n)(3)(i), (ii), and A remedial PA may include an on-site
(iii) of this section, prior to the com- reconnaissance where appropriate.
pletion of the EE/CA, or its equivalent,
(3) If the remedial PA indicates that
except that the information repository
a removal action may be warranted,
and the administrative record file will
the lead agency shall initiate removal
be established no later than when the
EE/CA approval memorandum is evaluation pursuant to § 300.410.
signed; (4) In performing a remedial PA, the
(ii) Publish a notice of availability lead agency may complete the EPA
and brief description of the EE/CA in a Preliminary Assessment form, avail-
major local newspaper of general cir- able from EPA regional offices, or its
culation pursuant to § 300.820; equivalent, and shall prepare a PA re-
(iii) Provide a reasonable oppor- port, which shall include:
tunity, not less than 30 calendar days, (i) A description of the release;
for submission of written and oral com- (ii) A description of the probable na-
ments after completion of the EE/CA ture of the release; and
pursuant to § 300.820(a). Upon timely re- (iii) A recommendation on whether
quest, the lead agency will extend the further action is warranted, which lead
public comment period by a minimum agency should conduct further action,
of 15 days; and and whether an SI or removal action or
(iv) Prepare a written response to both should be undertaken.
significant comments pursuant to (5) Any person may petition the lead
§ 300.820(a). federal agency (EPA or the appropriate
[59 FR 47448, Sept. 15, 1994] federal agency in the case of a release
or suspected release from a federal fa-
§ 300.420 Remedial site evaluation. cility), to perform a PA of a release
(a) General. The purpose of this sec- when such person is, or may be, af-
tion is to describe the methods, proce- fected by a release of a hazardous sub-
dures, and criteria the lead agency stance, pollutant, or contaminant.
shall use to collect data, as required, Such petitions shall be addressed to

and evaluate releases of hazardous sub- the EPA Regional Administrator for
63
§ 300.425 40 CFR Ch. I (7–1–08 Edition)
the region in which the release is lo- (iv) Collect data in addition to that
cated, except that petitions for PAs in- required to score the release pursuant
volving federal facilities should be ad- to the HRS, as appropriate, to better
dressed to the head of the appropriate characterize the release for more effec-
federal agency. tive and rapid initiation of the RI/FS
(i) Petitions shall be signed by the or response under other authorities.
petitioner and shall contain the fol- (2) The remedial SI shall build upon
lowing: the information collected in the reme-
(A) The full name, address, and phone dial PA. The remedial SI shall involve,
number of petitioner; as appropriate, both on- and off-site
(B) A description, as precisely as pos- field investigatory efforts, and sam-
sible, of the location of the release; and pling.
(C) How the petitioner is or may be (3) If the remedial SI indicates that
affected by the release. removal action may be appropriate, the
(ii) Petitions should also contain the lead agency shall initiate removal site
following information to the extent
evaluation pursuant to § 300.410.
available:
(4) Prior to conducting field sampling
(A) What type of substances were or
may be released; as part of site inspections, the lead
(B) The nature of activities that have agency shall develop sampling and
occurred where the release is located; analysis plans that shall provide a
and process for obtaining data of sufficient
(C) Whether local and state authori- quality and quantity to satisfy data
ties have been contacted about the re- needs. The sampling and analysis plans
lease. shall consist of two parts:
(iii) The lead federal agency shall (i) The field sampling plan, which de-
complete a remedial or removal PA scribes the number, type, and location
within one year of the date of receipt of samples, and the type of analyses,
of a complete petition pursuant to and
paragraph (b)(5) of this section, if one (ii) The quality assurance project
has not been performed previously, un- plan (QAPP), which describes policy,
less the lead federal agency determines organization, and functional activities,
that a PA is not appropriate. Where and the data quality objectives and
such a determination is made, the lead measures necessary to achieve ade-
federal agency shall notify the peti- quate data for use in site evaluation
tioner and will provide a reason for the and hazard ranking system activities.
determination. (5) Upon completion of a remedial SI,
(iv) When determining if performance the lead agency shall prepare a report
of a PA is appropriate, the lead federal that includes the following:
agency shall take into consideration: (i) A description/history/nature of
(A) Whether there is information in- waste handling;
dicating that a release has occurred or (ii) A description of known contami-
there is a threat of a release of a haz- nants;
ardous substance, pollutant, or con-
(iii) A description of pathways of mi-
taminant; and
gration of contaminants;
(B) Whether the release is eligible for
response under CERCLA. (iv) An identification and description
(c) Remedial site inspection. (1) The of human and environmental targets;
lead agency shall perform a remedial and
SI as appropriate to: (v) A recommendation on whether
(i) Eliminate from further consider- further action is warranted.
ation those releases that pose no sig-
nificant threat to public health or the § 300.425 Establishing remedial prior-
ities.
environment;
(ii) Determine the potential need for (a) General. The purpose of this sec-
removal action; tion is to identify the criteria as well
(iii) Collect or develop additional as the methods and procedures EPA
data, as appropriate, to evaluate the uses to establish its priorities for reme-
release pursuant to the HRS; and dial actions.
64
(b) National Priorities List. The NPL is (ii) EPA determines that the release
the list of priority releases for long- poses a significant threat to public
term remedial evaluation and response. health; and
(1) Only those releases included on (iii) EPA anticipates that it will be
the NPL shall be considered eligible for more cost-effective to use its remedial
Fund-financed remedial action. Re- authority than to use removal author-
moval actions (including remedial ity to respond to the release.
planning activities, RI/FSs, and other (d) Procedures for placing sites on the
actions taken pursuant to CERCLA NPL. Lead agencies may submit can-
section 104(b)) are not limited to NPL didates to EPA by scoring the release
sites. using the HRS and providing the appro-
(2) Inclusion of a release on the NPL priate backup documentation.
does not imply that monies will be ex- (1) Lead agencies may submit HRS
pended, nor does the rank of a release scoring packages to EPA anytime
on the NPL establish the precise prior- throughout the year.
ities for the allocation of Fund re- (2) EPA shall review lead agencies’
sources. EPA may also pursue other HRS scoring packages and revise them
appropriate authorities to remedy the as appropriate. EPA shall develop any
release, including enforcement actions additional HRS scoring packages on re-
under CERCLA and other laws. A site’s leases known to EPA.
rank on the NPL serves, along with (3) EPA shall compile the NPL based
other factors, including enforcement on the methods identified in paragraph
actions, as a basis to guide the alloca- (c) of this section.
tion of Fund resources among releases. (4) EPA shall update the NPL at least
(3) Federal facilities that meet the once a year.
criteria identified in paragraph (c) of (5) To ensure public involvement dur-
this section are eligible for inclusion ing the proposal to add a release to the
on the NPL. Except as provided by NPL, EPA shall:
CERCLA sections 111(e)(3) and 111(c), (i) Publish the proposed rule in the
federal facilities are not eligible for FEDERAL REGISTER and solicit com-
Fund-financed remedial actions. ments through a public comment pe-
riod; and
(4) Inclusion on the NPL is not a pre-
(ii) Publish the final rule in the FED-
condition to action by the lead agency
ERAL REGISTER, and make available a
under CERCLA sections 106 or 122 or to
response to each significant comment
action under CERCLA section 107 for
and any significant new data submitted
recovery of non-Fund-financed costs or
during the comment period.
Fund-financed costs other than Fund-
(6) Releases may be categorized on
financed remedial construction costs.
the NPL when deemed appropriate by
(c) Methods for determining eligibility EPA.
for NPL. A release may be included on
(e) Deletion from the NPL. Releases
the NPL if the release meets one of the may be deleted from or recategorized
following criteria: on the NPL where no further response
(1) The release scores sufficiently is appropriate.
high pursuant to the Hazard Ranking (1) EPA shall consult with the state
System described in appendix A to this on proposed deletions from the NPL
part. prior to developing the notice of intent
(2) A state (not including Indian to delete. In making a determination
tribes) has designated a release as its to delete a release from the NPL, EPA
highest priority. States may make shall consider, in consultation with the
only one such designation; or state, whether any of the following cri-
(3) The release satisfies all of the fol- teria has been met:
lowing criteria: (i) Responsible parties or other per-
(i) The Agency for Toxic Substances sons have implemented all appropriate
and Disease Registry has issued a response actions required;
health advisory that recommends dis- (ii) All appropriate Fund-financed re-
sociation of individuals from the response under CERCLA has been imple-
lease; mented, and no further response action
65
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
by responsible parties is appropriate; reduce, or control risks to human

or health and the environment. Remedial
(iii) The remedial investigation has actions are to be implemented as soon
shown that the release poses no signifi- as site data and information make it
cant threat to public health or the en- possible to do so. Accordingly, EPA has
vironment and, therefore, taking of re- established the following program goal,
medial measures is not appropriate. expectations, and program manage-
(2) Releases shall not be deleted from ment principles to assist in the identi-
the NPL until the state in which the fication and implementation of appro-
release was located has concurred on priate remedial actions.
the proposed deletion. EPA shall pro- (i) Program goal. The national goal of
vide the state 30 working days for re- the remedy selection process is to se-
view of the deletion notice prior to its lect remedies that are protective of
publication in the FEDERAL REGISTER. human health and the environment,
(3) All releases deleted from the NPL that maintain protection over time,
are eligible for further Fund-financed and that minimize untreated waste.
remedial actions should future condi- (ii) Program management principles.
tions warrant such action. Whenever EPA generally shall consider the fol-
there is a significant release from a lowing general principles of program
site deleted from the NPL, the site management during the remedial proc-
shall be restored to the NPL without ess:
application of the HRS. (A) Sites should generally be remedi-
(4) To ensure public involvement dur- ated in operable units when early ac-
ing the proposal to delete a release
tions are necessary or appropriate to
from the NPL, EPA shall:
achieve significant risk reduction
(i) Publish a notice of intent to de-
quickly, when phased analysis and re-
lete in the FEDERAL REGISTER and so-
sponse is necessary or appropriate
licit comment through a public com-
given the size or complexity of the site,
ment period of a minimum of 30 cal-
or to expedite the completion of total
endar days;
site cleanup.
(ii) In a major local newspaper of
general circulation at or near the re- (B) Operable units, including interim
lease that is proposed for deletion, pub- action operable units, should not be in-
lish a notice of availability of the no- consistent with nor preclude imple-
tice of intent to delete; mentation of the expected final rem-
(iii) Place copies of information sup- edy.
porting the proposed deletion in the in- (C) Site-specific data needs, the eval-
formation repository, described in uation of alternatives, and the docu-
§ 300.430(c)(2)(iii), at or near the release mentation of the selected remedy
proposed for deletion. These items should reflect the scope and com-
shall be available for public inspection plexity of the site problems being ad-
and copying; and dressed.
(iv) Respond to each significant com- (iii) Expectations. EPA generally shall
ment and any significant new data sub- consider the following expectations in
mitted during the comment period and developing appropriate remedial alter-
include this response document in the natives:
final deletion package. (A) EPA expects to use treatment to
(5) EPA shall place the final deletion address the principal threats posed by
package in the local information repos- a site, wherever practicable. Principal
itory once the notice of final deletion threats for which treatment is most
has been published in the FEDERAL likely to be appropriate include liq-
REGISTER. uids, areas contaminated with high
concentrations of toxic compounds,
§ 300.430 Remedial investigation/feasi- and highly mobile materials.
bility study and selection of rem- (B) EPA expects to use engineering
edy. controls, such as containment, for
(a) General—(1) Introduction. The pur- waste that poses a relatively low long-
pose of the remedy selection process is term threat or where treatment is im-
to implement remedies that eliminate, practicable.
66
(C) EPA expects to use a combination vestigation/feasibility study (RI/FS) is

of methods, as appropriate, to achieve to assess site conditions and evaluate
protection of human health and the en- alternatives to the extent necessary to
vironment. In appropriate site situa- select a remedy. Developing and con-
tions, treatment of the principal ducting an RI/FS generally includes
threats posed by a site, with priority the following activities: project
placed on treating waste that is liquid, scoping, data collection, risk assess-
highly toxic or highly mobile, will be ment, treatability studies, and analysis
combined with engineering controls of alternatives. The scope and timing
(such as containment) and institu- of these activities should be tailored to
tional controls, as appropriate, for the nature and complexity of the prob-
treatment residuals and untreated lem and the response alternatives
waste. being considered.
(D) EPA expects to use institutional (b) Scoping. In implementing this sec-
controls such as water use and deed re- tion, the lead agency should consider
strictions to supplement engineering the program goal, program manage-
controls as appropriate for short- and ment principles, and expectations con-
long-term management to prevent or tained in this rule. The investigative
limit exposure to hazardous sub- and analytical studies should be tai-
stances, pollutants, or contaminants. lored to site circumstances so that the
Institutional controls may be used dur- scope and detail of the analysis is ap-
ing the conduct of the remedial inves- propriate to the complexity of site
tigation/feasibility study (RI/FS) and problems being addressed. During
implementation of the remedial action scoping, the lead and support agencies
and, where necessary, as a component shall confer to identify the optimal set
of the completed remedy. The use of in- and sequence of actions necessary to
stitutional controls shall not sub- address site problems. Specifically, the
stitute for active response measures lead agency shall:
(e.g., treatment and/or containment of
(1) Assemble and evaluate existing
source material, restoration of ground
data on the site, including the results
waters to their beneficial uses) as the
of any removal actions, remedial pre-
sole remedy unless such active meas-
liminary assessment and site inspec-
ures are determined not to be prac-
tions, and the NPL listing process.
ticable, based on the balancing of
trade-offs among alternatives that is (2) Develop a conceptual under-
conducted during the selection of rem- standing of the site based on the eval-
edy. uation of existing data described in
(E) EPA expects to consider using in- paragraph (b)(1) of this section.
novative technology when such tech- (3) Identify likely response scenarios
nology offers the potential for com- and potentially applicable technologies
parable or superior treatment perform- and operable units that may address
ance or implementability, fewer or site problems.
lesser adverse impacts than other (4) Undertake limited data collection
available approaches, or lower costs for efforts or studies where this informa-
similar levels of performance than tion will assist in scoping the RI/FS or
demonstrated technologies. accelerate response actions, and begin
(F) EPA expects to return usable to identify the need for treatability
ground waters to their beneficial uses studies, as appropriate.
wherever practicable, within a time- (5) Identify the type, quality, and
frame that is reasonable given the par- quantity of the data that will be col-
ticular circumstances of the site. When lected during the RI/FS to support de-
restoration of ground water to bene- cisions regarding remedial response ac-
ficial uses is not practicable, EPA ex- tivities.
pects to prevent further migration of (6) Prepare site-specific health and
the plume, prevent exposure to the safety plans that shall specify, at a
contaminated ground water, and evalu- minimum, employee training and pro-
ate further risk reduction. tective equipment, medical surveil-
(2) Remedial investigation/feasibility lance requirements, standard operating

study. The purpose of the remedial in- procedures, and a contingency plan
67
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
that conforms with 29 CFR 1910.120 (ii) Preparing a formal community

(l)(1) and (l)(2). relations plan (CRP), based on the com-
(7) If natural resources are or may be munity interviews and other relevant
injured by the release, ensure that information, specifying the community
state and federal trustees of the af- relations activities that the lead agen-
fected natural resources have been no- cy expects to undertake during the re-
tified in order that the trustees may medial response. The purpose of the
initiate appropriate actions, including CRP is to:
those identified in subpart G of this (A) Ensure the public appropriate op-
part. The lead agency shall seek to co- portunities for involvement in a wide
ordinate necessary assessments, eval- variety of site-related decisions, in-
uations, investigations, and planning cluding site analysis and characteriza-
with such state and federal trustees. tion, alternatives analysis, and selec-
(8) Develop sampling and analysis tion of remedy;
plans that shall provide a process for (B) Determine, based on community
obtaining data of sufficient quality and interviews, appropriate activities to
quantity to satisfy data needs. Sam- ensure such public involvement, and
pling and analysis plans shall be re- (C) Provide appropriate opportunities
viewed and approved by EPA. The sam- for the community to learn about the
pling and analysis plans shall consist site.
of two parts: (iii) Establishing at least one local
(i) The field sampling plan, which de- information repository at or near the
scribes the number, type, and location location of the response action. Each
of samples and the type of analyses; information repository should contain
and a copy of items made available to the
(ii) The quality assurance project public, including information that de-
plan, which describes policy, organiza- scribes the technical assistance grants
tion, and functional activities and the application process. The lead agency
data quality objectives and measures shall inform interested parties of the
necessary to achieve adequate data for establishment of the information re-
use in selecting the appropriate rem- pository.
edy. (iv) Informing the community of the
(9) Initiate the identification of po- availability of technical assistance
tential federal and state ARARs and, grants.
as appropriate, other criteria, (3) For PRP actions, the lead agency
advisories, or guidance to be consid- shall plan and implement the commu-
ered. nity relations program at a site. PRPs
(c) Community relations. (1) The com- may participate in aspects of the com-
munity relations requirements de- munity relations program at the dis-
scribed in this section apply to all re- cretion of and with oversight by the
medial activities undertaken pursuant lead agency.
to CERCLA section 104 and to section (4) The lead agency may conduct
106 or section 122 consent orders or de- technical discussions involving PRPs
crees, or section 106 administrative or- and the public. These technical discus-
ders. sions may be held separately from, but
(2) The lead agency shall provide for contemporaneously with, the negotia-
the conduct of the following commu- tions/settlement discussions.
nity relations activities, to the extent (5) In addition, the following provi-
practicable, prior to commencing field sions specifically apply to enforcement
work for the remedial investigation: actions:
(i) Conducting interviews with local (i) Lead agencies entering into an en-
officials, community residents, public forcement agreement with de minimis
interest groups, or other interested or parties under CERCLA section 122(g) or
affected parties, as appropriate, to so- cost recovery settlements under sec-
licit their concerns and information tion 122(h) shall publish a notice of the
needs, and to learn how and when citi- proposed agreement in the FEDERAL
zens would like to be involved in the REGISTER at least 30 days before the
Superfund process. agreement becomes final, as required
68
by section 122(i). The notice must iden- (ii) Characteristics or classifications

tify the name of the facility and the of air, surface water, and ground water;
parties to the proposed agreement and (iii) The general characteristics of
must allow an opportunity for com- the waste, including quantities, state,
ment and consideration of comments; concentration, toxicity, propensity to
and bioaccumulate, persistence, and mobil-
(ii) Where the enforcement agree- ity;
ment is embodied in a consent decree, (iv) The extent to which the source
public notice and opportunity for pub- can be adequately identified and char-
lic comment shall be provided in ac- acterized;
cordance with 28 CFR 50.7. (v) Actual and potential exposure
(d) Remedial investigation. (1) The pur- pathways through environmental
pose of the remedial investigation (RI) media;
is to collect data necessary to ade- (vi) Actual and potential exposure
quately characterize the site for the routes, for example, inhalation and in-
purpose of developing and evaluating gestion; and
effective remedial alternatives. To (vii) Other factors, such as sensitive
characterize the site, the lead agency populations, that pertain to the char-
shall, as appropriate, conduct field in- acterization of the site or support the
vestigations, including treatability analysis of potential remedial action
studies, and conduct a baseline risk as- alternatives.
sessment. The RI provides information (3) The lead and support agency shall
to assess the risks to human health and identify their respective potential
the environment and to support the de- ARARs related to the location of and
velopment, evaluation, and selection of contaminants at the site in a timely
appropriate response alternatives. Site manner. The lead and support agencies
characterization may be conducted in may also, as appropriate, identify
one or more phases to focus sampling other pertinent advisories, criteria, or
efforts and increase the efficiency of guidance in a timely manner (see
the investigation. Because estimates of § 300.400(g)(3)).
actual or potential exposures and asso- (4) Using the data developed under
ciated impacts on human and environ- paragraphs (d)(1) and (2) of this section,
mental receptors may be refined the lead agency shall conduct a site-
throughout the phases of the RI as new specific baseline risk assessment to
information is obtained, site character- characterize the current and potential
ization activities should be fully inte- threats to human health and the envi-
grated with the development and eval- ronment that may be posed by con-
uation of alternatives in the feasibility taminants migrating to ground water
study. Bench- or pilot-scale treat- or surface water, releasing to air,
ability studies shall be conducted, leaching through soil, remaining in the
when appropriate and practicable, to soil, and bioaccumulating in the food
provide additional data for the detailed chain. The results of the baseline risk
analysis and to support engineering de- assessment will help establish accept-
sign of remedial alternatives. able exposure levels for use in devel-
(2) The lead agency shall characterize oping remedial alternatives in the FS,
the nature of and threat posed by the as described in paragraph (e) of this
hazardous substances and hazardous section.
materials and gather data necessary to (e) Feasibility study. (1) The primary
assess the extent to which the release objective of the feasibility study (FS)
poses a threat to human health or the is to ensure that appropriate remedial
environment or to support the analysis alternatives are developed and evalu-
and design of potential response ac- ated such that relevant information
tions by conducting, as appropriate, concerning the remedial action options
field investigations to assess the fol- can be presented to a decision-maker
lowing factors: and an appropriate remedy selected.
(i) Physical characteristics of the The lead agency may develop a feasi-
site, including important surface fea- bility study to address a specific site
tures, soils, geology, hydrogeology, me- problem or the entire site. The develop-
teorology, and ecology; ment and evaluation of alternatives
69
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
shall reflect the scope and complexity represent an excess upper bound life-
of the remedial action under consider- time cancer risk to an individual of be-
ation and the site problems being ad- tween 10¥4 and 10¥6 using information
dressed. Development of alternatives on the relationship between dose and
shall be fully integrated with the site response. The 10¥6 risk level shall be
characterization activities of the reme- used as the point of departure for de-
dial investigation described in para- termining remediation goals for alter-
graph (d) of this section. The lead agen- natives when ARARs are not available
cy shall include an alternatives screen- or are not sufficiently protective be-
ing step, when needed, to select a rea- cause of the presence of multiple con-
sonable number of alternatives for de- taminants at a site or multiple path-
tailed analysis. ways of exposure;
(2) Alternatives shall be developed (3) Factors related to technical limi-
that protect human health and the en- tations such as detection/quantifica-
vironment by recycling waste or by tion limits for contaminants;
eliminating, reducing, and/or control- (4) Factors related to uncertainty;
ling risks posed through each pathway and
by a site. The number and type of al- (5) Other pertinent information.
ternatives to be analyzed shall be de-
(B) Maximum contaminant level
termined at each site, taking into ac-
goals (MCLGs), established under the
count the scope, characteristics, and
Safe Drinking Water Act, that are set
complexity of the site problem that is
at levels above zero, shall be attained
being addressed. In developing and, as
by remedial actions for ground or sur-
appropriate, screening the alternatives,
the lead agency shall: face waters that are current or poten-
(i) Establish remedial action objec- tial sources of drinking water, where
tives specifying contaminants and the MCLGs are relevant and appro-
media of concern, potential exposure priate under the circumstances of the
pathways, and remediation goals. Ini- release based on the factors in
tially, preliminary remediation goals § 300.400(g)(2). If an MCLG is determined
are developed based on readily avail- not to be relevant and appropriate, the
able information, such as chemical-spe- corresponding maximum contaminant
cific ARARs or other reliable informa- level (MCL) shall be attained where
tion. Preliminary remediation goals relevant and appropriate to the cir-
should be modified, as necessary, as cumstances of the release.
more information becomes available (C) Where the MCLG for a contami-
during the RI/FS. Final remediation nant has been set at a level of zero, the
goals will be determined when the rem- MCL promulgated for that contami-
edy is selected. Remediation goals nant under the Safe Drinking Water
shall establish acceptable exposure lev- Act shall be attained by remedial ac-
els that are protective of human health tions for ground or surface waters that
and the environment and shall be de- are current or potential sources of
veloped by considering the following: drinking water, where the MCL is rel-
(A) Applicable or relevant and appro- evant and appropriate under the cir-
priate requirements under federal envi- cumstances of the release based on the
ronmental or state environmental or factors in § 300.400(g)(2).
facility siting laws, if available, and (D) In cases involving multiple con-
the following factors: taminants or pathways where attain-
(1) For systemic toxicants, accept- ment of chemical-specific ARARs will
able exposure levels shall represent result in cumulative risk in excess of
concentration levels to which the 10¥4, criteria in paragraph (e)(2)(i)(A)
human population, including sensitive of this section may also be considered
subgroups, may be exposed without ad- when determining the cleanup level to
verse effect during a lifetime or part of be attained.
a lifetime, incorporating an adequate (E) Water quality criteria established
margin of safety; under sections 303 or 304 of the Clean
(2) For known or suspected carcino- Water Act shall be attained where rel-
gens, acceptable exposure levels are evant and appropriate under the cir-
generally concentration levels that cumstances of the release.
70
(F) An alternate concentration limit nologies for further consideration if

(ACL) may be established in accord- those technologies offer the potential
ance with CERCLA section for comparable or superior perform-
121(d)(2)(B)(ii). ance or implementability; fewer or
(G) Environmental evaluations shall lesser adverse impacts than other
be performed to assess threats to the available approaches; or lower costs for
environment, especially sensitive habi- similar levels of performance than
tats and critical habitats of species demonstrated treatment technologies.
protected under the Endangered Spe- (6) The no-action alternative, which
cies Act. may be no further action if some re-
(ii) Identify and evaluate potentially moval or remedial action has already
suitable technologies, including inno- occurred at the site, shall be developed.
vative technologies; (7) As appropriate, and to the extent
(iii) Assemble suitable technologies sufficient information is available, the
into alternative remedial actions. short- and long-term aspects of the fol-
(3) For source control actions, the lowing three criteria shall be used to
lead agency shall develop, as appro- guide the development and screening of
priate: remedial alternatives:
(i) A range of alternatives in which (i) Effectiveness. This criterion fo-
treatment that reduces the toxicity, cuses on the degree to which an alter-
mobility, or volume of the hazardous native reduces toxicity, mobility, or
substances, pollutants, or contami- volume through treatment, minimizes
nants is a principal element. As appro- residual risks and affords long-term
priate, this range shall include an al- protection, complies with ARARs,
ternative that removes or destroys haz- minimizes short-term impacts, and
ardous substances, pollutants, or con- how quickly it achieves protection. Al-
taminants to the maximum extent fea- ternatives providing significantly less
sible, eliminating or minimizing, to effectiveness than other, more prom-
the degree possible, the need for long- ising alternatives may be eliminated.
term management. The lead agency Alternatives that do not provide ade-
also shall develop, as appropriate, quate protection of human health and
other alternatives which, at a min- the environment shall be eliminated
imum, treat the principal threats posed from further consideration.
by the site but vary in the degree of (ii) Implementability. This criterion fo-
treatment employed and the quantities cuses on the technical feasibility and
and characteristics of the treatment availability of the technologies each
residuals and untreated waste that alternative would employ and the ad-
must be managed; and ministrative feasibility of imple-
(ii) One or more alternatives that in- menting the alternative. Alternatives
volve little or no treatment, but pro- that are technically or administra-
vide protection of human health and tively infeasible or that would require
the environment primarily by pre- equipment, specialists, or facilities
venting or controlling exposure to haz- that are not available within a reason-
ardous substances, pollutants, or con- able period of time may be eliminated
taminants, through engineering con- from further consideration.
trols, for example, containment, and, (iii) Cost. The costs of construction
as necessary, institutional controls to and any long-term costs to operate and
protect human health and the environ- maintain the alternatives shall be con-
ment and to assure continued effective- sidered. Costs that are grossly exces-
ness of the response action. sive compared to the overall effective-
(4) For ground-water response ac- ness of alternatives may be considered
tions, the lead agency shall develop a as one of several factors used to elimi-
limited number of remedial alternate alternatives. Alternatives pro-
natives that attain site-specific reme- viding effectiveness and
diation levels within different restora- implementability similar to that of an-
tion time periods utilizing one or more other alternative by employing a simi-
different technologies. lar method of treatment or engineering
(5) The lead agency shall develop one control, but at greater cost, may be
or more innovative treatment tech- eliminated.
71
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
(8) The lead agency shall notify the state environmental or facility siting
support agency of the alternatives that laws or provide grounds for invoking
will be evaluated in detail to facilitate one of the waivers under paragraph
the identification of ARARs and, as ap- (f)(1)(ii)(C) of this section.
propriate, pertinent advisories, cri- (C) Long-term effectiveness and perma-
teria, or guidance to be considered. nence. Alternatives shall be assessed
(9) Detailed analysis of alternatives. (i) for the long-term effectiveness and per-
A detailed analysis shall be conducted manence they afford, along with the
on the limited number of alternatives degree of certainty that the alternative
that represent viable approaches to re- will prove successful. Factors that
medial action after evaluation in the shall be considered, as appropriate, in-
screening stage. The lead and support clude the following:
agencies must identify their ARARs re- (1) Magnitude of residual risk re-
lated to specific actions in a timely maining from untreated waste or treat-
manner and no later than the early ment residuals remaining at the con-
stages of the comparative analysis. The clusion of the remedial activities. The
lead and support agencies may also, as characteristics of the residuals should
appropriate, identify other pertinent be considered to the degree that they
advisories, criteria, or guidance in a remain hazardous, taking into account
timely manner. their volume, toxicity, mobility, and
(ii) The detailed analysis consists of propensity to bioaccumulate.
an assessment of individual alter- (2) Adequacy and reliability of con-
natives against each of nine evaluation trols such as containment systems and
criteria and a comparative analysis institutional controls that are nec-
that focuses upon the relative perform- essary to manage treatment residuals
ance of each alternative against those and untreated waste. This factor ad-
criteria. dresses in particular the uncertainties
(iii) Nine criteria for evaluation. The associated with land disposal for pro-
analysis of alternatives under review viding long-term protection from re-
shall reflect the scope and complexity siduals; the assessment of the potential
of site problems and alternatives being need to replace technical components
evaluated and consider the relative sig- of the alternative, such as a cap, a slur-
nificance of the factors within each cri- ry wall, or a treatment system; and the
teria. The nine evaluation criteria are potential exposure pathways and risks
as follows: posed should the remedial action need
(A) Overall protection of human health replacement.
and the environment. Alternatives shall (D) Reduction of toxicity, mobility, or
be assessed to determine whether they volume through treatment. The degree to
can adequately protect human health which alternatives employ recycling or
and the environment, in both the treatment that reduces toxicity, mobil-
short- and long-term, from unaccept- ity, or volume shall be assessed, includ-
able risks posed by hazardous sub- ing how treatment is used to address
stances, pollutants, or contaminants the principal threats posed by the site.
present at the site by eliminating, re- Factors that shall be considered, as ap-
ducing, or controlling exposures to lev- propriate, include the following:
els established during development of (1) The treatment or recycling proc-
remediation goals consistent with esses the alternatives employ and ma-
§ 300.430(e)(2)(i). Overall protection of terials they will treat;
human health and the environment (2) The amount of hazardous sub-
draws on the assessments of other eval- stances, pollutants, or contaminants
uation criteria, especially long-term that will be destroyed, treated, or recy-
effectiveness and permanence, short- cled;
term effectiveness, and compliance (3) The degree of expected reduction
with ARARs. in toxicity, mobility, or volume of the
(B) Compliance with ARARs. The al- waste due to treatment or recycling
ternatives shall be assessed to deter- and the specification of which reduc-
mine whether they attain applicable or tion(s) are occurring;
relevant and appropriate requirements (4) The degree to which the treat-
under federal environmental laws and ment is irreversible;
72
(5) The type and quantity of residuals (3) Net present value of capital and
that will remain following treatment, O&M costs.
considering the persistence, toxicity, (H) State acceptance. Assessment of
mobility, and propensity to bio- state concerns may not be completed
accumulate of such hazardous sub- until comments on the RI/FS are re-
stances and their constituents; and ceived but may be discussed, to the ex-
(6) The degree to which treatment re- tent possible, in the proposed plan
duces the inherent hazards posed by issued for public comment. The state
principal threats at the site. concerns that shall be assessed include
(E) Short-term effectiveness. The short- the following:
term impacts of alternatives shall be (1) The state’s position and key con-
assessed considering the following: cerns related to the preferred alter-
(1) Short-term risks that might be native and other alternatives; and
posed to the community during imple- (2) State comments on ARARs or the
mentation of an alternative; proposed use of waivers.
(2) Potential impacts on workers dur- (I) Community acceptance. This assess-
ing remedial action and the effective- ment includes determining which com-
ness and reliability of protective meas- ponents of the alternatives interested
ures; persons in the community support,
(3) Potential environmental impacts have reservations about, or oppose.
of the remedial action and the effec- This assessment may not be completed
tiveness and reliability of mitigative until comments on the proposed plan
measures during implementation; and are received.
(4) Time until protection is achieved. (f) Selection of remedy—(1) Remedies
(F) Implementability. The ease or dif- selected shall reflect the scope and pur-
ficulty of implementing the alter- pose of the actions being undertaken
natives shall be assessed by considering and how the action relates to long-
the following types of factors as appro- term, comprehensive response at the
priate: site.
(1) Technical feasibility, including (i) The criteria noted in paragraph
technical difficulties and unknowns as- (e)(9)(iii) of this section are used to se-
sociated with the construction and op- lect a remedy. These criteria are cat-
eration of a technology, the reliability egorized into three groups.
of the technology, ease of undertaking (A) Threshold criteria. Overall protec-
additional remedial actions, and the tion of human health and the environ-
ability to monitor the effectiveness of ment and compliance with ARARs (un-
the remedy. less a specific ARAR is waived) are
(2) Administrative feasibility, includ- threshold requirements that each al-
ing activities needed to coordinate ternative must meet in order to be eli-
with other offices and agencies and the gible for selection.
ability and time required to obtain any (B) Primary balancing criteria. The five
necessary approvals and permits from primary balancing criteria are long-
other agencies (for off-site actions); term effectiveness and permanence; re-
(3) Availability of services and mate- duction of toxicity, mobility, or vol-
rials, including the availability of ade- ume through treatment; short-term ef-
quate off-site treatment, storage ca- fectiveness; implementability; and
pacity, and disposal capacity and serv- cost.
ices; the availability of necessary (C) Modifying criteria. State and com-
equipment and specialists, and provi- munity acceptance are modifying cri-
sions to ensure any necessary addi- teria that shall be considered in rem-
tional resources; the availability of edy selection.
services and materials; and availability (ii) The selection of a remedial action
of prospective technologies. is a two-step process and shall proceed
(G) Cost. The types of costs that shall in accordance with § 300.515(e). First,
be assessed include the following: the lead agency, in conjunction with
(1) Capital costs, including both di- the support agency, identifies a pre-
rect and indirect costs; ferred alternative and presents it to
(2) Annual operation and mainte- the public in a proposed plan, for re-
nance costs; and view and comment. Second, the lead
73
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
agency shall review the public com- or limitation through use of another
ments and consult with the state (or method or approach;
support agency) in order to determine (5) With respect to a state require-
if the alternative remains the most ap- ment, the state has not consistently
propriate remedial action for the site applied, or demonstrated the intention
or site problem. The lead agency, as to consistently apply, the promulgated
specified in § 300.515(e), makes the final requirement in similar circumstances
remedy selection decision, which shall at other remedial actions within the
be documented in the ROD. Each reme- state; or
dial alternative selected as a Super- (6) For Fund-financed response ac-
fund remedy will employ the criteria tions only, an alternative that attains
as indicated in paragraph (f)(1)(i) of the ARAR will not provide a balance
this section to make the following de- between the need for protection of
termination: human health and the environment at
(A) Each remedial action selected the site and the availability of Fund
shall be protective of human health monies to respond to other sites that
and the environment. may present a threat to human health
(B) On-site remedial actions selected and the environment.
in a ROD must attain those ARARs (D) Each remedial action selected
that are identified at the time of ROD shall be cost-effective, provided that it
signature or provide grounds for invok- first satisfies the threshold criteria set
ing a waiver under § 300.430(f)(1)(ii)(C). forth in § 300.430(f)(1)(ii)(A) and (B).
(1) Requirements that are promul- Cost-effectiveness is determined by
gated or modified after ROD signature evaluating the following three of the
must be attained (or waived) only when five balancing criteria noted in
determined to be applicable or relevant § 300.430(f)(1)(i)(B) to determine overall
and appropriate and necessary to en- effectiveness: long-term effectiveness
sure that the remedy is protective of and permanence, reduction of toxicity,
human health and the environment. mobility, or volume through treat-
(2) Components of the remedy not de- ment, and short-term effectiveness.
scribed in the ROD must attain (or Overall effectiveness is then compared
waive) requirements that are identified to cost to ensure that the remedy is
as applicable or relevant and appro- cost-effective. A remedy shall be cost-
priate at the time the amendment to effective if its costs are proportional to
the ROD or the explanation of signifi- its overall effectiveness.
cant difference describing the compo- (E) Each remedial action shall utilize
nent is signed. permanent solutions and alternative
(C) An alternative that does not meet treatment technologies or resource re-
an ARAR under federal environmental covery technologies to the maximum
or state environmental or facility extent practicable. This requirement
siting laws may be selected under the shall be fulfilled by selecting the alter-
following circumstances: native that satisfies paragraph
(1) The alternative is an interim (f)(1)(ii)(A) and (B) of this section and
measure and will become part of a provides the best balance of trade-offs
total remedial action that will attain among alternatives in terms of the five
the applicable or relevant and appro- primary balancing criteria noted in
priate federal or state requirement; paragraph (f)(1)(i)(B) of this section.
(2) Compliance with the requirement The balancing shall emphasize long-
will result in greater risk to human term effectiveness and reduction of
health and the environment than other toxicity, mobility, or volume through
alternatives; treatment. The balancing shall also
(3) Compliance with the requirement consider the preference for treatment
is technically impracticable from an as a principal element and the bias
engineering perspective; against off-site land disposal of un-
(4) The alternative will attain a treated waste. In making the deter-
standard of performance that is equiva- mination under this paragraph, the
lent to that required under the other- modifying criteria of state acceptance
wise applicable standard, requirement, and community acceptance described
74
in paragraph (f)(1)(i)(C) of this section mission of written and oral comments

shall also be considered. on the proposed plan and the sup-
(2) The proposed plan. In the first step porting analysis and information lo-
in the remedy selection process, the cated in the information repository, in-
lead agency shall identify the alter- cluding the RI/FS. Upon timely re-
native that best meets the require- quest, the lead agency will extend the
ments in § 300.430(f)(1), above, and shall public comment period by a minimum
present that alternative to the public of 30 additional days;
in a proposed plan. The lead agency, in (D) Provide the opportunity for a
conjunction with the support agency public meeting to be held during the
and consistent with § 300.515(e), shall public comment period at or near the
prepare a proposed plan that briefly de- site at issue regarding the proposed
scribes the remedial alternatives ana- plan and the supporting analysis and
lyzed by the lead agency, proposes a information;
preferred remedial action alternative, (E) Keep a transcript of the public
and summarizes the information relied meeting held during the public com-
upon to select the preferred alter- ment period pursuant to CERCLA sec-
native. The selection of remedy process tion 117(a) and make such transcript
for an operable unit may be initiated available to the public; and
at any time during the remedial action (F) Prepare a written summary of
process. The purpose of the proposed significant comments, criticisms, and
plan is to supplement the RI/FS and new relevant information submitted
provide the public with a reasonable during the public comment period and
opportunity to comment on the pre- the lead agency response to each issue.
ferred alternative for remedial action, This responsiveness summary shall be
as well as alternative plans under con- made available with the record of deci-
sideration, and to participate in the se- sion.
lection of remedial action at a site. At (ii) After publication of the proposed
a minimum, the proposed plan shall: plan and prior to adoption of the se-
(i) Provide a brief summary descrip- lected remedy in the record of decision,
tion of the remedial alternatives evalu- if new information is made available
ated in the detailed analysis estab- that significantly changes the basic
lished under paragraph (e)(9) of this features of the remedy with respect to
section; scope, performance, or cost, such that
(ii) Identify and provide a discussion the remedy significantly differs from
of the rationale that supports the pre- the original proposal in the proposed
ferred alternative; plan and the supporting analysis and
(iii) Provide a summary of any for- information, the lead agency shall:
mal comments received from the sup- (A) Include a discussion in the record
port agency; and of decision of the significant changes
(iv) Provide a summary explanation and reasons for such changes, if the
of any proposed waiver identified under lead agency determines such changes
paragraph (f)(1)(ii)(C) of this section could be reasonably anticipated by the
from an ARAR. public based on the alternatives and
(3) Community relations to support the other information available in the pro-
selection of remedy. (i) The lead agency, posed plan or the supporting analysis
after preparation of the proposed plan and information in the administrative
and review by the support agency, shall record; or
conduct the following activities: (B) Seek additional public comment
(A) Publish a notice of availability on a revised proposed plan, when the
and brief analysis of the proposed plan lead agency determines the change
in a major local newspaper of general could not have been reasonably antici-
circulation; pated by the public based on the infor-
(B) Make the proposed plan and sup- mation available in the proposed plan
porting analysis and information avail- or the supporting analysis and infor-
able in the administrative record re- mation in the administrative record.
quired under subpart I of this part; The lead agency shall, prior to adop-
(C) Provide a reasonable opportunity, tion of the selected remedy in the ROD,
not less than 30 calendar days, for sub- issue a revised proposed plan, which
75
§ 300.430 40 CFR Ch. I (7–1–08 Edition)
shall include a discussion of the signifi- Documentation shall explain how the
cant changes and the reasons for such evaluation criteria in paragraph
changes, in accordance with the public (e)(9)(iii) of this section were used to
participation requirements described select the remedy.
in paragraph (f)(3)(i) of this section. (ii) The ROD shall describe the fol-
(4) Final remedy selection. (i) In the lowing statutory requirements as they
second and final step in the remedy se- relate to the scope and objectives of
lection process, the lead agency shall the action:
reassess its initial determination that (A) How the selected remedy is pro-
the preferred alternative provides the tective of human health and the envi-
best balance of trade-offs, now fac- ronment, explaining how the remedy
toring in any new information or
eliminates, reduces, or controls expo-
points of view expressed by the state
sures to human and environmental re-
(or support agency) and community
ceptors;
during the public comment period. The
lead agency shall consider state (or (B) The federal and state require-
support agency) and community comments that are applicable or relevant
ments regarding the lead agency’s eval- and appropriate to the site that the
uation of alternatives with respect to remedy will attain;
the other criteria. These comments (C) The applicable or relevant and ap-
may prompt the lead agency to modify propriate requirements of other federal
aspects of the preferred alternative or and state laws that the remedy will not
decide that another alternative pro- meet, the waiver invoked, and the jus-
vides a more appropriate balance. The tification for invoking the waiver;
lead agency, as specified in § 300.515(e), (D) How the remedy is cost-effective,
shall make the final remedy selection i.e., explaining how the remedy pro-
decision and document that decision in vides overall effectiveness proportional
the ROD. to its costs;
(ii) If a remedial action is selected (E) How the remedy utilizes perma-
that results in hazardous substances, nent solutions and alternative treat-
pollutants, or contaminants remaining ment technologies or resource recovery
at the site above levels that allow for technologies to the maximum extent
unlimited use and unrestricted expo- practicable; and
sure, the lead agency shall review such (F) Whether the preference for rem-
action no less often than every five edies employing treatment which per-
years after initiation of the selected manently and significantly reduces the
remedial action. toxicity, mobility, or volume of the
(iii) The process for selection of a re- hazardous substances, pollutants, or
medial action at a federal facility on contaminants as a principal element is
the NPL, pursuant to CERCLA section
or is not satisfied by the selected rem-
120, shall entail:
edy. If this preference is not satisfied,
(A) Joint selection of remedial action
the record of decision must explain
by the head of the relevant depart-
why a remedial action involving such
ment, agency, or instrumentality and
reductions in toxicity, mobility, or vol-
EPA; or
(B) If mutual agreement on the rem- ume was not selected.
edy is not reached, selection of the (iii) The ROD also shall:
remedy is made by EPA. (A) Indicate, as appropriate, the re-
(5) Documenting the decision. (i) To mediation goals, discussed in para-
support the selection of a remedial ac- graph (e)(2)(i) of this section, that the
tion, all facts, analyses of facts, and remedy is expected to achieve. Per-
site-specific policy determinations conformance shall be measured at appro-
sidered in the course of carrying out priate locations in the ground water,
activities in this section shall be docu- surface water, soils, air, and other af-
mented, as appropriate, in a record of fected environmental media. Measure-
decision, in a level of detail appro- ment relating to the performance of
priate to the site situation, for inclu- the treatment processes and the engi-
sion in the administrative record re- neering controls may also be identi-
quired under subpart I of this part. fied, as appropriate;
76
(B) Discuss significant changes and (c) Community relations. (1) Prior to
the response to comments described in the initiation of RD, the lead agency
paragraph (f)(3)(i)(F) of this section; shall review the CRP to determine
(C) Describe whether hazardous sub- whether it should be revised to describe
stances, pollutants, or contaminants further public involvement activities
will remain at the site such that a re- during RD/RA that are not already ad-
view of the remedial action under para- dressed or provided for in the CRP.
graph (f)(4)(ii) of this section no less (2) After the adoption of the ROD, if
often than every five years shall be re- the remedial action or enforcement ac-
quired; and tion taken, or the settlement or con-
(D) When appropriate, provide a com- sent decree entered into, differs signifi-
mitment for further analysis and selec- cantly from the remedy selected in the
tion of long-term response measures ROD with respect to scope, perform-
within an appropriate time-frame. ance, or cost, the lead agency shall
(6) Community relations when the consult with the support agency, as ap-
record of decision is signed. After the propriate, and shall either:
ROD is signed, the lead agency shall: (i) Publish an explanation of signifi-
(i) Publish a notice of the avail- cant differences when the differences in
ability of the ROD in a major local the remedial or enforcement action,
newspaper of general circulation; and settlement, or consent decree signifi-
(ii) Make the record of decision avail- cantly change but do not fundamen-
able for public inspection and copying tally alter the remedy selected in the
at or near the facility at issue prior to ROD with respect to scope, perform-
the commencement of any remedial ac- ance, or cost. To issue an explanation
tion. of significant differences, the lead
§ 300.435 Remedial design/remedial ac- agency shall:
tion, operation and maintenance. (A) Make the explanation of signifi-
cant differences and supporting infor-
(a) General. The remedial design/re-
mation available to the public in the
medial action (RD/RA) stage includes
administrative record established
the development of the actual design of
under § 300.815 and the information re-
the selected remedy and implementa-
pository; and
tion of the remedy through construc-
tion. A period of operation and mainte- (B) Publish a notice that briefly sum-
nance may follow the RA activities. marizes the explanation of significant
(b) RD/RA activities. (1) All RD/RA ac- differences, including the reasons for
tivities shall be in conformance with such differences, in a major local news-
the remedy selected and set forth in paper of general circulation; or
the ROD or other decision document (ii) Propose an amendment to the
for that site. Those portions of RD/RA ROD if the differences in the remedial
sampling and analysis plans describing or enforcement action, settlement, or
the QA/QC requirements for chemical consent decree fundamentally alter the
and analytical testing and sampling basic features of the selected remedy
procedures of samples taken for the with respect to scope, performance, or
purpose of determining whether clean- cost. To amend the ROD, the lead agen-
up action levels specified in the ROD cy, in conjunction with the support
are achieved, generally will be con- agency, as provided in § 300.515(e), shall:
sistent with the requirements of (A) Issue a notice of availability and
§ 300.430(b)(8). brief description of the proposed
(2) During the course of the RD/RA, amendment to the ROD in a major
the lead agency shall be responsible for local newspaper of general circulation;
ensuring that all federal and state re- (B) Make the proposed amendment to
quirements that are identified in the the ROD and information supporting
ROD as applicable or relevant and ap- the decision available for public com-
propriate requirements for the action ment;
are met. If waivers from any ARARs (C) Provide a reasonable opportunity,
are involved, the lead agency shall be not less than 30 calendar days, for sub-
responsible for ensuring that the condi- mission of written or oral comments on
tions of the waivers are met. the amendment to the ROD. Upon
77
§ 300.435 40 CFR Ch. I (7–1–08 Edition)
timely request, the lead agency will ex- contract or the liability of potential
tend the public comment period by a prime contractors or subcontractors.
minimum of 30 additional days; (ii) If a potential prime contractor or
(D) Provide the opportunity for a subcontractor has a conflict of interest
public meeting to be held during the that cannot be avoided or otherwise re-
public comment period at or near the solved, and using that potential prime
facility at issue; contractor or subcontractor to conduct
(E) Keep a transcript of comments re- RD/RA or O&M work under a Fund-fi-
ceived at the public meeting held dur- nanced action would not be in the best
ing the public comment period; interests of the state or federal govern-
(F) Include in the amended ROD a ment, an offeror or bidder contem-
brief explanation of the amendment plating use of that prime contractor or
and the response to each of the signifi- subcontractor may be declared non-
cant comments, criticisms, and new responsible or ineligible for award in
relevant information submitted during accordance with appropriate acquisi-
the public comment period; tion regulations, and the contract may
(G) Publish a notice of the avail- be awarded to the next eligible offeror
ability of the amended ROD in a major or bidder.
local newspaper of general circulation; (e) Recontracting. (1) If a Fund-fi-
and nanced contract must be terminated
(H) Make the amended ROD and sup- because additional work outside the
porting information available to the scope of the contract is needed, EPA is
public in the administrative record and authorized to take appropriate steps to
information repository prior to the continue interim RAs as necessary to
commencement of the remedial action reduce risks to public health and the
affected by the amendment. environment. Appropriate steps may
(3) After the completion of the final include extending an existing contract
engineering design, the lead agency for a federal-lead RA or amending a co-
shall issue a fact sheet and provide, as operative agreement for a state-lead
appropriate, a public briefing prior to RA. Until the lead agency can reopen
the initiation of the remedial action. the bidding process and recontract to
(d) Contractor conflict of interest. (1) complete the RA, EPA may take such
For Fund-financed RD/RA and O&M ac- appropriate steps as described above to
tivities, the lead agency shall: cover interim work to reduce such
(i) Include appropriate language in risks, where:
the solicitation requiring potential (i) Additional work is found to be
prime contractors to submit informa- needed as a result of such unforeseen
tion on their status, as well as the sta- situations as newly discovered sources,
tus of their subcontractors, parent types, or quantities of hazardous sub-
companies, and affiliates, as poten- stances at a facility; and
tially responsible parties at the site. (ii) Performance of the complete RA
(ii) Require potential prime contrac- requires the lead agency to rebid the
tors to certify that, to the best of their contract because the existing contract
knowledge, they and their potential does not encompass this newly discov-
subcontractors, parent companies, and ered work.
affiliates have disclosed all informa- (2) The cost of such interim actions
tion described in § 300.435(d)(1)(i) or shall not exceed $2 million.
that no such information exists, and (f) Operation and maintenance. (1) Op-
that any such information discovered eration and maintenance (O&M) meas-
after submission of their bid or pro- ures are initiated after the remedy has
posal or contract award will be dis- achieved the remedial action objectives
closed immediately. and remediation goals in the ROD, and
(2) Prior to contract award, the lead is determined to be operational and
agency shall evaluate the information functional, except for ground- or sur-
provided by the potential prime con- face-water restoration actions covered
tractors and: under § 300.435(f)(4). A state must pro-
(i) Determine whether they have con- vide its assurance to assume responsi-
flicts of interest that could signifi- bility for O&M, including, where appro-
cantly impact the performance of the priate, requirements for maintaining
78
institutional controls, under hazardous substance, pollutant, or con-

§ 300.510(c). taminant as defined under CERCLA
(2) A remedy becomes ‘‘operational sections 101 (14) and (33) (‘‘CERCLA
and functional’’ either one year after waste’’) that is conducted by EPA,
construction is complete, or when the States, private parties, or other Fed-
remedy is determined concurrently by eral agencies, that is Fund-financed
EPA and the state to be functioning and/or is taken pursuant to any
properly and is performing as designed, CERCLA authority, including cleanups
whichever is earlier. EPA may grant at Federal facilities under section 120
extensions to the one-year period, as of CERCLA, and cleanups under section
appropriate. 311 of the Clean Water Act (except for
(3) For Fund-financed remedial ac- cleanup of petroleum exempt under
tions involving treatment or other CERCLA). Applicability extends to
measures to restore ground- or surface- those actions taken jointly under
water quality to a level that assures CERCLA and another authority.
protection of human health and the en- (2) In cases of emergency removal ac-
vironment, the operation of such treat- tions under CERCLA, emergency ac-
ment or other measures for a period of tions taken during remedial actions, or
up to 10 years after the remedy be- response actions under section 311 of
comes operational and functional will the Clean Water Act where the release
be considered part of the remedial ac- poses an immediate and significant
tion. Activities required to maintain threat to human health and the envi-
the effectiveness of such treatment or ronment, the On-Scene Coordinator
measures following the 10-year period, (OSC) may determine that it is nec-
or after remedial action is complete, essary to transfer CERCLA waste off-
whichever is earlier, shall be consid- site without following the require-
ered O&M. For the purposes of federal ments of this section.
funding provided under CERCLA sec-
(3) This section applies to CERCLA
tion 104(c)(6), a restoration activity
wastes from cleanup actions based on
will be considered administratively
CERCLA decision documents signed or
‘‘complete’’ when:
consent decrees lodged after October
(i) Measures restore ground- or sur-
17, 1986 (‘‘post-SARA CERCLA wastes’’)
face-water quality to a level that
as well as those based on CERCLA deci-
assures protection of human health and
sion documents signed and consent de-
the environment;
crees lodged prior to October 17, 1986
(ii) Measures restore ground or sur-
face water to such a point that reduc- (‘‘pre-SARA CERCLA wastes’’). Pre-
tions in contaminant concentrations SARA and post-SARA CERCLA wastes
are no longer significant; or are subject to the same acceptability
(iii) Ten years have elapsed, which- criteria in § 300.440(b)(1) and (2).
ever is earliest. (4) EPA (usually the EPA Regional
(4) The following shall not be deemed Office) will determine the acceptability
to constitute treatment or other meas- under this section of any facility se-
ures to restore contaminated ground or lected for the treatment, storage, or
surface water under § 300.435(f)(3): disposal of CERCLA waste. EPA will
(i) Source control maintenance meas- determine if there are relevant releases
ures; and or relevant violations at a facility
(ii) Ground- or surface-water meas- prior to the facility’s initial receipt of
ures initiated for the primary purpose CERCLA waste. A facility which has
of providing a drinking-water supply, previously been evaluated and found
not for the purpose of restoring ground acceptable under this rule (or the pre-
water. ceding policy) is acceptable until the
EPA Regional Office notifies the facil-
§ 300.440 Procedures for planning and ity otherwise pursuant to § 300.440(d).
implementing off-site response ac- (5) Off-site transfers of those labora-
tions. tory samples and treatability study
(a) Applicability. (1) This section ap- CERCLA wastes from CERCLA sites
plies to any remedial or removal action set out in paragraphs (a)(5)(i) through
involving the off-site transfer of any (iii) of this section, are not subject to
79
§ 300.440 40 CFR Ch. I (7–1–08 Edition)
the requirements of this section. How- Toxic Substances Control Act and sub-
ever, those CERCLA wastes may not be title D of RCRA);
transferred back to the CERCLA site (B) Applicable sections of State envi-
unless the Remedial Project Manager ronmental laws; and
or OSC assures the proper management (C) In addition, land disposal units at
of the CERCLA waste samples or resi- RCRA subtitle C facilities receiving
dues and gives permission to the lab- RCRA hazardous waste from response
oratory or treatment facility for the actions authorized or funded under
samples and/or residues to be returned CERCLA must be in compliance with
to the site. RCRA section 3004(o) minimum tech-
(i) Samples of CERCLA wastes sent nology requirements. Exceptions may
to a laboratory for characterization; be made only if the unit has been
(ii) RCRA hazardous wastes that are granted a waiver from these require-
being transferred from a CERCLA site ments under 40 CFR 264.301.
for treatability studies and that meet (2) Releases. (i) Release is defined in
the requirements for an exemption for § 300.5 of this part. Releases under this
RCRA under 40 CFR 261.4(e); and section do not include:
(iii) Non-RCRA wastes that are being (A) De minimis releases;
transferred from a CERCLA site for (B) Releases permitted under Federal
treatability studies and that are below programs or under Federal programs
the quantity threshold established at delegated to the States (Federally per-
40 CFR 261.4(e)(2). mitted releases are defined in § 300.5),
(b) Acceptability criteria—(1) Facility except to the extent that such releases
compliance. (i) A facility will be deemed are found to pose a threat to human
in compliance for the purpose of this health and the environment; or
rule if there are no relevant violations (C) Releases to the air that do not ex-
at or affecting the unit or units receiv- ceed standards promulgated pursuant
ing CERCLA waste: to RCRA section 3004(n), or absent such
(A) For treatment to standards speci- standards, or where such standards do
fied in 40 CFR part 268, subpart D, in- not apply, releases to the air that do
cluding any pre-treatment or storage not present a threat to human health
units used prior to treatment; or the environment.
(B) For treatment to substantially (ii) Releases from units at a facility
reduce its mobility, toxicity or persist- designated for off-site transfer of
ence in the absence of a defined treat- CERCLA waste must be addressed as
ment standard, including any pre- follows:
treatment or storage units used prior (A) Receiving units at RCRA subtitle C
to treatment; or facilities. CERCLA wastes may be
(C) For storage or ultimate disposal transferred to an off-site unit regulated
of CERCLA waste not treated to the under subtitle C of RCRA, including a
previous criteria at the same facility. facility regulated under the permit-by-
(ii) Relevant violations include sig- rule provisions of 40 CFR 270.60 (a), (b)
nificant deviations from regulations, or (c), only if that unit is not releasing
compliance order provisions, or permit any hazardous waste, hazardous con-
conditions designed to: ensure that stituent, or hazardous substance into
CERCLA waste is destined for and de- the ground water, surface water, soil or
livered to authorized facilities; prevent air.
releases of hazardous waste, hazardous (B) Other units at RCRA subtitle C land
constituents, or hazardous substances disposal facilities. CERCLA wastes may
to the environment; ensure early detec- not be transferred to any unit at a
tion of such releases; or compel correc- RCRA subtitle C land disposal facility
tive action for releases. Criminal viola- where a non-receiving unit is releasing
tions which result in indictment are any hazardous waste, hazardous con-
also relevant violations. In addition, stituent, or hazardous substance into
violations of the following require- the ground water, surface water, soil,
ments may be considered relevant: or air, unless that release is controlled
(A) Applicable subsections of sections by an enforceable agreement for cor-
3004 and 3005 of RCRA or, where appli- rective action under subtitle C of
cable, other Federal laws (such as the RCRA or other applicable Federal or
80
State authority. For purposes of this the State as appropriate, if the release
section, a RCRA ‘‘land disposal facil- is relevant under the rule and if so,
ity’’ is any RCRA facility at which a issue an initial determination of
land disposal unit is located, regardless unacceptability.
of whether a land disposal unit is the (3) EPA may also issue initial deter-
receiving unit. minations of unacceptability based on
(C) Other units at RCRA subtitle C its own findings. EPA can undertake
treatment, storage, and permit-by-rule fa- any inspections, data collection and/or
cilities. CERCLA wastes may not be assessments necessary. EPA will then
transferred to any unit at a RCRA sub- notify with the State about the results
title C treatment, storage or permit- and issue a determination notice if a
by-rule facility, where a release of any relevant violation or release is found.
hazardous waste, hazardous con- (d) Determination of unacceptability.
stituent, or hazardous substance from (1) Upon initial determination by the
non-receiving units poses a significant EPA Regional Office that a facility
threat to public health or the environ- being considered for the off-site trans-
ment, unless that release is controlled fer of any CERCLA waste does not
by an enforceable agreement for cor- meet the criteria for acceptability
rective action under subtitle C of stated in § 300.440(b), the EPA Region
RCRA or other applicable Federal or shall notify the owner/operator of such
State authority. facility, and the responsible agency in
(D) All other facilities. CERCLA the State in which the facility is lo-
wastes should not be transferred to any cated, of the unacceptability finding.
unit at an other-than-RCRA subtitle C The notice will be sent by certified and
facility if the EPA Regional Office has first-class mail, return receipt re-
information indicating that an envi- quested. The certified notice, if not ac-
ronmentally significant release of haz- knowledged by the return receipt card,
ardous substances has occurred at that should be considered to have been re-
facility, unless the release is controlled ceived by the addressee if properly sent
by an enforceable agreement for cor- by regular mail to the last address
rective action under an applicable Fed- known to the EPA Regional Office.
eral or State authority. (2) The notice shall generally: state
(iii) Releases are considered to be that based on available information
‘‘controlled’’ for the purpose of this from a RCRA Facility Assessment
section as provided in § 300.440 (f)(3)(iv) (RFA), inspection, or other data
and (f)(3)(v). A release is not considered sources, the facility has been found not
‘‘controlled’’ for the purpose of this to meet the requirements of § 300.440;
section during the pendency of admin- cite the specific acts, omissions, or
istrative or judicial challenges to cor- conditions which form the basis of
rective action requirements, unless the these findings; and inform the owner/
facility has made the requisite showing operator of the procedural recourse
under § 300.440(e). available under this regulation.
(c) Basis for determining acceptability. (3) A facility which was previously
(1) If a State finds that a facility with- evaluated and found acceptable under
in its jurisdiction is operating in non- this rule (or the preceding policy) may
compliance with state law require- continue to receive CERCLA waste for
ments including the requirements of 60 calendar days after the date of
any Federal program for which the issuance of the notice, unless otherwise
State has been authorized, EPA will determined in accordance with para-
determine, after consulting with the graphs (d)(8) or (d)(9) of this section.
State as appropriate, if the violation is (4) If the owner or operator of the fa-
relevant under the rule and if so, issue cility in question submits a written re-
an initial determination of quest for an informal conference with
unacceptability. the EPA Regional Office within 10 cal-
(2) If a State finds that releases are endar days from the issuance of the no-
occurring at a facility regulated under tice, the EPA Regional Office shall pro-
State law or a Federal program for vide the opportunity for such con-
which the State is authorized, EPA ference no later than 30 calendar days
will determine, after consulting with after the date of the notice, if possible,
81
§ 300.440 40 CFR Ch. I (7–1–08 Edition)
to discuss the basis for the underlying State may request a reconsideration of
violation or release determination, and the unacceptability determination by
its relevance to the facility’s accept- the EPA Regional Administrator (RA).
ability to receive CERCLA cleanup Reconsideration may be by review of
wastes. State representatives may at- the record, by conference, or by other
tend the informal conference, submit means deemed appropriate by the Re-
written comments prior to the infor- gional Administrator; reconsideration
mal conference, and/or request addi- does not automatically stay the deter-
tional meetings with the EPA Region, mination beyond the 60-day period. The
relating to the unacceptability issue owner/operator will receive notice in
during the determination process. If no writing of the decision of the RA.
State representative is present, EPA (8) The EPA Regional Administrator
shall notify the State of the outcome may decide to extend the 60-day period
of the conference. An owner/operator if more time is required to review a
may submit written comments by the submission. The facility owner/oper-
30th day after issuance of the notice, in ator shall be notified in writing if the
addition to or instead of requesting an Regional Administrator extends the 60
informal conference. days.
(5) If the owner or operator neither (9) The EPA Regional Office may de-
requests an informal conference nor cide that a facility’s unacceptability is
submits written comments, the facility immediately effective (or effective in
becomes unacceptable to receive less than 60 days) in extraordinary sit-
CERCLA waste on the 60th day after uations such as, but not limited to,
the notice is issued (or on such other emergencies at the facility or egre-
date designated under paragraph (d)(9) gious violations. The EPA Region shall
of this section). The facility will re- notify the facility owner/operator of
main unacceptable until such time as the date of unacceptability, and may
the EPA Regional Office notifies the modify timeframes for comments and
owner or operator otherwise. other procedures accordingly.
(6) If an informal conference is held
(e) Unacceptability during administra-
or written comments are received, the
tive and judicial challenges of corrective
EPA Region shall decide whether or
action decisions. For a facility with re-
not the information provided is suffi-
leases that are subject to a corrective
cient to show that the facility is oper-
action permit, order, or decree, an ad-
ating in physical compliance with re-
ministrative or judicial challenge to
spect to the relevant violations cited in
the corrective action (or a challenge to
the initial notice of unacceptability,
a permit modification calling for addi-
and that all relevant releases have
tional corrective action) shall not be
been eliminated or controlled, as re-
considered to be part of a corrective
quired in paragraph (b)(2) of this sec-
action ‘‘program’’ controlling those re-
tion, such that a determination of ac-
leases and shall not act to stay a deter-
ceptability would be appropriate. EPA
mination of unacceptability under this
will notify the owner/operator in writ-
rule. However, such facility may re-
ing whether or not the information
main acceptable to receive CERCLA
provided is sufficient to support a de-
waste during the pendency of the ap-
termination of acceptability. Unless
peal or litigation if:
EPA determines that information pro-
vided by the owner/operator and the (1) It satisfies the EPA Regional Of-
State is sufficient to support a deter- fice that adequate interim corrective
mination of acceptability, the facility action measures will continue at the
becomes unacceptable on the 60th cal- facility; or
endar day after issuance of the original (2) It demonstrates to the EPA Re-
notice of unacceptability (or other date gional Office the absence of a need to
established pursuant to paragraphs take corrective action during the
(d)(8) or (d)(9) of this section). short-term, interim period.
(7) Within 10 days of hearing from the Either demonstration may be made
EPA Regional Office after the informal during the 60-day review period in the
conference or the submittal of written context of the informal conference and

comments, the owner/operator or the RA reconsideration.
82
(f) Re-evaluating unacceptability. If, release remains controlled as long as

after notification of unacceptability the facility is in compliance with the
and the opportunity to confer as de- order, permit, or decree, and enters
scribed in § 300.440(d), the facility re- into subsequent agreements for imple-
mains unacceptable, the facility can mentation of additional corrective ac-
regain acceptability. A facility found tion measures when necessary, except
to be unacceptable to receive CERCLA during periods of administrative or ju-
wastes based on relevant violations or dicial challenges, when the facility
releases may regain acceptability if must make a demonstration under
the following conditions are met: § 300.440(e) in order to remain accept-
(1) Judgment on the merits. The facil- able.
ity has prevailed on the merits in an
(v) Facilities with releases regulated
administrative or judicial challenge to
the finding of noncompliance or uncon- under other applicable Federal laws, or
trolled releases upon which the State laws under a Federally-delegated
unacceptability determination was program may regain acceptability
based. under this section if the releases are
(2) Relevant violations. The facility deemed by the EPA Regional Office not
has demonstrated to the EPA Region to pose a threat to human health or the
its return to physical compliance for environment, or if the facility enters
the relevant violations cited in the no- into an enforceable agreement under
tice. those laws to conduct corrective action
(3) Releases. The facility has dem- activities to control releases. Releases
onstrated to the EPA Region that: will be deemed controlled upon the
(i) All releases from receiving units issuance of an order, permit, or decree
at RCRA subtitle C facilities have been which initiates and requires one or
eliminated and prior contamination more of the following: a facility inves-
from such releases is controlled by a tigation, a corrective action study,
corrective action program approved and/or corrective measures implemen-
under subtitle C of RCRA; tation. The release remains controlled
(ii) All releases from other units at as long as the facility is in compliance
RCRA subtitle C land disposal facilities with the order, permit, or decree, and
are controlled by a corrective action enters into subsequent agreements for
program approved under subtitle C of
implementation of additional correc-
RCRA;
tive measures when necessary, except
(iii) All releases from other units at
during periods of administrative or ju-
RCRA subtitle C treatment and storage
facilities do not pose a significant dicial challenges, when the facility
threat to human health or the environ- must make a demonstration under
ment, or are controlled by a corrective § 300.440(e) in order to remain accept-
action program approved under sub- able.
title C of RCRA. (4) Prior to the issuance of a deter-
(iv) A RCRA subtitle C corrective ac- mination that a facility has returned
tion program may be incorporated into to acceptability, the EPA Region shall
a permit, order, or decree, including notify the State in which the facility is
the following: a corrective action order located, and provide an opportunity for
under RCRA section 3008(h), section the State to discuss the facility’s ac-
7003 or section 3013, a RCRA permit ceptability status with EPA.
under 40 CFR 264.100 or 264.101, or a per- (5) An unacceptable facility may be
mit under an equivalent authority in a reconsidered for acceptability when-
State authorized for corrective action ever the EPA Regional Office finds that
under RCRA section 3004(u). Releases the facility fulfills the criteria stated
will be deemed controlled upon in § 300.440(b). Upon such a finding, the
issuance of the order, permit, or decree EPA Regional Office shall notify the
which initiates and requires comple- facility and the State in writing.
tion of one or more of the following: a
RCRA Facility Investigation, a RCRA [58 FR 49215, Sept. 22, 1993]
Corrective Measures Study, and/or Cor-

rective Measures Implementation. The
83
§ 300.500 40 CFR Ch. I (7–1–08 Edition)
Subpart F—State Involvement in including a description of the roles and

Hazardous Substance Response the responsibilities of each.
(2) The general requirements for EPA
SOURCE: 55 FR 8853, Mar. 8, 1990, unless oth-
oversight. Oversight requirements may
erwise noted. be more specifically defined in coopera-
tive agreements.
§ 300.500 General. (3) The general nature of lead and
(a) EPA shall ensure meaningful and support agency interaction regarding
substantial state involvement in haz- the review of key documents and/or de-
ardous substance response as specified cision points in removal, pre-remedial,
in this subpart. EPA shall provide an remedial, and enforcement response.
opportunity for state participation in The requirements for EPA and state re-
removal, pre-remedial, remedial, and view of each other’s key documents
enforcement response activities. EPA when each is serving as the support
shall encourage states to enter into an agency shall be equivalent to the ex-
EPA/state Superfund Memorandum of tent practicable. Review times agreed
Agreement (SMOA) under § 300.505 to to in the SMOA must also be docu-
increase state involvement and mented in site-specific cooperative
strengthen the EPA/state partnership. agreements or Superfund state con-
(b) EPA shall encourage states to tracts in order to be binding.
participate in Fund-financed response (4) Procedures for modification of the
in two ways. Pursuant to § 300.515(a), SMOA (e.g., if EPA and a state agree
states may either assume the lead that the lead and support agency roles
through a cooperative agreement for and responsibilities have changed, or if
the response action or may be the sup- modifications are required to achieve
port agency in EPA-lead remedial re- desired goals).
sponse. Section 300.515 sets forth re- (b) The SMOA and any modifications
quirements for state involvement in thereto shall be executed by the EPA
EPA-lead remedial and enforcement re- Regional Administrator and the head
sponse and also addresses comparable of the state agency designated as lead
requirements for EPA involvement in agency for state implementation of
state-lead remedial and enforcement
CERCLA.
response. Section 300.520 specifies re-
quirements for state involvement in (c) Site-specific agreements entered
EPA-lead enforcement negotiations. into pursuant to section 104(d)(1) of
Section 300.525 specifies requirements CERCLA shall be developed in accord-
for state involvement in removal ac- ance with 40 CFR part 35, subpart O.
tions. In addition to the requirements The SMOA shall not supersede such
set forth in this subpart, 40 CFR part agreements.
35, subpart O, ‘‘Cooperative Agree- (d)(1) EPA and the state shall consult
ments and Superfund State Contracts annually to determine priorities and
for Superfund Response Actions,’’ con- make lead and support agency designa-
tains further requirements for state tions for removal, pre-remedial, reme-
participation during response. dial, and enforcement response to be
conducted during the next fiscal year
§ 300.505 EPA/State Superfund Memo- and to discuss future priorities and
randum of Agreement (SMOA). long-term requirements for response.
(a) The SMOA may establish the na- These consultations shall include the
ture and extent of EPA and state inter- exchange of information on both Fund-
action during EPA-lead and state-lead and non-Fund-financed response activi-
response (Indian tribes meeting the re- ties. The SMOA may describe the time-
quirements of § 300.515(b) may be treat- frame and process for the EPA/state
ed as states for purposes of this sec- consultation.
tion). EPA shall enter into SMOA dis- (2) The following activities shall be
cussions if requested by a state. The discussed in the EPA/state consulta-
following may be addressed in a SMOA: tions established in the SMOA, or oth-
(1) The EPA/state or Indian tribe re- erwise initiated and documented in
lationship for removal, pre-remedial, writing in the absence of a SMOA, on a

remedial, and enforcement response, site-specific basis with EPA and the
84
state identifying the lead agency for (or political subdivision-lead) remedial
each response action discussed: action or pursuant to a cooperative
(i) Pre-remedial response actions, in- agreement for a state-lead remedial ac-
cluding preliminary assessments and tion. The SMOA may not be used for
site inspections; this purpose. Federally recognized In-
(ii) Hazard Ranking System scoring dian tribes are not required to provide
and NPL listing and deletion activities; CERCLA section 104(c)(3) assurances
(iii) Remedial phase activities, infor Fund-financed response actions.
cluding remedial investigation/feasi- Further requirements pertaining to
bility study, identification of potential state, political subdivision, and feder-
applicable or relevant and appropriate ally recognized Indian tribe involve-
requirements (ARARs) under federal ment in CERCLA response are found in
and state environmental laws and, as 40 CFR part 35, subpart O.
appropriate, other advisories, criteria, (b)(1) The state is not required to
or guidance to be considered (TBCs), share in the cost of state- or EPA-lead
proposed plan, ROD, remedial design, Fund-financed removal actions (includ-
remedial action, and operation and ing remedial planning activities associ-
maintenance; ated with remedial actions) conducted
(iv) Potentially responsible party pursuant to CERCLA section 104 unless
(PRP) searches, notices to PRPs, re- the facility was operated by the state
sponse to information requests, PRP or a political subdivision thereof at the
negotiations, oversight of PRPs, other time of disposal of hazardous sub-
enforcement actions pursuant to state stances therein and a remedial action
law, and activities where the state pro- is ultimately undertaken at the site.
vides support to EPA; Such remedial planning activities in-
(v) Compilation and maintenance of clude, but are not limited to, remedial
the administrative record for selection investigations (RIs), feasibility studies
of a response action as required by sub- (FSs), and remedial design (RD). States
part I of this part; shall be required to share 50 percent, or
(vi) Related site support activities; greater, in the cost of all Fund-fi-
(vii) State ability to share in the cost nanced response actions if the facility
and timing of payments; and was publicly operated at the time of
(viii) General CERCLA implementa- the disposal of hazardous substances.
tion activities. For other facilities, except federal fa-
(3) If a state is designated as the lead cilities, the state shall be required to
agency for a non-Fund-financed action share 10 percent of the cost of the re-
at an NPL site, the SMOA shall be sup- medial action.
plemented by site-specific enforcement (2) CERCLA section 104(c)(5) provides
agreements between EPA and the state that EPA shall grant a state credit for
which specify schedules and EPA in- reasonable, documented, direct, out-of-
volvement. pocket, non-federal expenditures sub-
(4) In the absence of a SMOA, EPA ject to the limitations specified in
and the state shall comply with the re- CERCLA section 104(c)(5). For a state
quirements in § 300.515(h). If the SMOA to apply credit toward its cost share, it
does not address all of the require- must enter into a cooperative agree-
ments specified in § 300.515(h), EPA and ment or Superfund state contract. The
the state shall comply with any state must submit as soon as possible,
unaddressed requirements in that sec- but no later than at the time CERCLA
tion. section 104 assurances are provided for
a remedial action, its accounting of eli-
§ 300.510 State assurances. gible credit expenditures for EPA
(a) A Fund-financed remedial action verification. Additional credit require-
undertaken pursuant to CERCLA sec- ments are contained in 40 CFR part 35,
tion 104(a) cannot proceed unless a subpart O.
state provides its applicable required (3) Credit may be applied to a state’s
assurances. The assurances must be future cost share requirements at NPL
provided by the state prior to the initi- sites for response expenditures or obli-
ation of remedial action pursuant to a gations incurred by the state or a po-

Superfund state contract for EPA-lead litical subdivision from January 1, 1978
85
§ 300.515 40 CFR Ch. I (7–1–08 Edition)
to December 11, 1980, and for the reme- (i) Have adequate capacity for the de-
dial action expenditures incurred only struction, treatment, or secure disposi-
by the state after October 17, 1986. tion of all hazardous wastes that are
(4) Credit that exceeds the required reasonably expected to be generated
cost share at the site for which the within the state during the 20-year pe-
credit is granted may be transferred to riod following the date of such coopera-
another site to offset a state’s required tive agreement or Superfund state con-
remedial action cost share. tract and to be destroyed, treated, or
(c)(1) Prior to a Fund-financed reme- disposed;
dial action, the state must also provide (ii) Are within the state, or outside
its assurance in accordance with the state in accordance with an inter-
CERCLA section 104(c)(3)(A) to assume state agreement or regional agreement
responsibility for operation and main- or authority;
tenance of implemented remedial ac- (iii) Are acceptable to EPA; and
tions for the expected life of such ac-
(iv) Are in compliance with the re-
tions. In addition, when appropriate, as
quirements of Subtitle C of the Solid
part of the O&M assurance, the state
must assure that any institutional con- Waste Disposal Act.
trols implemented as part of the reme- (2) This rule does not address wheth-
dial action at a site are in place, reli- er or not Indian tribes are states for
able, and will remain in place after the purposes of this paragraph (e).
initiation of O&M. The state and EPA (f) EPA may determine that an inter-
shall consult on a plan for operation est in real property must be acquired
and maintenance prior to the initiation in order to conduct a response action.
of a remedial action. However, as provided in CERCLA sec-
(2) After a joint EPA/State inspection tion 104(j)(2), EPA may acquire an in-
of the implemented Fund-financed re- terest in real estate in order to conduct
medial action under § 300.515(g), EPA a remedial action only if the State in
may share, for any extension period es- which the interest to be acquired is lo-
tablished in § 300.435(f)(2), in the cost of cated provides assurances, through a
the operation of the remedy to ensure contract, cooperative agreement or
that the remedy is operational and otherwise, that the State will accept
functional. In the case of restoration of transfer of the interest upon comple-
ground or surface water, EPA shall tion of the remedial action. For pur-
share in the cost of the State’s oper- poses of this paragraph, ‘‘completion of
ation of ground- or surface-water res- the remedial action’’ is the point at
toration remedial actions as specified which operation and maintenance
in § 300.435(f)(3). (O&M) measures would be initiated
(d) In accordance with CERCLA sec- pursuant to § 300.435(f). The State may
tions 104 (c)(3)(B) and 121(d)(3), if the accept a transfer of interest at an ear-
remedial action requires off-site stor- lier point in time if agreed upon in
age, destruction, treatment, or dis- writing by the State and EPA. Indian
posal, the state must provide its assur- tribe assurances are to be provided as
ance before the remedial action begins set out at 40 CFR part 35, subpart O,
on the availability of a hazardous § 35.6110(b)(2).
waste disposal facility that is in com-
pliance with CERCLA section 121(d)(3) [55 FR 8853, Mar. 8, 1990, as amended at 59 FR
and is acceptable to EPA. 35854, July 14, 1994]
(e)(1) In accordance with CERCLA
section 104(c)(9), EPA shall not provide § 300.515 Requirements for state in-
volvement in remedial and enforce-
any remedial action pursuant to ment response.
CERCLA section 104 until the state in
which the release occurs enters into a (a) General. (1) States are encouraged
cooperative agreement or Superfund to undertake actions authorized under
state contract with EPA providing as- subpart E. Section 104(d)(1) of CERCLA
surances deemed adequate by EPA that authorizes EPA to enter into coopera-
the state will assure the availability of tive agreements or contracts with a
hazardous waste treatment or disposal state, political subdivision, or a feder-

facilities which: ally recognized Indian tribe to carry
86
out Fund-financed response actions au- view releases which were scored by
thorized under CERCLA, when EPA de- EPA and which will be considered for
termines that the state, the political placement on the National Priorities
subdivision, or federally recognized In- List (NPL).
dian tribe has the capability to under- (3) EPA shall provide the state 30
take such actions. EPA will use a coop- working days to review and concur on
erative agreement to transfer funds to the Notice of Intent to Delete a release
those entities to undertake Fund-fi- from the NPL. Section 300.425 describes
nanced response activities. The re- the EPA/state consultation and concur-
quirements for states, political sub- rence process for deleting releases from
divisions, or Indian tribes to receive the NPL.
funds as a lead or support agency for
(d) State involvement in RI/FS process.
response are addressed at 40 CFR part
A key component of the EPA/state
35, subpart O.
partnership shall be the communica-
(2) For EPA-lead Fund-financed re-
medial planning activities, including, tion of potential federal and state
but not limited to, remedial investiga- ARARs and, as appropriate, other per-
tions, feasibility studies, and remedial tinent advisories, criteria, or guidance
designs, the state agency acceptance of to be considered (TBCs).
the support agency role during an (1) In accordance with §§ 300.400(g)
EPA-lead response shall be documented and 300.430, the lead and support agen-
in a letter, SMOA, or cooperative cies shall identify their respective po-
agreement. Superfund state contracts tential ARARs and communicate them
are unnecessary for this purpose. to each other in a timely manner, i.e.,
(3) Cooperative agreements and no later than the early stages of the
Superfund state contracts are only ap- comparative analysis described in
propriate for non-Fund-financed re- § 300.430(e)(9), such that sufficient time
sponse actions if a state intends to is available for the lead agency to con-
seek credit for remedial action ex- sider and incorporate all potential
penses under § 300.510. ARARs without inordinate delays and
(b) Indian tribe involvement during re- duplication of effort. The lead and sup-
sponse. To be afforded substantially the port agencies may also identify TBCs
same treatment as states under section and communicate them in a timely
104 of CERCLA, the governing body of manner.
the Indian tribe must: (2) When a state and EPA have en-
(1) Be federally recognized; and tered into a SMOA, the SMOA may
(2) Have a tribal governing body that specify a consultation process which
is currently performing governmental requires the lead agency to solicit po-
functions to promote the health, safe-
tential ARARs at specified points in
ty, and welfare of the affected popu-
the remedial planning and remedy se-
lation or to protect the environment
lection processes. At a minimum, the
within a defined geographic area; and
(3) Have jurisdiction over a site at SMOA shall include the points speci-
which Fund-financed response, includ- fied in § 300.515(h)(2). The SMOA shall
ing pre-remedial activities, is con- specify timeframes for support agency
templated. response to lead agency requests to en-
(c) State involvement in PA/SI and Na- sure that potential ARARs are identi-
tional Priorities List process. EPA shall fied and communicated in a timely
ensure state involvement in the listing manner. Such timeframes must also be
and deletion process by providing documented in site-specific agree-
states opportunities for review, con- ments. The SMOA may also discuss
sultation, or concurrence specified in identification and communication of
this section. TBCs.
(1) EPA shall consult with states as (3) If EPA in its statement of a pro-
appropriate on the information to be posed plan intends to waive any state-
used in developing HRS scores for re- identified ARARs, or does not agree
leases. with the state that a certain state
(2) EPA shall, to the extent feasible, standard is an ARAR, it shall formally
provide the state 30 working days to re- notify the state when it submits the
87
§ 300.515 40 CFR Ch. I (7–1–08 Edition)
RI/FS report for state review or re- (ii) State concurrence on a ROD is
sponds to the state’s submission of the not a prerequisite to EPA’s selecting a
RI/FS report. remedy, i.e., signing a ROD, nor is
(4) EPA shall respond to state com- EPA’s concurrence a prerequisite to a
ments on waivers from or disagree- state’s selecting a remedy at a non-
ments about state ARARs, as well as Fund-financed state-lead enforcement
the preferred alternative when making site under state law. Unless EPA’s As-
the RI/FS report and proposed plan sistant Administrator for Solid Waste
available for public comment. and Emergency Response or Regional
(e) State involvement in selection of Administrator concurs in writing with
remedy. (1) Both EPA and the state a state-prepared ROD, EPA shall not be
shall be involved in preliminary discus- deemed to have approved the state de-
sions of the alternatives addressed in cision. A state may not proceed with a
the FS prior to preparation of the pro- Fund-financed response action unless
posed plan and ROD. At the conclusion EPA has first concurred in and adopted
of the RI/FS, the lead agency, in con- the ROD. Section 300.510(a) specifies
junction with the support agency, shall limitations on EPA’s proceeding with a
develop a proposed plan. The support remedial action without state assur-
agency shall have an opportunity to ances.
comment on the plan. The lead agency (iii) The lead agency shall provide
shall publish a notice of availability of the support agency with a copy of the
the RI/FS report and a brief analysis of signed ROD for remedial actions to be
the proposed plan pursuant to conducted pursuant to CERCLA.
§ 300.430(e) and (f). Included in the pro- (iv) On state-lead sites identified for
posed plan shall be a statement that EPA concurrence, the state generally
the lead and support agencies have shall be expected to maintain its lead
reached agreement or, where this is not agency status through the completion
the case, a statement explaining the
of the remedial action.
concerns of the support agency with
(f) Enhancement of remedy. (1) A state
the lead agency’s proposed plan. The
may ask EPA to make changes in or
state may not publish a proposed plan
that EPA has not approved. EPA may expansions of a remedial action se-
assume the lead from the state if lected under subpart E.
agreement cannot be reached. (i) If EPA finds that the proposed
(2)(i) EPA and the state shall iden- change or expansion is necessary and
tify, at least annually, sites for which appropriate to the EPA-selected reme-
RODs will be prepared during the next dial action, the remedy may be modi-
fiscal year, in accordance with fied (consistent with § 300.435(c)(2)) and
§ 300.515(h)(1). For all EPA-lead sites, any additional costs paid as part of the
EPA shall prepare the ROD and provide remedial action.
the state an opportunity to concur (ii) If EPA finds that the proposed
with the recommended remedy. For change or expansion is not necessary to
Fund-financed state-lead sites, EPA the selected remedial action, but would
and the state shall designate sites, in a not conflict or be inconsistent with the
site-specific agreement, for which the EPA-selected remedy, EPA may agree
state shall prepare the ROD and seek to integrate the proposed change or ex-
EPA’s concurrence and adoption of the pansion into the planned CERCLA re-
remedy specified therein, and sites for medial work if:
which EPA shall prepare the ROD and (A) The state agrees to fund the en-
seek the state’s concurrence. EPA and tire additional cost associated with the
the state may designate sites for which change or expansion; and
the state shall prepare the ROD for (B) The state agrees to assume the
non-Fund-financed state-lead enforce- lead for supervising the state-funded
ment response actions (i.e., actions component of the remedy or, if EPA de-
taken under state law) at an NPL site. termines that the state-funded compo-
The state may seek EPA’s concurrence nent cannot be conducted as a separate
in the remedy specified therein. Either phase or activity, for supervising the
EPA or the state may choose not to remedial design and construction of
designate a site as state-lead. the entire remedy.
88
(2) Where a state does not concur in discuss and communicate other perti-
a remedial action secured by EPA nent advisories, criteria, or guidance to
under CERCLA section 106, and the be considered (TBCs). After the initial
state desires to have the remedial ac- screening of alternatives has been com-
tion conform to an ARAR that has pleted but prior to initiation of the
been waived under § 300.430(f)(1)(ii)(C), a comparative analysis conducted during
state may seek to have that remedial the detailed analysis phase of the FS,
action so conform, in accordance with the lead agency shall request that the
the procedures set out in CERCLA sec- support agency communicate any addi-
tion 121(f)(2) . tional requirements that are applicable
(g) State involvement in remedial de- or relevant and appropriate to the al-
sign/remedial action. The extent and na-
ternatives contemplated within 30
ture of state involvement during reme-
working days of receipt of this request.
dial design and remedial action shall
be specified in site-specific cooperative The lead agency shall thereafter con-
agreements or Superfund state consult the support agency to ensure that
tracts, consistent with 40 CFR part 35, identified ARARs and TBCs are up-
subpart O. For Fund-financed remedial dated as appropriate.
actions, the lead and support agencies (3) Support agency review of lead agen-
shall conduct a joint inspection at the cy documents. The lead agency shall
conclusion of construction of the reme- provide the support agency an oppor-
dial action to determine that the rem- tunity to review and comment on the
edy has been constructed in accordance RI/FS, proposed plan, ROD, and reme-
with the ROD and with the remedial dial design, and any proposed deter-
design. minations on potential ARARs and
(h) Requirements for state involvement TBCs. The support agency shall have a
in absence of SMOA. In the absence of a minimum of 10 working days and a
SMOA, EPA and the state shall comply maximum of 15 working days to pro-
with the requirements in § 300.515(h). If vide comments to the lead agency on
the SMOA does not address all of the the RI/FS, ROD, ARAR/TBC determina-
requirements specified in § 300.515(h), tions, and remedial design. The support
EPA and the state shall comply with agency shall have a minimum of five
any unaddressed requirements in that working days and a maximum of 10
section.
working days to comment on the pro-
(1) Annual consultations. EPA shall
posed plan.
conduct consultations with states at
least annually to establish priorities (i) Administrative record requirements.
and identify and document in writing The state, where it is the lead agency
the lead for remedial and enforcement for a Fund-financed site, shall compile
response for each NPL site within the and maintain the administrative
state for the upcoming fiscal year. record for selection of a response ac-
States shall be given the opportunity tion under subpart I of this part unless
to participate in long-term planning ef- specified otherwise in the SMOA.
forts for remedial and enforcement re-
sponse during these annual consulta- § 300.520 State involvement in EPA-
tions. lead enforcement negotiations.
(2) Identification of ARARs and TBCs. (a) EPA shall notify states of re-
The lead and support agencies shall sponse action negotiations to be con-
discuss potential ARARs during the ducted by EPA with potentially re-
scoping of the RI/FS. The lead agency sponsible parties during each fiscal
shall request potential ARARs from year.
the support agency no later than the (b) The state must notify EPA of
time that the site characterization such negotiations in which it intends
data are available. The support agency to participate.
shall communicate in writing those po-
(c) The state is not foreclosed from
tential ARARs to the lead agency with-
in 30 working days of receipt of the signing a consent decree if it does not
lead agency request for these ARARs. participate substantially in the nego-
The lead and support agencies may also tiations.
89
§ 300.525 40 CFR Ch. I (7–1–08 Edition)
§ 300.525 State involvement in removal sources belonging to, managed by, held
actions. in trust by, appertaining to, or other-
(a) States may undertake Fund-fi- wise controlled (hereinafter referred to
nanced removal actions pursuant to a as ‘‘managed or controlled’’) by the
cooperative agreement with EPA. United States (including the resources
State-lead removal actions taken pur- of the exclusive economic zone).
suant to cooperative agreements must (b) The following individuals shall be
be conducted in accordance with the designated trustee(s) for general
§ 300.415 on removal actions, and 40 CFR categories of natural resources, includ-
part 35, subpart O. ing their supporting ecosystems. They
(b) States are not required under sec- are authorized to act pursuant to sec-
tion 104(c)(3) of CERCLA to share in tion 107(f) of CERCLA, section 311(f)(5)
the cost of a Fund-financed removal of the CWA, or section 1006 of the OPA
action, unless the removal is conducted when there is injury to, destruction of,
at an NPL site that was operated by a loss of, or threat to natural resources,
state or political subdivision at the including their supporting ecosystems,
time of disposal of hazardous sub- as a result of a release of a hazardous
stances therein and a Fund-financed re- substance or a discharge of oil. Not-
medial action is ultimately undertaken withstanding the other designations in
at the site. In this situation, states are this section, the Secretaries of Com-
required to share, 50 percent or greater, merce and the Interior shall act as
in the cost of all removal (including re- trustees of those resources subject to
medial planning) and remedial action their respective management or con-
costs at the time of the remedial ac- trol.
tion. (1) Secretary of Commerce. The Sec-
(c) States are encouraged to provide retary of Commerce shall act as trust-
for post-removal site control as dis- ee for natural resources managed or
cussed in § 300.415(k) for all Fund-fi- controlled by DOC and for natural re-
nanced removal actions. sources managed or controlled by other
federal agencies and that are found in,
(d) States shall be responsible for
under, or using waters navigable by
identifying potential state ARARs for
deep draft vessels, tidally influenced
all Fund-financed removal actions and
waters, or waters of the contiguous
for providing such ARARs to EPA in a
zone, the exclusive economic zone, and
timely manner for all EPA-lead re-
the outer continental shelf. However,
moval actions.
before the Secretary takes an action
(e) EPA shall consult with a state on
with respect to an affected resource
all removal actions to be conducted in
under the management or control of
that state.
another federal agency, he shall, when-
ever practicable, seek to obtain the
Subpart G—Trustees for Natural concurrence of that other federal agen-
Resources cy. Examples of the Secretary’s trust-
eeship include the following natural re-
SOURCE: 59 FR 47450, Sept. 15, 1994, unless sources and their supporting eco-
otherwise noted. systems: marine fishery resources;
anadromous fish; endangered species
§ 300.600 Designation of federal trust- and marine mammals; and the re-
ees. sources of National Marine Sanctuaries
(a) The President is required to des- and National Estuarine Research Re-
ignate in the NCP those federal offi- serves.
cials who are to act on behalf of the (2) Secretary of the Interior. The Sec-
public as trustees for natural re- retary of the Interior shall act as
sources. Federal officials so designated trustee for natural resources managed
will act pursuant to section 107(f) of or controlled by the DOI. Examples of
CERCLA, section 311(f)(5) of the CWA, the Secretary’s trusteeship include the
and section 1006 of the OPA. Natural following natural resources and their
resources means land, fish, wildlife, supporting ecosystems: migratory
biota, air, water, ground water, drink- birds; anadromous fish; endangered
ing water supplies, and other such re- species and marine mammals; federally
90
owned minerals; and certain federally § 300.610 Indian tribes.

managed water resources. The Sec-
The tribal chairmen (or heads of the
retary of the Interior shall also be
governing bodies) of Indian tribes, as
trustee for those natural resources for
defined in § 300.5, or a person designated
which an Indian tribe would otherwise
by the tribal officials, shall act on be-
act as trustee in those cases where the half of the Indian tribes as trustees for
United States acts on behalf of the In- the natural resources, including their
dian tribe. supporting ecosystems, belonging to,
(3) Secretary for the land managing managed by, controlled by, or apper-
agency. For natural resources located taining to such Indian tribe, or held in
on, over, or under land administered by trust for the benefit of such Indian
the United States, the trustee shall be tribe, or belonging to a member of such
the head of the department in which Indian tribe, if such resources are sub-
the land managing agency is found. ject to a trust restriction on alien-
The trustees for the principal federal ation. When the tribal chairman or
land managing agencies are the Secre- head of the tribal governing body des-
taries of DOI, USDA, DOD, and DOE. ignates another person as trustee, the
(4) Head of authorized agencies. For tribal chairman or head of the tribal
natural resources located in the United governing body shall notify the Presi-
States but not otherwise described in dent of such designation. Such officials
this section, the trustee shall be the are authorized to act when there is in-
head of the federal agency or agencies jury to, destruction of, loss of, or
authorized to manage or control those threat to natural resources, including
resources. their supporting ecosystems as a result
of a release of a hazardous substance.
§ 300.605 State trustees.
State trustees shall act on behalf of § 300.612 Foreign trustees.
the public as trustees for natural re- Pursuant to section 1006 of the OPA,
sources, including their supporting eco- foreign trustees shall act on behalf of
systems, within the boundary of a the head of a foreign government as
state or belonging to, managed by, con- trustees for natural resources belong-
trolled by, or appertaining to such ing to, managed by, controlled by, or
state. For the purposes of subpart G of appertaining to such foreign govern-
this part, the definition of the term ment.
state does not include Indian tribes.
The governor of a state is encouraged § 300.615 Responsibilities of trustees.
to designate a state lead trustee to co- (a) Where there are multiple trustees,
ordinate all state trustee responsibil- because of coexisting or contiguous
ities with other trustee agencies and natural resources or concurrent juris-
with response activities of the RRT dictions, they should coordinate and
and OSC. The state’s lead trustee cooperate in carrying out these respon-
would designate a representative to sibilities.
serve as contact with the OSC. This in- (b) Trustees are responsible for desig-
dividual should have ready access to nating to the RRTs and the Area Com-
appropriate state officials with envi- mittees, for inclusion in the RCP and
ronmental protection, emergency re- the ACP, appropriate contacts to re-
sponse, and natural resource respon- ceive notifications from the OSCs/
sibilities. The EPA Administrator or RPMs of discharges or releases.
USCG Commandant or their designees (c)(1) Upon notification or discovery
may appoint the state lead trustee as a of injury to, destruction of, loss of, or
member of the Area Committee. Re- threat to natural resources, trustees
sponse strategies should be coordinated may, pursuant to section 107(f) of
between the state and other trustees CERCLA, or section 311(f)(5) of the
and the OSC for specific natural re- CWA, take the following or other ac-
source locations in an inland or coastal tions as appropriate:
zone and should be included in the Fish (i) Conduct a preliminary survey of
and Wildlife and Sensitive Environ- the area affected by the discharge or
ments Plan annex of the ACP. release to determine if trust resources
91
§ 300.615 40 CFR Ch. I (7–1–08 Edition)
under their jurisdiction are, or poten- trustees shall assure, through the lead
tially may be, affected; administrative trustee, that all data
(ii) Cooperate with the OSC/RPM in from the natural resource damage as-
coordinating assessments, investiga- sessment activities that may support
tions, and planning; more effective operational decisions
(iii) Carry out damage assessments; are provided in a timely manner to the
or OSC.
(iv) Devise and carry out a plan for (iii) When circumstances permit, the
restoration, rehabilitation, replace- OSC shall share the use of federal re-
ment, or acquisition of equivalent nat- sponse resources (including but not
ural resources. In assessing damages to limited to aircraft, vessels, and booms
natural resources, the federal, state, to contain and remove discharged oil)
and Indian tribe trustees have the op- with the trustees, providing trustee ac-
tion of following the procedures for tivities do not interfere with response
natural resource damage assessments actions. The lead administrative trust-
located at 43 CFR part 11. ee facilitates effective and efficient
(2) Upon notification or discovery of communication between the OSC and
injury to, destruction of, loss of, or loss the other trustees during response op-
of use of, natural resources, or the po- erations and is responsible for applying
tential for such, resulting from a dis- to the OSC for non-monetary federal
charge of oil occurring after August 18, response resources on behalf of all
1990, the trustees, pursuant to section trustees. The lead administrative
1006 of the OPA, are to take the fol- trustee is also responsible for applying
lowing actions: to the NPFC for funding for initiation
(i) In accordance with OPA section of damage assessment for injuries to
1006(c), determine the need for assess- natural resources.
ment of natural resource damages, col- (d) The authority of federal trustees
lect data necessary for a potential
includes, but is not limited to the fol-
damage assessment, and, where appro-
lowing actions:
priate, assess damages to natural re-
(1) Requesting that the Attorney
sources under their trusteeship; and
General seek compensation from the
(ii) As appropriate, and subject to the
responsible parties for the damages as-
public participation requirements of
sessed and for the costs of an assess-
OPA section 1006(c), develop and imple-
ment and of restoration planning; and
ment a plan for the restoration, reha-
bilitation, replacement, or acquisition (2) Participating in negotiations be-
of the equivalent, of the natural re- tween the United States and poten-
sources under their trusteeship; tially responsible parties to obtain
(3)(i) The trustees, consistent with PRP-financed or PRP-conducted as-
procedures specified in the Fish and sessments and restorations for injured
Wildlife and Sensitive Environments resources or protection for threatened
Plan Annex to the Area Contingency resources and to agree to covenants
Plan, shall provide timely advice on not to sue, where appropriate.
recommended actions concerning (3) Requiring, in consultation with
trustee resources that are potentially the lead agency, any person to comply
affected by a discharge of oil. This may with the requirements of CERCLA sec-
include providing assistance to the tion 104(e) regarding information gath-
OSC in identifying/recommending pre- ering and access.
approved response techniques and in (4) Initiating damage assessments, as
predesignating shoreline types and provided in OPA section 6002.
areas in ACPs. (e) Actions which may be taken by
(ii) The trustees shall assure, any trustee pursuant to section 107(f)
through the lead administrative trust- of CERCLA, section 311(f)(5) of the
ee, that the OSC is informed of their CWA, or section 1006 of the OPA in-
activities regarding natural resource clude, but are not limited to, any of
damage assessment that may affect re- the following:
sponse operations in order to assure co- (1) Requesting that an authorized
ordination and minimize any interagency issue an administrative order

ference with such operations. The or pursue injunctive relief against the
92
parties responsible for the discharge or curred by any other person consistent
release; or with the NCP.
(2) Requesting that the lead agency (3) For the purpose of cost recovery
remove, or arrange for the removal of, under section 107(a)(4)(B) of CERCLA:
or provide for remedial action with re- (i) A private party response action
spect to, any oil or hazardous sub- will be considered ‘‘consistent with the
stances from a contaminated medium NCP’’ if the action, when evaluated as
pursuant to section 104 of CERCLA or a whole, is in substantial compliance
section 311 of CWA. with the applicable requirements in
paragraphs (5) and (6) of this section,
Subpart H—Participation by Other and results in a CERCLA-quality clean-
Persons up; and
(ii) Any response action carried out
in compliance with the terms of an
SOURCE: 59 FR 47452, Sept. 15, 1994, unless order issued by EPA pursuant to sec-
otherwise noted.
tion 106 of CERCLA, or a consent de-
§ 300.700 Activities by other persons. cree entered into pursuant to section
122 of CERCLA, will be considered
(a) General. Except as provided (e.g., ‘‘consistent with the NCP.’’
in CWA section 311(c)), any person may (4) Actions under § 300.700(c)(1) will
undertake a response action to reduce not be considered ‘‘inconsistent with
or eliminate a release of a hazardous the NCP,’’ and actions under
substance, pollutant, or contaminant. § 300.700(c)(2) will not be considered not
(b) Summary of CERCLA authorities. ‘‘consistent with the NCP,’’ based on
The mechanisms available to recover immaterial or insubstantial deviations
the costs of response actions under from the provisions of 40 CFR part 300.
CERCLA are, in summary: (5) The following provisions of this
(1) Section 107(a), wherein any person part are potentially applicable to pri-
may receive a court award of his or her vate party response actions:
response costs, plus interest, from the (i) Section 300.150 (on worker health
party or parties found to be liable; and safety);
(2) Section 111(a)(2), wherein a pri- (ii) Section 300.160 (on documentation
vate party, a PRP pursuant to a settle- and cost recovery);
ment agreement, or certain foreign en- (iii) Section 300.400(c)(1), (4), (5), and
tities may file a claim against the (7) (on determining the need for a
Fund for reimbursement of response Fund-financed action); (e) (on permit
costs; requirements) except that the permit
(3) Section 106(b), wherein any person waiver does not apply to private party
who has complied with a section 106(a) response actions; and (g) (on identifica-
order may petition the Fund for reim- tion of ARARs) except that applicable
bursement of reasonable costs, plus in- requirements of federal or state law
terest; and may not be waived by a private party;
(4) Section 123, wherein a general (iv) Section 300.405(b), (c), and (d) (on
purpose unit of local government may reports of releases to the NRC);
apply to the Fund under 40 CFR part (v) Section 300.410 (on removal site
310 for reimbursement of the costs of evaluation) except paragraphs (f)(5)
temporary emergency measures that and (6);
are necessary to prevent or mitigate (vi) Section 300.415 (on removal ac-
injury to human health or the environ- tions) except paragraphs (a)(2),
ment associated with a release. (b)(2)(vii), (b)(5), and (g); and including
(c) Section 107(a) cost recovery actions. § 300.415(j) with regard to meeting
(1) Responsible parties shall be liable ARARs where practicable except that
for all response costs incurred by the private party removal actions must al-
United States government or a state or ways comply with the requirements of
an Indian tribe not inconsistent with applicable law;
the NCP. (vii) Section 300.420 (on remedial site
(2) Responsible parties shall be liable evaluation);
for necessary costs of response actions (viii) Section 300.430 (on RI/FS and
to releases of hazardous substances in- selection of remedy) except paragraph
93
§ 300.700 40 CFR Ch. I (7–1–08 Edition)
(f)(1)(ii)(C)(6) and that applicable re- (iii) Persons operating under a pro-
quirements of federal or state law may curement contract or an assistance
not be waived by a private party; and agreement with the United States with
(ix) Section 300.435 (on RD/RA and op- respect to matters covered by that con-
eration and maintenance). tract or assistance agreement, unless
(6) Private parties undertaking re- specifically provided therein.
sponse actions should provide an oppor- (2) In order to be reimbursed by the
tunity for public comment concerning Fund, an eligible person must notify
the selection of the response action the Administrator of EPA or designee
based on the provisions set out below, prior to taking a response action and
or based on substantially equivalent receive prior approval, i.e.,
state and local requirements. The fol- ‘‘preauthorization,’’ for such action.
lowing provisions of this part regarding (3) Preauthorization is EPA’s prior
public participation are potentially ap-
approval to submit a claim against the
plicable to private party response ac-
Fund for necessary response costs in-
tions, with the exception of adminis-
trative record and information reposi- curred as a result of carrying out the
tory requirements stated therein: NCP. All applications for
(i) Section 300.155 (on public informa- preauthorization will be reviewed to
tion and community relations); determine whether the request should
(ii) Section 300.415(n) (on community receive priority for funding. EPA, in its
relations during removal actions); discretion, may grant preauthorization
(iii) Section 300.430(c) (on community of a claim. Preauthorization will be
relations during RI/FS) except para- considered only for:
graph (c)(5); (i) Removal actions pursuant to
(iv) Section 300.430(f)(2), (3), and (6) § 300.415;
(on community relations during selec- (ii) CERCLA section 104(b) activities;
tion of remedy); and and
(v) Section 300.435(c) (on community (iii) Remedial actions at National
relations during RD/RA and operation Priorities List sites pursuant to
and maintenance). § 300.435.
(7) When selecting the appropriate re- (4) To receive EPA’s prior approval,
medial action, the methods of rem- the eligible person must:
edying releases listed in appendix D of (i) Demonstrate technical and other
this part may also be appropriate to a capabilities to respond safely and effec-
private party response action. tively to releases of hazardous sub-
(8) Except for actions taken pursuant stances, pollutants, or contaminants;
to CERCLA sections 104 or 106 or re- and
sponse actions for which reimburse- (ii) Establish that the action will be
ment from the Fund will be sought, consistent with the NCP in accordance
any action to be taken by the lead with the elements set forth in para-
agency listed in paragraphs (c)(5) graphs (c)(5) through (8) of this section.
through (c)(7) may be taken by the per-
(5) EPA will grant preauthorization
son carrying out the response action.
to a claim by a party it determines to
(d) Section 111(a)(2) claims. (1) Persons,
be potentially liable under section 107
other than those listed in paragraphs
of CERCLA only in accordance with an
(d)(1)(i) through (iii) of this section,
order issued pursuant to section 106 of
may be able to receive reimbursement
of response costs by means of a claim CERCLA, or a settlement with the fed-
against the Fund. The categories of eral government in accordance with
persons excluded from pursuing this section 122 of CERCLA.
claims authority are: (6) Preauthorization does not estab-
(i) Federal government; lish an enforceable contractual rela-
(ii) State governments, and their po- tionship between EPA and the claim-
litical subdivisions, unless they are po- ant.
tentially responsible parties covered by (7) Preauthorization represents
an order or consent decree pursuant to EPA’s commitment that if funds are

section 122 of CERCLA; and appropriated for response actions, the
94
response action is conducted in accord- Subpart I—Administrative Record

ance with the preauthorization deci- for Selection of Response Action
sion document, and costs are reason-
able and necessary, reimbursement will
SOURCE: 55 FR 8859, Mar. 8, 1990, unless oth-
be made from the Superfund, up to the erwise noted.
maximum amount provided in the
preauthorization decision document. § 300.800 Establishment of an adminis-
(8) For a claim to be awarded under trative record.
section 111 of CERCLA, EPA must cer- (a) General requirement. The lead
tify that the costs were necessary and agency shall establish an administra-
consistent with the preauthorization tive record that contains the docu-
decision document. ments that form the basis for the selec-
(e) Section 106(b) petition. Subject to tion of a response action. The lead
conditions specified in CERCLA sec- agency shall compile and maintain the
tion 106(b), any person who has com- administrative record in accordance
plied with an order issued after October with this subpart.
16, 1986 pursuant to section 106(a) of (b) Administrative records for federal
CERCLA, may seek reimbursement for facilities. (1) If a federal agency other
response costs incurred in complying than EPA is the lead agency for a fed-
with that order unless the person has eral facility, the federal agency shall
waived that right. compile and maintain the administra-
(f) Section 123 reimbursement to local tive record for the selection of the re-
governments. Any general purpose unit sponse action for that facility in ac-
of local government for a political sub- cordance with this subpart. EPA may
division that is affected by a release furnish documents which the federal
may receive reimbursement for the agency shall place in the administra-
costs of temporary emergency meas- tive record file to ensure that the ad-
ures necessary to prevent or mitigate ministrative record includes all docu-
injury to human health or the environments that form the basis for the selec-
tion of the response action.
ment subject to the conditions set
(2) EPA or the U.S. Coast Guard shall
forth in 40 CFR part 310. Such reim-
compile and maintain the administra-
bursement may not exceed $25,000 for a
tive record when it is the lead agency
single response.
for a federal facility.
(g) Release From Liability. Implemen- (3) If EPA is involved in the selection
tation of response measures by poten- of the response action at a federal fa-
tially responsible parties or by any cility on the NPL, the federal agency
other person does not release those acting as the lead agency shall provide
parties from liability under section EPA with a copy of the index of docu-
107(a) of CERCLA, except as provided ments included in the administrative
in a settlement under section 122 of record file, the RI/FS workplan, the RI/
CERCLA or a federal court judgment. FS released for public comment, the
(h) Oil Pollution Act Claims. Claims proposed plan, any public comments re-
are authorized to be presented to the ceived on the RI/FS and proposed plan,
OSLTF under section 1013 of the OPA, and any other documents EPA may re-
for certain uncompensated removal quest on a case-by-case basis.
costs or uncompensated damages re- (c) Administrative record for state-lead
sulting from the discharge, or substan- sites. If a state is the lead agency for a
tial threat of discharge, of oil from a site, the state shall compile and main-
vessel or facility into or upon the navi- tain the administrative record for the
gable waters, adjoining shorelines, or selection of the response action for
exclusive economic zone of the United that site in accordance with this sub-
States. Anyone desiring to file a claim part. EPA may require the state to
against the OSLTF may obtain general place additional documents in the ad-
information on the procedure for filing ministrative record file to ensure that
a claim from the Director, National the administrative record includes all
Pollution Funds Center, Suite 1000, 4200 documents which form the basis for the
Wilson Boulevard, Arlington, Virginia selection of the response action. The

22203–1804, (703) 235–4756. state shall provide EPA with a copy of
95
§ 300.805 40 CFR Ch. I (7–1–08 Edition)
the index of documents included in the the central location, provided that the
administrative record file, the RI/FS literature is listed in the index to the
workplan, the RI/FS released for public administrative record file or the lit-
comment, the proposed plan, any pub- erature is cited in a document in the
lic comments received on the RI/FS record.
and proposed plan, and any other docu- (4) Documents included in the con-
ments EPA may request on a case-by- fidential portion of the administrative
case basis. record file shall be located only in the
(d) Applicability. This subpart applies central location.
to all response actions taken under sec- (5) The administrative record for a
tion 104 of CERCLA or sought, secured, removal action where the release or
or ordered administratively or judi- threat of release requires that on-site
cially under section 106 of CERCLA, as removal activities be initiated within
follows: hours of the lead agency’s determina-
(1) Remedial actions where the reme- tion that a removal is appropriate and
dial investigation commenced after the on-site removal activities cease within
promulgation of these regulations; and 30 days of initiation, need be available
(2) Removal actions where the action for public inspection only at the cen-
memorandum is signed after the pro- tral location.
mulgation of these regulations. (b) Where documents are placed in
(e) For those response actions not in- the central location but not in the file
cluded in paragraph (d) of this section, located at or near the site, such docu-
the lead agency shall comply with this ments shall be added to the file located
subpart to the extent practicable. at or near the site upon request, except
for documents included in paragraph
§ 300.805 Location of the administra- (a)(4) of this section.
tive record file. (c) The lead agency may make the
(a) The lead agency shall establish a administrative record file available to
docket at an office of the lead agency the public in microform.
or other central location at which doc-
uments included in the administrative § 300.810 Contents of the administra-
record file shall be located and a copy tive record file.
of the documents included in the ad- (a) Contents. The administrative
ministrative record file shall also be record file for selection of a response
made available for public inspection at action typically, but not in all cases,
or near the site at issue, except as pro- will contain the following types of doc-
vided below: uments:
(1) Sampling and testing data, qual- (1) Documents containing factual in-
ity control and quality assurance docu- formation, data and analysis of the fac-
mentation, and chain of custody forms, tual information, and data that may
need not be located at or near the site form a basis for the selection of a re-
at issue or at the central location, pro- sponse action. Such documents may in-
vided that the index to the administra- clude verified sampling data, quality
tive record file indicates the location control and quality assurance docu-
and availability of this information. mentation, chain of custody forms, site
(2) Guidance documents not gen- inspection reports, preliminary assess-
erated specifically for the site at issue ment and site evaluation reports,
need not be located at or near the site ATSDR health assessments, documents
at issue, provided that they are main- supporting the lead agency’s deter-
tained at the central location and the mination of imminent and substantial
index to the administrative record file endangerment, public health evalua-
indicates the location and availability tions, and technical and engineering
of these guidance documents. evaluations. In addition, for remedial
(3) Publicly available technical lit- actions, such documents may include
erature not generated for the site at approved workplans for the remedial
issue, such as engineering textbooks, investigation/feasibility study, state
articles from technical journals, and documentation of applicable or rel-
toxicological profiles, need not be lo- evant and appropriate requirements,

cated at or near the site at issue or at and the RI/FS;
96
(2) Guidance documents, technical ments include but are not limited to
literature, and site-specific policy documents subject to the attorney-cli-
memoranda that may form a basis for ent, attorney work product, delibera-
the selection of the response action. tive process, or other applicable privi-
Such documents may include guidance lege.
on conducting remedial investigations (d) Confidential file. If information
and feasibility studies, guidance on de- which forms the basis for the selection
termining applicable or relevant and of a response action is included only in
appropriate requirements, guidance on a document containing confidential or
risk/exposure assessments, engineering privileged information and is not oth-
handbooks, articles from technical erwise available to the public, the in-
journals, memoranda on the applica- formation, to the extent feasible, shall
tion of a specific regulation to a site, be summarized in such a way as to
and memoranda on off-site disposal ca- make it disclosable and the summary
pacity; shall be placed in the publicly avail-
(3) Documents received, published, or able portion of the administrative
made available to the public under record file. The confidential or privi-
§ 300.815 for remedial actions, or leged document itself shall be placed in
§ 300.820 for removal actions. Such doc- the confidential portion of the admin-
uments may include notice of avail- istrative record file. If information,
ability of the administrative record such as confidential business informa-
file, community relations plan, pro- tion, cannot be summarized in a
posed plan for remedial action, notices disclosable manner, the information
of public comment periods, public com- shall be placed only in the confidential
ments and information received by the portion of the administrative record
lead agency, and responses to signifi- file. All documents contained in the
cant comments; confidential portion of the administra-
(4) Decision documents. Such docu- tive record file shall be listed in the
ments may include action memoranda index to the file.
and records of decision;
(5) Enforcement orders. Such docu- § 300.815 Administrative record file for
ments may include administrative or- a remedial action.
ders and consent decrees; and
(6) An index of the documents in- (a) The administrative record file for
cluded in the administrative record the selection of a remedial action shall
file. If documents are customarily be made available for public inspection
grouped together, as with sampling at the commencement of the remedial
data chain of custody documents, they investigation phase. At such time, the
may be listed as a group in the index to lead agency shall publish in a major
the administrative record file. local newspaper of general circulation
(b) Documents not included in the ad- a notice of the availability of the ad-
ministrative record file. The lead agency ministrative record file.
is not required to include documents in (b) The lead agency shall provide a
the administrative record file which do public comment period as specified in
not form a basis for the selection of the § 300.430(f)(3) so that interested persons
response action. Such documents in- may submit comments on the selection
clude but are not limited to draft docu- of the remedial action for inclusion in
ments, internal memoranda, and day- the administrative record file. The lead
to-day notes of staff unless such docu- agency is encouraged to consider and
ments contain information that forms respond as appropriate to significant
the basis of selection of the response comments that were submitted prior to
action and the information is not in- the public comment period. A written
cluded in any other document in the response to significant comments sub-
administrative record file. mitted during the public comment pe-
(c) Privileged documents. Privileged riod shall be included in the adminis-
documents shall not be included in the trative record file.
record file except as provided in para- (c) The lead agency shall comply
graph (d) of this section or where such with the public participation proce-
privilege is waived. Privileged docu- dures required in § 300.430(f)(3) and shall
97
§ 300.820 40 CFR Ch. I (7–1–08 Edition)
document such compliance in the ad- (2) The lead agency shall, as appro-
ministrative record. priate, provide a public comment pe-
(d) Documents generated or received riod of not less than 30 days beginning
after the record of decision is signed at the time the administrative record
shall be added to the administrative file is made available to the public.
record file only as provided in § 300.825. The lead agency is encouraged to con-
sider and respond, as appropriate, to
§ 300.820 Administrative record file for significant comments that were sub-
a removal action. mitted prior to the public comment pe-
(a) If, based on the site evaluation, riod. A written response to significant
the lead agency determines that a re- comments submitted during the public
moval action is appropriate and that a comment period shall be included in
planning period of at least six months the administrative record file.
exists before on-site removal activities (3) Documents generated or received
must be initiated: after the decision document is signed
shall be added to the administrative
(1) The administrative record file
record file only as provided in § 300.825.
shall be made available for public in-
spection when the engineering evalua- § 300.825 Record requirements after
tion/cost analysis (EE/CA) is made the decision document is signed.
available for public comment. At such
(a) The lead agency may add docu-
time, the lead agency shall publish in a
ments to the administrative record file
major local newspaper of general cir-
after the decision document selecting
culation a notice of the availability of
the response action has been signed if:
the administrative record file.
(1) The documents concern a portion
(2) The lead agency shall provide a of a response action decision that the
public comment period as specified in decision document does not address or
§ 300.415 so that interested persons may reserves to be decided at a later date;
submit comments on the selection of or
the removal action for inclusion in the (2) An explanation of significant dif-
administrative record file. The lead ferences required by § 300.435(c), or an
agency is encouraged to consider and amended decision document is issued,
respond, as appropriate, to significant in which case, the explanation of sig-
comments that were submitted prior to nificant differences or amended deci-
the public comment period. A written sion document and all documents that
response to significant comments sub- form the basis for the decision to mod-
mitted during the public comment pe- ify the response action shall be added
riod shall be included in the adminis- to the administrative record file.
trative record file. (b) The lead agency may hold addi-
(3) The lead agency shall comply with tional public comment periods or ex-
the public participation procedures of tend the time for the submission of
§ 300.415(m) and shall document compli- public comment after a decision docu-
ance with § 300.415(m)(3)(i) through (iii) ment has been signed on any issues
in the administrative record file. concerning selection of the response
(4) Documents generated or received action. Such comment shall be limited
after the decision document is signed to the issues for which the lead agency
shall be added to the administrative has requested additional comment. All
record file only as provided in § 300.825. additional comments submitted during
(b) For all removal actions not in- such comment periods that are respon-
cluded in paragraph (a) of this section: sive to the request, and any response to
(1) Documents included in the admin- these comments, along with documents
istrative record file shall be made supporting the request and any final
available for public inspection no later decision with respect to the issue, shall
than 60 days after initiation of on-site be placed in the administrative record
removal activity. At such time, the file.
lead agency shall publish in a major (c) The lead agency is required to
local newspaper of general circulation consider comments submitted by inter-
a notice of availability of the adminis- ested persons after the close of the pub-
trative record file. lic comment period only to the extent
98
that the comments contain significant ington, DC 20460. The telephone num-
information not contained elsewhere in ber is 703–603–8760.
the administrative record file which (2) Products may be added to the
could not have been submitted during NCP Product Schedule by the process
the public comment period and which specified in § 300.920.
substantially support the need to sig- (b) Hazardous Substance Releases. [Re-
nificantly alter the response action. served]
All such comments and any responses
thereto shall be placed in the adminis- [59 FR 47453, Sept. 15, 1994, as amended at 65
trative record file. FR 47325, Aug. 2, 2000]
§ 300.910 Authorization of use.

Subpart J—Use of Dispersants and
Other Chemicals (a) RRTs and Area Committees shall
address, as part of their planning ac-
tivities, the desirability of using appro-
SOURCE: 59 FR 47453, Sept. 15, 1994, unless priate dispersants, surface washing
otherwise noted.
agents, surface collecting agents, bio-
§ 300.900 General. remediation agents, or miscellaneous
oil spill control agents listed on the
(a) Section 311(d)(2)(G) of the CWA NCP Product Schedule, and the desir-
requires that EPA prepare a schedule ability of using appropriate burning
of dispersants, other chemicals, and agents. RCPs and ACPs shall, as appro-
other spill mitigating devices and sub- priate, include applicable
stances, if any, that may be used in preauthorization plans and address the
carrying out the NCP. This subpart specific contexts in which such prod-
makes provisions for such a schedule. ucts should and should not be used. In
(b) This subpart applies to the navi- meeting the provisions of this para-
gable waters of the United States and graph, preauthorization plans may ad-
adjoining shorelines, the waters of the dress factors such as the potential
contiguous zone, and the high seas be- sources and types of oil that might be
yond the contiguous zone in connection spilled, the existence and location of
with activities under the Outer Conti- environmentally sensitive resources
nental Shelf Lands Act, activities that might be impacted by spilled oil,
under the Deepwater Port Act of 1974, available product and storage loca-
or activities that may affect natural tions, available equipment and ade-
resources belonging to, appertaining quately trained operators, and the
to, or under the exclusive management available means to monitor product ap-
authority of the United States, includ- plication and effectiveness. The RRT
ing resources under the Magnuson representatives from EPA and the
Fishery Conservation and Management states with jurisdiction over the waters
Act of 1976. of the area to which a preauthorization
(c) This subpart applies to the use of plan applies and the DOC and DOI nat-
any chemical agents or other additives ural resource trustees shall review and
as defined in subpart A of this part either approve, disapprove, or approve
that may be used to remove or control with modification the preauthorization
oil discharges. plans developed by Area Committees,
as appropriate. Approved
§ 300.905 NCP Product Schedule. preauthorization plans shall be in-
(a) Oil Discharges. (1) EPA shall main- cluded in the appropriate RCPs and
tain a schedule of dispersants and ACPs. If the RRT representatives from
other chemical or bioremediation prod- EPA and the states with jurisdiction
ucts that may be authorized for use on over the waters of the area to which a
oil discharges in accordance with the preauthorization plan applies and the
procedures set forth in § 300.910. This DOC and DOI natural resource trustees
schedule, called the NCP Product approve in advance the use of certain
Schedule, may be obtained from the products under specified circumstances
Emergency Response Division (5202–G), as described in the preauthorization
U.S. Environmental Protection Agen- plan, the OSC may authorize the use of
cy, 1200 Pennsylvania Ave., NW., Wash- the products without obtaining the
99
§ 300.915 40 CFR Ch. I (7–1–08 Edition)
specific concurrences described in para- continued use of a product shall be in

graphs (b) and (c) of this section. accordance with paragraphs (a), (b),
(b) For spill situations that are not and (c) of this section.
addressed by the preauthorization (e) Sinking agents shall not be au-
plans developed pursuant to paragraph thorized for application to oil dis-
(a) of this section, the OSC, with the charges.
concurrence of the EPA representative (f) When developing preauthorization
to the RRT and, as appropriate, the plans, RRTs may require the perform-
concurrence of the RRT representa- ance of supplementary toxicity and ef-
tives from the states with jurisdiction fectiveness testing of products, in addi-
over the navigable waters threatened tion to the test methods specified in
by the release or discharge, and in con- § 300.915 and described in appendix C to
sultation with the DOC and DOI nat- part 300, due to existing site-specific or
ural resource trustees, when prac- area-specific concerns.
ticable, may authorize the use of
dispersants, surface washing agents, § 300.915 Data requirements.
surface collecting agents, bioremedi- (a) Dispersants. (1) Name, brand, or
ation agents, or miscellaneous oil spill trademark, if any, under which the dis-
control agents on the oil discharge, persant is sold.
provided that the products are listed (2) Name, address, and telephone
on the NCP Product Schedule. number of the manufacturer, importer,
(c) The OSC, with the concurrence of or vendor.
the EPA representative to the RRT (3) Name, address, and telephone
and, as appropriate, the concurrence of number of primary distributors or sales
the RRT representatives from the outlets.
states with jurisdiction over the navi- (4) Special handling and worker pre-
gable waters threatened by the release cautions for storage and field applica-
or discharge, and in consultation with tion. Maximum and minimum storage
the DOC and DOI natural resource temperatures, to include optimum
trustees, when practicable, may au- ranges as well as temperatures that
thorize the use of burning agents on a will cause phase separations, chemical
case-by-case basis. changes, or other alterations to the ef-
(d) The OSC may authorize the use of fectiveness of the product.
any dispersant, surface washing agent, (5) Shelf life.
surface collecting agent, other chem- (6) Recommended application proce-
ical agent, burning agent, bioremedi- dures, concentrations, and conditions
ation agent, or miscellaneous oil spill for use depending upon water salinity,
control agent, including products not water temperature, types and ages of
listed on the NCP Product Schedule, the pollutants, and any other applica-
without obtaining the concurrence of tion restrictions.
the EPA representative to the RRT (7) Effectiveness. Use the Swirling
and, as appropriate, the RRT rep- Flask effectiveness test methods de-
resentatives from the states with juris- scribed in appendix C to part 300. Man-
diction over the navigable waters ufacturers shall submit test results and
threatened by the release or discharge, supporting data, along with a certifi-
when, in the judgment of the OSC, the cation signed by responsible corporate
use of the product is necessary to pre- officials of the manufacturer and lab-
vent or substantially reduce a hazard oratory stating that the test was con-
to human life. Whenever the OSC au- ducted on a representative product
thorizes the use of a product pursuant sample, the testing was conducted
to this paragraph, the OSC is to inform using generally accepted laboratory
the EPA RRT representative and, as practices, and they believe the results
appropriate, the RRT representatives to be accurate. A dispersant must at-
from the affected states and, when tain an effectiveness value of 45 per-
practicable, the DOC/DOI natural recent or greater to be added to the NCP
sources trustees of the use of a prod- Product Schedule. Manufacturers are
uct, including products not on the encouraged to provide data on product
Schedule, as soon as possible. Once the performance under conditions other

threat to human life has subsided, the than those captured by these tests.
100
(8) Dispersant Toxicity. For those Liquids (and the Calculation of Dy-
dispersants that meet the effectiveness namic Viscosity).’’
threshold described in paragraph (a)(7) (iv) Specific Gravity—Use ASTM—D
above, use the standard toxicity test 1298–85(90), ‘‘Standard Test Method for
methods described in appendix C to Density, Relative Density (Specific
part 300. Manufacturers shall submit Gravity), or API Gravity of Crude Pe-
test results and supporting data, along troleum and Liquid Petroleum Prod-
with a certification signed by respon- ucts by Hydrometer Method.’’
sible corporate officials of the manu- (v) pH—Use ASTM—D 1293–84(90),
facturer and laboratory stating that ‘‘Standard Test Methods for pH of
the test was conducted on a representa- Water.’’
tive product sample, the testing was (10) Dispersing Agent Components.
conducted using generally accepted Itemize by chemical name and percent-
laboratory practices, and they believe age by weight each component of the
the results to be accurate. total formulation. The percentages will
(9) The following data requirements include maximum, minimum, and aver-
incorporate by reference standards age weights in order to reflect quality
from the 1991 or 1992 Annual Books of control variations in manufacture or
ASTM Standards. American Society formulation. In addition to the chem-
for Testing and Materials, 1916 Race ical information provided in response
Street, Philadelphia, Pennsylvania to the first two sentences, identify the
19103. This incorporation by reference major components in at least the fol-
was approved by the Director of the lowing categories: surface active
Federal Register in accordance with 5 agents, solvents, and additives.
U.S.C. 552(a) and 1 CFR part 51. 1 (11) Heavy Metals, Cyanide, and
(i) Flash Point—Select appropriate Chlorinated Hydrocarbons. Using
method from the following: standard test procedures, state the
(A) ASTM—D 56–87, ‘‘Standard Test
concentrations or upper limits of the
Method for Flash Point by Tag Closed
following materials:
Tester;’’
(B) ASTM—D 92–90, ‘‘Standard Test (i) Arsenic, cadmium, chromium,
Method for Flash and Fire Points by copper, lead, mercury, nickel, zinc,
Cleveland Open Cup;’’ plus any other metals that may be rea-
(C) ASTM—D 93–90, ‘‘Standard Test sonably expected to be in the sample.
Methods for Flash Point by Pensky- Atomic absorption methods should be
Martens Closed Tester;’’ used and the detailed analytical meth-
(D) ASTM—D 1310–86, ‘‘Standard Test ods and sample preparation shall be
Method for Flash Point and Fire Point fully described.
of Liquids by Tag Open-Cup Appa- (ii) Cyanide. Standard calorimetric
ratus;’’ or procedures should be used.
(E) ASTM—D 3278–89, ‘‘Standard Test (iii) Chlorinated hydrocarbons. Gas
Methods for Flash Point of Liquids by chromatography should be used and
Setaflash Closed-Cup Apparatus.’’ the detailed analytical methods and
(ii) Pour Point—Use ASTM—D 97–87, sample preparation shall be fully de-
‘‘Standard Test Method for Pour Point scribed. At a minimum, the following
of Petroleum Oils.’’ test methods shall be used for
(iii) Viscosity—Use ASTM—D 445–88, chlorinated hydrocarbon analyses: EPA
‘‘Standard Test Method for Kinematic Method 601—Purgeable halocarbons
Viscosity of Transparent and Opaque (Standard Method 6230 B) and EPA
Method 608—Organochlorine pesticides
1 Copies of these standards may be obtained and PCBs (Standard Method 6630 C). 2
from the publisher. Copies may be inspected
at the U.S. Environmental Protection Agen- 2 These test methods may be obtained
cy Superfund Docket, located at 1235 Jeffer- from: Standard Methods for the Examination
son Davis Highway, First Floor, Arlington, of Water and Wastewater, 17th Edition,
VA 22202 or send mail to Mail Code 5305G, American Public Health Association, 1989; or
1200 Pennsylvania Ave., NW., Washington, Method 601—Purgeable halocarbons, 40 CFR
DC, or at the Office of the Federal Register, part 136 and Method 608—Organochlorine pes-
1100 L Street, NW., Room 8401, Washington, ticide and PCBs, 40 CFR part 136. Copies may
DC 20408. Continued
101
§ 300.915 40 CFR Ch. I (7–1–08 Edition)
(12) The technical product data sub- (7) Toxicity. Use standard toxicity
mission shall include the identity of test methods described in appendix C
the laboratory that performed the re- to part 300.
quired tests, the qualifications of the (8) Follow the data requirement spec-
laboratory staff, including professional ifications in paragraph (a)(9) of this
biographical information for individ- section.
uals responsible for any tests, and lab- (9) Surface Washing Agent Compo-
oratory experience with similar tests. nents. Itemize by chemical name and
Laboratories performing toxicity tests percentage by weight each component
for dispersant toxicity must dem- of the total formulation. The percent-
onstrate previous toxicity test experi-
ages will include maximum, minimum,
ence in order for their results to be ac-
and average weights in order to reflect
cepted. It is the responsibility of the
quality control variations in manufac-
submitter to select competent analyt-
ical laboratories based on the guide- ture or formulation. In addition to the
lines contained herein. EPA reserves chemical information provided in re-
the right to refuse to accept a submis- sponse to the first two sentences, iden-
sion of technical product data because tify the major components in at least
of lack of qualification of the analyt- the following categories: surface active
ical laboratory, significant variance agents, solvents, and additives.
between submitted data and any lab- (10) Heavy Metals, Cyanide, and
oratory confirmation performed by Chlorinated Hydrocarbons. Follow speci-
EPA, or other circumstances that fications in paragraph (a)(11) of this
would result in inadequate or inac- section.
curate information on the dispersing (11) Analytical Laboratory Require-
agent. ments for Technical Product Data. Fol-
(b) Surface washing agents. (1) Name, low specifications in paragraph (a)(12)
brand, or trademark, if any, under of this section.
which the surface washing agent is (c) Surface collecting agents. (1) Name,
sold. brand, or trademark, if any, under
(2) Name, address, and telephone which the product is sold.
number of the manufacturer, importer, (2) Name, address, and telephone
or vendor. number of the manufacturer, importer,
(3) Name, address, and telephone or vendor.
number of primary distributors or sales
(3) Name, address, and telephone
outlets.
(4) Special handling and worker pre- number of primary distributors or sales
cautions for storage and field applica- outlets.
tion. Maximum and minimum storage (4) Special handling and worker pre-
temperatures, to include optimum cautions for storage and field applica-
ranges as well as temperatures that tion. Maximum and minimum storage
will cause phase separations, chemical temperatures, to include optimum
changes, or other alterations to the ef- ranges as well as temperatures that
fectiveness of the product. will cause phase separations, chemical
(5) Shelf life. changes, or other alterations to the ef-
(6) Recommended application proce- fectiveness of the product.
dures, concentrations, and conditions (5) Shelf life.
for use depending upon water salinity, (6) Recommended application proce-
water temperature, types and ages of dures, concentrations, and conditions
the pollutants, and any other applica- for use depending upon water salinity,
tion restrictions. water temperature, types and ages of
the pollutants, and any other applica-
be inspected at the U.S. Environmental Pro- tion restrictions.
tection Agency Superfund Docket, located at (7) Toxicity. Use standard toxicity
1235 Jefferson Davis Highway, First Floor, test methods described in appendix C
Arlington, VA 22202 or send mail to Mail
Code 5305G, 1200 Pennsylvania Ave., NW.,
to part 300.
Washington, DC, or at the Office of the Fed- (8) Follow the data requirement spec-
eral Register, 1100 L Street, NW., Room 8401, ifications in paragraph (a)(9) of this
Washington, DC 20408. section.
102
(9) Test to Distinguish Between Sur- (2) Name, address, and telephone
face Collecting Agents and Other number of the manufacturer, importer,
Chemical Agents. or vendor.
(i) Method Summary—Five milli- (3) Name, address, and telephone
liters of the chemical under test are number of primary distributors or sales
mixed with 95 milliliters of distilled outlets.
water and allowed to stand undisturbed (4) Special handling and worker pre-
for one hour. Then the volume of the cautions for storage and field applica-
upper phase is determined to the near- tion. Maximum and minimum storage
est one milliliter. temperatures.
(5) Shelf life.
(ii) Apparatus.
(6) Recommended application proce-
(A) Mixing Cylinder: 100 milliliter
dures, concentrations, and conditions
subdivisions and fitted with a glass for use depending upon water salinity,
stopper. water temperature, types and ages of
(B) Pipettes: Volumetric pipette, 5.0 the pollutants, and any other applica-
milliliter. tion restrictions.
(C) Timers. (7) Bioremediation Agent Effective-
(iii) Procedure—Add 95 milliliters of ness. Use bioremediation agent effec-
distilled water at 22 °C, plus or minus 3 tiveness test methods described in ap-
°C, to a 100 milliliter mixing cylinder. pendix C to part 300.
To the surface of the water in the mix- (8) Bioremediation Agent Toxicity
ing cylinder, add 5.0 milliliters of the [Reserved].
chemical under test. Insert the stopper (9) Biological additives.
and invert the cylinder five times in (i) For microbiological cultures, fur-
ten seconds. Set upright for one hour nish the following information:
at 22 °C, plus or minus 3 °C, and then (A) Listing of each component of the
measure the chemical layer at the sur- total formulation, other than micro-
face of the water. If the major portion organisms, by chemical name and per-
of the chemical added (75 percent) is at centage by weight.
the water surface as a separate and (B) Listing of all microorganisms by
easily distinguished layer, the product species.
is a surface collecting agent. (C) Percentage of each species in the
(10) Surface Collecting Agent Compo- composition of the additive.
nents. Itemize by chemical name and (D) Optimum pH, temperature, and
percentage by weight each component salinity ranges for use of the additive,
of the total formulation. The percent- and maximum and minimum pH, tem-
ages should include maximum, min- perature, and salinity levels above or
imum, and average weights in order to below which the effectiveness of the
reflect quality control variations in additive is reduced to half its optimum
manufacture or formulation. In addi- capacity.
(E) Special nutrient requirements, if
tion to the chemical information pro-
any.
vided in response to the first two sen-
(F) Separate listing of the following,
tences, identify the major components
and test methods for such determina-
in at least the following categories:
tions: Salmonella, fecal coliform,
surface action agents, solvents, and ad-
Shigella, Staphylococcus Coagulase
ditives. positive, and Beta Hemolytic
(11) Heavy Metals, Cyanide, and Streptococci.
Chlorinated Hydrocarbons. Follow (ii) For enzyme additives, furnish the
specifications in paragraph (a)(11) of following information:
this section. (A) Listing of each component of the
(12) Analytical Laboratory Require- total formulation, other than enzymes,
ments for Technical Product Data. Fol- by chemical name and percentage by
low specifications in paragraph (a)(12) weight.
of this section. (B) Enzyme name(s).
(d) Bioremediation Agents. (1) Name, (C) International Union of Bio-
brand, or trademark, if any, under chemistry (I.U.B.) number(s).

which the agent is sold. (D) Source of the enzyme.
103
§ 300.915 40 CFR Ch. I (7–1–08 Edition)
(E) Units. (9) Follow the data requirement spec-

(F) Specific Activity. ifications in paragraph (a)(9) of this
(G) Optimum pH, temperature, and section.
salinity ranges for use of the additive, (10) Miscellaneous Oil Spill Control
and maximum and minimum pH, tem- Agent Components. Itemize by chem-
perature, and salinity levels above or ical name and percentage by weight
below which the effectiveness of the each component of the total formula-
additive is reduced to half its optimum tion. The percentages should include
capacity. maximum, minimum, and average
(H) Enzyme shelf life. weights in order to reflect quality con-
(I) Enzyme optimum storage condi- trol variations in manufacture or for-
tions. mulation. In addition to the chemical
(10) For nutrient additives, furnish information provided in response to the
the following information: first two sentences, identify the major
(i) Listing of each component of the components in at least the following
total formulation by chemical name categories: surface active agents, sol-
and percentage by weight. vents, and additives.
(ii) Nutrient additive optimum stor- (11) Heavy Metals, Cyanide, and
age conditions. Chlorinated Hydrocarbons. Follow
(11) Analytical Laboratory Require- specifications in paragraph (a)(11) of
ments for Technical Product Data. Fol- this section.
low specifications in paragraph (a)(12) (12) For any miscellaneous oil spill
of this section. control agent that contains micro-
(e) Burning Agents. EPA does not re- biological cultures, enzyme additives,
quire technical product data submis- or nutrient additives, furnish the infor-
sions for burning agents and does not mation specified in paragraphs (d)(9)
include burning agents on the NCP and (d)(10) of this section, as appro-
Product Schedule. priate.
(f) Miscellaneous Oil Spill Control (13) Analytical Laboratory Require-
Agents. (1) Name, brand, or trademark, ments for Technical Product Data. Fol-
if any, under which the miscellaneous low specifications in paragraph (a)(12)
oil spill control agent is sold. of this section.
(2) Name, address, and telephone (g) Sorbents. (1) Sorbent material may
number of the manufacturer, importer, consist of, but is not limited to, the
or vendor. following materials:
(3) Name, address, and telephone (i) Organic products—
number of primary distributors or sales (A) Peat moss or straw;
outlets. (B) Cellulose fibers or cork;
(4) Brief description of recommended (C) Corn cobs;
uses of the product and how the prod- (D) Chicken, duck, or other bird
uct works. feathers.
(5) Special handling and worker pre- (ii) Mineral compounds—
cautions for storage and field applica- (A) Volcanic ash or perlite;
tion. Maximum and minimum storage (B) Vermiculite or zeolite.
temperatures, to include optimum (iii) Synthetic products—
ranges as well as temperatures that (A) Polypropylene;
will cause phase separations, chemical (B) Polyethylene;
changes, or other alternatives to the (C) Polyurethane;
effectiveness of the product. (D) Polyester.
(6) Shelf life. (2) EPA does not require technical
(7) Recommended application proce- product data submissions for sorbents
dures, concentrations, and conditions and does not include sorbents on the
for use depending upon water salinity, NCP Product Schedule.
water temperature, types and ages of (3) Manufacturers that produce sor-
the pollutants, and any other applica- bent materials that consist of mate-
tion restrictions. rials other than those listed in para-
(8) Toxicity. Use standard toxicity graph (g)(1) of this section shall submit
test methods described in appendix C to EPA the technical product data

to part 300. specified for miscellaneous oil spill
104
control agents in paragraph (f) of this turers’ test results. EPA also reserves
section and EPA will consider listing the right to verify test results and con-
those products on the NCP Product sider the results of EPA’s verification
Schedule under the miscellaneous oil testing in determining whether the dis-
spill control agent category. EPA will persant meets listing criteria. EPA
inform the submitter in writing, within will, within 60 days of receiving a com-
60 days of the receipt of technical prod- plete application as specified in
uct data, of its decision on adding the § 300.915(a) of this part, notify the man-
product to the Schedule. ufacturer of its decision to list the
(4) Certification. OSCs may request a product on the Schedule, or request ad-
written certification from manufactur- ditional information and/or a sample of
ers that produce sorbent materials that the product in order to review and/or
consist solely of the materials listed in conduct validation sampling. If EPA
paragraph (g)(1) of this section prior to requests additional information and/or
making a decision on the use of a par- a product sample, within 60 days of re-
ticular sorbent material. The certifi- ceiving such additional information or
cation at a minimum shall state that sample, EPA will then notify the man-
the sorbent consists solely of the mate- ufacturer in writing of its decision to
rials listed in § 300.915(g)(1) of the NCP. list or not list the product.
The following statement, when com- (3) Request for review of decision. (i)
pleted, dated, and signed by a sorbent A manufacturer whose product was de-
manufacturer, is sufficient to meet the termined to be ineligible for listing on
written certification requirement:
the NCP Product Schedule may request
[SORBENT NAME] is a sorbent material and EPA’s Administrator to review the de-
consists solely of the materials listed in termination. The request must be made
§ 300.915(g)(1) of the NCP. in writing within 30 days of receiving
(h) Mixed products. Manufacturers of notification of EPA’s decision to not
products that consist of materials that list the dispersant on the Schedule.
meet the definitions of two or more of The request shall contain a clear and
the product categories contained on concise statement with supporting
the NCP Product Schedule shall submit facts and technical analysis dem-
to EPA the technical product data onstrating that EPA’s decision was in-
specified in this section for each of correct.
those product categories. After review (ii) The Administrator or his des-
of the submitted technical product ignee may request additional informa-
data, and the performance of required tion from the manufacturer, or from
dispersant effectiveness and toxicity any other person, and may provide for
tests, if appropriate, EPA will make a a conference between EPA and the
determination on whether and under manufacturer, if appropriate. The Ad-
which category the mixed product ministrator or his designee shall render
should be listed on the Schedule. a decision within 60 days of receiving
[59 FR 47453, Sept. 15, 1994, as amended at 65 the request, or within 60 days of receiv-
FR 47325, Aug. 2, 2000] ing requested additional information,
if appropriate, and shall notify the
§ 300.920 Addition of products to manufacturer of his decision in writ-
Schedule. ing.
(a) Dispersants. (1) To add a dispers- (b) Surface washing agents, surface col-
ant to the NCP Product Schedule, sub- lecting agents, bioremediation agents, and
mit the technical product data speci- miscellaneous oil spill control agents. (1)
fied in § 300.915(a) to the Emergency Re- To add a surface washing agent, sur-
sponse Division (5202–G), U.S. Environ- face collecting agent, bioremediation
mental Protection Agency, 1200 Penn- agent, or miscellaneous oil spill con-
sylvania Ave., NW., Washington, DC trol agent to the NCP Product Sched-
20460. A dispersant must attain an ef- ule, the technical product data speci-
fectiveness value of 45 percent or great- fied in § 300.915 must be submitted to
er in order to be added to the Schedule. the Emergency Response Division
(2) EPA reserves the right to request (5202–G), U.S. Environmental Protec-
further documentation of the manufac- tion Agency, 1200 Pennsylvania Ave.,
105
§ 300.1105 40 CFR Ch. I (7–1–08 Edition)
NW., Washington, DC 20460. If EPA de- DISCLAIMER

termines that the required data were [PRODUCT NAME] is on the U.S. Environ-
submitted, EPA will add the product to mental Protection Agency’s NCP Product
the Schedule. Schedule. This listing does NOT mean that
(2) EPA will inform the submitter in EPA approves, recommends, licenses, cer-
writing, within 60 days of the receipt of tifies, or authorizes the use of [PRODUCT
NAME] on an oil discharge. This listing
technical product data, of its decision means only that data have been submitted to
on adding the product to the Schedule. EPA as required by subpart J of the National
(c) The submitter may assert that Contingency Plan, § 300.915.
certain information in the technical
product data submissions, including Subpart K—Federal Facilities
technical product data submissions for [Reserved]
sorbents pursuant to § 300.915(g)(3), is
confidential business information. EPA
will handle such claims pursuant to the
Subpart L—National Oil and Haz-
provisions in 40 CFR part 2, subpart B. ardous Substances Pollution
Such information must be submitted Contingency Plan; Involuntary
separately from non-confidential infor- Acquisition of Property by the
mation, clearly identified, and clearly Government
marked ‘‘Confidential Business Infor-
mation.’’ If the submitter fails to make SOURCE: 62 FR 34602, June 26, 1997, unless
such a claim at the time of submittal, otherwise noted.
EPA may make the information avail-
able to the public without further no- § 300.1105 Involuntary acquisition of
property by the government.
tice.
(d) The submitter must notify EPA of (a) Governmental ownership or con-
any changes in the composition, formu- trol of property by involuntary acquisi-
lation, or application of the dispersant, tions or involuntary transfers within
surface washing agent, surface col- the meaning of CERCLA section
lecting agent, bioremediation agent, or 101(20)(D) or section 101(35)(A)(ii) in-
miscellaneous oil spill control agent. cludes, but is not limited to:
On the basis of this data, EPA may re- (1) Acquisitions by or transfers to the
quire retesting of the product if the government in its capacity as a sov-
change is likely to affect the effective- ereign, including transfers or acquisi-
ness or toxicity of the product. tions pursuant to abandonment pro-
ceedings, or as the result of tax delin-
(e) The listing of a product on the
quency, or escheat, or other cir-
NCP Product Schedule does not con-
cumstances in which the government
stitute approval of the product. To involuntarily obtains ownership or
avoid possible misinterpretation or control of property by virtue of its
misrepresentation, any label, adver- function as sovereign;
tisement, or technical literature that (2) Acquisitions by or transfers to a
refers to the placement of the product government entity or its agent (includ-
on the NCP Product Schedule must ei- ing governmental lending and credit
ther reproduce in its entirety EPA’s institutions, loan guarantors, loan in-
written statement that it will add the surers, and financial regulatory enti-
product to the NCP Product Schedule ties which acquire security interests or
under § 300.920(a)(2) or (b)(2), or include properties of failed private lending or
the disclaimer shown below. If the dis- depository institutions) acting as a
claimer is used, it must be conspicuous conservator or receiver pursuant to a
and must be fully reproduced. Failure clear and direct statutory mandate or
to comply with these restrictions or regulatory authority;
any other improper attempt to dem- (3) Acquisitions or transfers of assets
onstrate the approval of the product by through foreclosure and its equivalents
any NRT or other U.S. Government (as defined in 40 CFR 300.1100(d)(1)) or
agency shall constitute grounds for re- other means by a Federal, state, or
moving the product from the NCP local government entity in the course
Product Schedule. of administering a governmental loan
106
Environmental Protection Agency Pt. 300, App. A
or loan guarantee or loan insurance 2.5.1 Determination of level of actual con-

program; and tamination at a sampling location.
(4) Acquisitions by or transfers to a 2.5.2 Comparison to benchmarks.
3.0 Ground Water Migration Pathway.
government entity pursuant to seizure 3.0.1 General considerations.
or forfeiture authority. 3.0.1.1 Ground water target distance limit.
(b) Nothing in this section or in 3.0.1.2 Aquifer boundaries.
CERCLA section 101(20)(D) or section 3.0.1.2.1 Aquifer interconnections.
101(35)(A)(ii) affects the applicability of 3.0.1.2.2 Aquifer discontinuities.
40 CFR 300.1100 to any security inter- 3.0.1.3 Karst aquifer.
est, property, or asset acquired pursu- 3.1 Likelihood of release.
3.1.1 Observed release.
ant to an involuntary acquisition or
3.1.2 Potential to release.
transfer, as described in this section. 3.1.2.1 Containment.
NOTE TO PARAGRAPHS (A)(3) AND (B) OF THIS 3.1.2.2 Net precipitation.
SECTION: Reference to 40 CFR 300.1100 is a ref- 3.1.2.3 Depth to aquifer.
erence to the provisions regarding secured 3.1.2.4 Travel time.
creditors in CERCLA sections 101(20)(E)–(G), 3.1.2.5 Calculation of potential to release
42 U.S.C. 9601(20)(E)–(G). See Section 2504(a) factor value.
of the Asset Conservation, Lender Liability, 3.1.3 Calculation of likelihood of release
and Deposit Insurance Protection Act, Pub- factor category value.
lic Law, 104–208, 110 Stat. 3009–462, 3009–468 3.2 Waste characteristics.
(1996). 3.2.1 Toxicity/mobility.
3.2.1.1 Toxicity.
APPENDIX A TO PART 300—THE HAZARD 3.2.1.2 Mobility.
3.2.1.3 Calculation of toxicity/mobility
RANKING SYSTEM
factor value.
Table of Contents 3.2.2 Hazardous waste quantity.
3.2.3 Calculation of waste characteristics
List of Figures factor category value.
List of Tables 3.3 Targets.
1.0. Introduction. 3.3.1 Nearest well.
1.1 Definitions. 3.3.2 Population.
2.0 Evaluations Common to Multiple Path- 3.3.2.1 Level of contamination.
ways. 3.3.2.2 Level I concentrations.
2.1 Overview. 3.3.2.3 Level II concentrations.
2.1.1 Calculation of HRS site score. 3.3.2.4 Potential contamination.
2.1.2 Calculation of pathway score. 3.3.2.5 Calculation of population factor
2.1.3 Common evaluations. value.
2.2 Characterize sources. 3.3.3 Resources.
2.2.1 Identify sources. 3.3.4 Wellhead Protection Area.
2.2.2 Identify hazardous substances associ- 3.3.5 Calculation of targets factor category
ated with a source. value.
2.2.3 Identify hazardous substances avail- 3.4 Ground water migration score for an aq-
able to a pathway. uifer.
2.3 Likelihood of release. 3.5 Calculation of ground water migration
2.4 Waste characteristics. pathway score.
2.4.1 Selection of substance potentially pos- 4.0 Surface Water Migration Pathway.
ing greatest hazard. 4.0.1 Migration components.
2.4.1.1 Toxicity factor. 4.0.2 Surface water categories.
2.4.1.2 Hazardous substance selection. 4.1 Overland/flood migration component.
2.4.2 Hazardous waste quantity. 4.1.1 General considerations.
2.4.2.1 Source hazardous waste quantity. 4.1.1.1 Definition of hazardous substance
2.4.2.1.1 Hazardous constituent quantity. migration path for overland/flood migra-
2.4.2.1.2 Hazardous wastestream quantity. tion component.
2.4.2.1.3 Volume. 4.1.1.2 Target distance limit.
2.4.2.1.4 Area. 4.1.1.3 Evaluation of overland/flood migra-
2.4.2.1.5 Calculation of source hazardous tion component.
waste quantity value. 4.1.2 Drinking water threat.
2.4.2.2 Calculation of hazardous waste 4.1.2.1 Drinking water threat-likelihood of
quantity factor value. release.
2.4.3 Waste characteristics factor category 4.1.2.1.1 Observed release.
value. 4.1.2.1.2 Potential to release.
2.4.3.1 Factor category value. 4.1.2.1.2.1 Potential to release by overland
2.4.3.2 Factor category value, considering flow.
bioaccumulation potential. 4.1.2.1.2.1.1 Containment.

2.5 Targets. 4.1.2.1.2.1.2 Runoff.
107
Pt. 300, App. A 40 CFR Ch. I (7–1–08 Edition)
4.1.2.1.2.1.3 Distance to surface water. 4.1.4 Environmental threat.
4.1.2.1.2.1.4 Calculation of factor value for 4.1.4.1 Environmental threat-likelihood of
potential to release by overland flow. release.
4.1.2.1.2.2 Potential to release by flood. 4.1.4.2 Environmental threat-waste char-
4.1.2.1.2.2.1 Containment (flood). acteristics.
4.1.2.1.2.2.2 Flood frequency. 4.1.4.2.1 Ecosystem toxicity/persistence/
4.1.2.1.2.2.3 Calculation of factor value for bioaccumulation.
potential to release by flood. 4.1.4.2.1.1 Ecosystem toxicity.
4.1.2.1.2.3 Calculation of potential to re- 4.1.4.2.1.2 Persistence.
lease factor value. 4.1.4.2.1.3 Ecosystem bioaccumulation po-
4.1.2.1.3 Calculation of drinking water tential.
threat-likelihood of release factor cat- 4.1.4.2.1.4 Calculation of ecosystem tox-
egory value. icity/persistence/bioaccumulation factor
4.1.2.2 Drinking water threat-waste char- value.
acteristics. 4.1.4.2.2 Hazardous waste quantity.
4.1.2.2.1 Toxicity/persistence. 4.1.4.2.3 Calculation of environmental
4.1.2.2.1.1 Toxicity. threat-waste characteristics factor cat-
4.1.2.2.1.2 Persistence. egory value.
4.1.2.2.1.3 Calculation of toxicity/persist- 4.1.4.3 Environmental threat-targets.
ence factor value. 4.1.4.3.1 Sensitive environments.
4.1.2.2.2 Hazardous waste quantity. 4.1.4.3.1.1 Level I concentrations.
4.1.2.2.3 Calculation of drinking water 4.1.4.3.1.2 Level II concentrations.
threat-waste characteristics factor cat- 4.1.4.3.1.3 Potential contamination.
egory value. 4.1.4.3.1.4 Calculation of environmental
4.1.2.3 Drinking water threat-targets. threat-targets factor category value.
4.1.2.3.1 Nearest intake. 4.1.4.4 Calculation of environmental
4.1.2.3.2 Population. threat score for a watershed.
4.1.2.3.2.1 Level of contamination. 4.1.5 Calculation of overland/flood migra-
4.1.2.3.2.2 Level I concentrations. tion component score for a watershed.
4.1.2.3.2.3 Level II concentrations. 4.1.6 Calculation of overland/flood migra-
4.1.2.3.2.4 Potential contamination. tion component score.
4.1.2.3.2.5 Calculation of population factor 4.2 Ground water to surface water migra-
value. tion component.
4.1.2.3.3 Resources. 4.2.1 General Considerations.
4.1.2.3.4 Calculation of drinking water 4.2.1.1 Eligible surface waters.
threat-targets factor category value. 4.2.1.2 Definition of hazardous substance
4.1.2.4 Calculation of the drinking water migration path for ground water to sur-
threat score for a watershed. face water migration component.
4.1.3 Human food chain threat. 4.2.1.3 Observed release of a specific haz-
4.1.3.1 Human food chain threat-likeli- ardous substance to surface water in-
hood of release. water segment.
4.1.3.2 Human food chain threat-waste 4.2.1.4 Target distance limit.
characteristics. 4.2.1.5 Evaluation of ground water to sur-
4.1.3.2.1 Toxicity/persistence/bioaccumula- face water migration component.
tion. 4.2.2 Drinking water threat.
4.1.3.2.1.1 Toxicity. 4.2.2.1 Drinking water threat-likelihood of
4.1.3.2.1.2 Persistence. release.
4.1.3.2.1.3 Bioaccumulation potential. 4.2.2.1.1 Observed release.
4.1.3.2.1.4 Calculation of toxicity/persist- 4.2.2.1.2 Potential to release.
ence/bioaccumulation factor value. 4.2.2.1.3 Calculation of drinking water
4.1.3.2.2 Hazardous waste quantity. threat-likelihood of release factor cat-
4.1.3.2.3 Calculation of human food chain egory value.
threat-waste characteristics factor cat- 4.2.2.2 Drinking water threat-waste char-
egory value. acteristics.
4.1.3.3 Human food chain threat-targets. 4.2.2.2.1 Toxicity/mobility/persistence.
4.1.3.3.1 Food chain individual. 4.2.2.2.1.1 Toxicity.
4.1.3.3.2 Population. 4.2.2.2.1.2 Mobility.
4.1.3.3.2.1 Level I concentrations. 4.2.2.2.1.3 Persistence.
4.1.3.3.2.2 Level II concentrations. 4.2.2.2.1.4 Calculation of toxicity/mobility/
4.1.3.3.2.3 Potential human food chain persistence factor value.
contamination. 4.2.2.2.2 Hazardous waste quantity.
4.1.3.3.2.4 Calculation of population factor 4.2.2.2.3 Calculation of drinking water
value. threat-waste characteristics factor cat-
4.1.3.3.3 Calculation of human food chain egory value.
threat-targets factor category value. 4.2.2.3 Drinking water threat-targets.
4.1.3.4 Calculation of human food chain 4.2.2.3.1 Nearest intake.

threat score for a watershed. 4.2.2.3.2 Population.
108
4.2.2.3.2.1 Level I concentrations. 4.2.4.4 Calculation of environmental
4.2.2.3.2.2 Level II concentrations. threat score for a watershed.
4.2.2.3.2.3 Potential contamination. 4.2.5 Calculation of ground water to surface
4.2.2.3.2.4 Calculation of population factor water migration component score for a
value. watershed.
4.2.2.3.3 Resources. 4.2.6 Calculation of ground water to surface
4.2.2.3.4 Calculation of drinking water water migration component score.
threat-targets factor category value. 4.3 Calculation of surface water migration
4.2.2.4 Calculation of drinking water pathway score.
threat score for a watershed. 5.0 Soil Exposure Pathway.
4.2.3 Human food chain threat. 5.0.1 General considerations.
4.2.3.1 Human food chain threat-likeli- 5.1 Resident population threat.
hood of release. 5.1.1 Likelihood of exposure.
4.2.3.2 Human food chain threat-waste 5.1.2 Waste characteristics.
characteristics. 5.1.2.1 Toxicity.
4.2.3.2.1 Toxicity/mobility/persistence/bio- 5.1.2.2 Hazardous waste quantity.
accumulation. 5.1.2.3 Calculation of waste characteris-
4.2.3.2.1.1 Toxicity. tics factor category value.
4.2.3.2.1.2 Mobility. 5.1.3 Targets.
4.2.3.2.1.3 Persistence. 5.1.3.1 Resident individual.
4.2.3.2.1.4 Bioaccumulation potential.
5.1.3.2 Resident population.
4.2.3.2.1.5 Calculation of toxicity/mobility/
5.1.3.2.1 Level I concentrations.
persistence/bioaccumulation factor
5.1.3.2.2 Level II concentrations.
value.
5.1.3.2.3 Calculation of resident population
4.2.3.2.2 Hazardous waste quantity.
factor value.
4.2.3.2.3 Calculation of human food chain
5.1.3.3 Workers.
threat-waste characteristics factor cat-
5.1.3.4 Resources.
egory value.
4.2.3.3 Human food chain threat-targets. 5.1.3.5 Terrestrial sensitive environments.
4.2.3.3.1 Food chain individual. 5.1.3.6 Calculation of resident population
4.2.3.3.2 Population. targets factor category value.
4.2.3.3.2.1 Level I concentrations. 5.1.4 Calculation of resident population
4.2.3.3.2.2 Level II concentrations. threat score.
4.2.3.3.2.3 Potential human food chain 5.2 Nearby population threat.
contamination. 5.2.1 Likelihood of exposure.
4.2.3.3.2.4 Calculation of population factor 5.2.1.1 Attractiveness/accessibility.
value. 5.2.1.2 Area of contamination.
4.2.3.3.3 Calculation of human food chain 5.2.1.3 Likelihood of exposure factor cat-
threat-targets factor category value. egory value.
4.2.3.4 Calculation of human food chain 5.2.2 Waste characteristics.
threat score for a watershed. 5.2.2.1 Toxicity.
4.2.4 Environmental threat. 5.2.2.2 Hazardous waste quantity.
4.2.4.1 Environmental threat-likelihood of 5.2.2.3 Calculation of waste characteris-
release. tics factor category value.
4.2.4.2 Environmental threat-waste char- 5.2.3 Targets.
acteristics. 5.2.3.1 Nearby individual.
4.2.4.2.1 Ecosystem toxicity/mobility/per- 5.2.3.2 Population within 1 mile.
sistence/bioaccumulation. 5.2.3.3 Calculation of nearby population
4.2.4.2.1.1 Ecosystem toxicity. targets factor category value.
4.2.4.2.1.2 Mobility. 5.2.4 Calculation of nearby population
4.2.4.2.1.3 Persistence. threat score.
4.2.4.2.1.4 Ecosystem bioaccumulation po- 5.3 Calculation of soil exposure pathway
tential. score.
4.2.4.2.1.5 Calculation of ecosystem tox- 6.0 Air Migration Pathway.
icity/mobility/persistence/bioaccumula- 6.1 Likelihood of release.
tion factor value. 6.1.1 Observed release.
4.2.4.2.2 Hazardous waste quantity. 6.1.2 Potential to release.
4.2.4.2.3 Calculation of environmental 6.1.2.1 Gas potential to release.
threat-waste characteristics factor cat- 6.1.2.1.1 Gas containment.
egory value. 6.1.2.1.2 Gas source type.
4.2.4.3 Environmental threat-targets. 6.1.2.1.3 Gas migration potential.
4.2.4.3.1 Sensitive environments. 6.1.2.1.4 Calculation of gas potential to re-
4.2.4.3.1.1 Level I concentrations. lease value.
4.2.4.3.1.2 Level II concentrations. 6.1.2.2 Particulate potential to release.
4.2.4.3.1.3 Potential contamination. 6.1.2.2.1 Particulate containment.
4.2.4.3.1.4 Calculation of environmental 6.1.2.2.2 Pariculate source type.

threat-targets factor category value. 6.1.2.2.3 Particulate migration potential.
109
6.1.2.2.4 Calculation of particulate poten- LIST OF FIGURES
tial to release value.
6.1.2.3 Calculation of potential to release Figure number
factor value for the site. 3–1 Overview of ground water migration
6.1.3 Calculation of likelihood of release pathway.
factor category value. 3–2 Net precipitation factor values.
6.2 Waste characteristics. 4–1 Overview of surface water overland/flood
6.2.1 Toxicity/mobility. migration component.
6.2.1.1 Toxicity. 4–2 Overview of ground water to surface
6.2.1.2 Mobility. water migration component.
6.2.1.3 Calculation of toxicity/mobility 4–3 Sample determination of ground water
factor value. to surface water angle.
6.2.2 Hazardous waste quantity. 5–1 Overview of soil exposure pathway.
6.2.3 Calculation of waste characteristics 6–1 Overview of air migration pathway.
factor category value. 6–2 Particulate migration potential factor
6.3 Targets. values.
6.3.1 Nearest individual. 6–3 Particulate mobility factor values.
6.3.2 Population.
6.3.2.1 Level of contamination. LIST OF TABLES
6.3.2.2 Level I concentrations.
6.3.2.3 Level II concentrations. Table number
6.3.2.4 Potential contamination. 2–1 Sample pathway scoresheet.
6.3.2.5 Calculation of population factor 2–2 Sample source characterization work-
value. sheet.
6.3.3 Resources. 2–3 Observed release criteria for chemical
6.3.4 Sensitive environments. analysis.
6.3.4.1 Actual contamination. 2–4 Toxicity factor evaluation.
6.3.4.2 Potential contamination.
2–5 Hazardous waste quantity evaluation
6.3.4.3 Calculation of sensitive environ- equations.
ments factor value.
2–6 Hazardous waste quantity factor values.
6.3.5 Calculation of targets factor category
2–7 Waste characteristics factor category
value.
values.
6.4 Calculation of air migration pathway
3–1 Ground water migration pathway score-
score.
sheet.
7.0 Sites Containing Radioactive Sub-
3–2 Containment factor values for ground
stances.
water migration pathway.
7.1 Likelihood of release/likelihood of expo-
3–3 Monthly latitude adjusting values.
sure.
3–4 Net precipitation factor values.
7.1.1 Observed release/observed contamina-
3–5 Depth to aquifer factor values.
tion.
3–6 Hydraulic conductivity of geologic ma-
7.1.2 Potential to release.
terials.
7.2 Waste characteristics.
3–7 Travel time factor values.
7.2.1 Human toxicity.
7.2.2 Ecosystem toxicity. 3–8 Ground water mobility factor values.
7.2.3 Persistence. 3–9 Toxicity/mobility factor values.
7.2.4 Selection of substance potentially pos- 3–10 Health-based benchmarks for haz-
ing greatest hazard. ardous substances in drinking water.
7.2.5 Hazardous waste quantity. 3–11 Nearest well factor values.
7.2.5.1 Source hazardous waste quantity 3–12 Distance-weighted population values
for radionuclides. for potential contamination factor for
7.2.5.1.1 Radionuclide constituent quan- ground water migration pathway.
tity (Tier A). 4–1 Surface water overland/flood migration
7.2.5.1.2 Radionuclide wastestream quan- component scoresheet.
tity (Tier B). 4–2 Containment factor values for surface
7.2.5.1.3 Calculation of source hazardous water migration pathway.
waste quantity value for radionuclides. 4–3 Drainage area values.
7.2.5.2 Calculation of hazardous waste 4–4 Soil group designations.
quantity factor value for radionuclides. 4–5 Rainfall/runoff values.
7.2.5.3 Calculation of hazardous waste 4–6 Runoff factor values.
quantity factor value for sites containing 4–7 Distance to surface water factor values.
mixed radioactive and other hazardous 4–8 Containment (flood) factor values.
substances. 4–9 Flood frequency factor values.
7.3 Targets. 4–10 Persistence factor values—half-life.
7.3.1 Level of contamination at a sampling 4–11 Persistence factor values—log Kow
location. 4–12 Toxicity/persistence factor values.

7.3.2 Comparison to benchmarks. 4–13 Surface water dilution weights.
110
4–14 Dilution-weighted population values 6–16 Nearest individual factor values.
for potential contamination factor for 6–17 Distance-weighted population values
surface water migration pathway. for potential contamination factor for
4–15 Bioaccumulation potential factor val- air pathway.
ues. 6–18 Wetlands rating values for air migra-
4–16 Toxicity/persistence/bioaccumulation tion pathway.
factor values. 7–1 HRS factors evaluated differently for
4–17 Health-based benchmarks for haz- radionuclides.
ardous substances in human food chain. 7–2 Toxicity factor values for radionuclides.
4–18 Human food chain population values.
4–19 Ecosystem toxicity factor values. 1.0 Introduction
4–20 Ecosystem toxicity/persistence factor The Hazard Ranking System (HRS) is the
values. principal mechanism the U.S. Environ-
4–21 Ecosystem toxicity/persistence/bio- mental Protection Agency (EPA) uses to
accumulation factor values. place sites on the National Priorities List
4–22 Ecological-based benchmarks for haz- (NPL). The HRS serves as a screening device
ardous substances in surface water. to evaluate the potential for releases of un-
4–23 Sensitive environments rating values. controlled hazardous substances to cause
4–24 Wetlands rating values for surface human health or environmental damage. The
water migration pathway. HRS provides a measure of relative rather
4–25 Ground water to surface water migra- than absolute risk. It is designed so that it
tion component scoresheet. can be consistently applied to a wide variety
4–26 Toxicity/mobility/persistence factor
of sites.
values.
4–27 Dilution weight adjustments. 1.1 Definitions
4–28 Toxicity/mobility/persistence/bio-
accumulation factor values. Acute toxicity: Measure of toxicological re-
4–29 Ecosystem toxicity/mobility/persist- sponses that result from a single exposure to
ence factor values. a substance or from multiple exposures with-
4–30 Ecosystem toxicity/mobility/persist- in a short period of time (typically several
ence/bioaccumulation factor values. days or less). Specific measures of acute tox-
5–1 Soil exposure pathway scoresheet. icity used within the HRS include lethal
5–2 Hazardous waste quantity evaluation dose50 (LD50) and lethal concentration50
equations for soil exposure pathway. (LC50), typically measured within a 24-hour
5–3 Health-based benchmarks for hazardous to 96-hour period.
substances in soils. Ambient Aquatic Life Advisory Concentra-
5–4 Factor values for workers. tions (AALACs): EPA’s advisory concentra-
5–5 Terrestrial sensitive environments rat- tion limit for acute or chronic toxicity to
ing values. aquatic organisms as established under sec-
5–6 Attractiveness/accessibility values. tion 304(a)(1) of the Clean Water Act, as
5–7 Area of contamination factor values. amended.
5–8 Nearby population likelihood of expo- Ambient Water Quality Criteria (AWQC):
sure factor values. EPA’s maximum acute or chronic toxicity
5–9 Nearby individual factor values. concentrations for protection of aquatic life
5–10 Distance-weighted population values and its uses as established under section
for nearby population threat. 304(a)(1) of the Clean Water Act, as amended.
6–1 Air migration pathway scoresheet. Bioconcentration factor (BCF): Measure of
6–2 Gas potential to release evaluation. the tendency for a substance to accumulate
6–3 Gas containment factor values. in the tissue of an aquatic organism. BCF is
6–4 Source type factor values. determined by the extent of partitioning of a
6–5 Values for vapor pressure and Henry’s substance, at equilibrium, between the tissue
constant. of an aquatic organism and water. As the
6–6 Gas migration potential values for a ratio of concentration of a substance in the
hazardous substance. organism divided by the concentration in
6–7 Gas migration potential values for the water, higher BCF values reflect a tendency
source. for substances to accumulate in the tissue of
6–8 Particulate potential to release evalua- aquatic organisms. [unitless].
tion. Biodegradation: Chemical reaction of a sub-
6–9 Particulate containment factor values. stance induced by enzymatic activity of
6–10 Particulate migration potential values. microorganisms.
6–11 Gas mobility factor values. CERCLA: Comprehensive Environmental
6–12 Particulate mobility factor values. Response, Compensation, and Liability Act
6–13 Toxicity/mobility factor values. of 1980, as amended (Pub. L. 96–510, as amend-
6–14 Health-based benchmarks for haz- ed).
ardous substances in air. Chronic toxicity: Measure of toxicological
6–15 Air migration pathway distance responses that result from repeated exposure
weights. to a substance over an extended period of
111
time (typically 3 months or longer). Such re- response over control groups. For HRS pur-
sponses may persist beyond the exposure or poses, the response considered is cancer.
may not appear until much later in time [milligrams toxicant per kilogram body
than the exposure. HRS measures of chronic weight per day (mg/kg-day)].
toxicity include Reference Dose (RfD) val- Food and Drug Administration Action Level
ues. (FDAAL): Under section 408 of the Federal
Contract Laboratory Program (CLP): Analyt- Food, Drug and Cosmetic Act, as amended,
ical program developed for CERCLA waste concentration of a poisonous or deleterious
site samples to fill the need for legally defen- substance in human food or animal feed at or
sible analytical results supported by a high above which FDA will take legal action to
level of quality assurance and documenta- remove adulterated products from the mar-
tion. ket. Only FDAALs established for fish and
Contract-Required Detection Limit (CRDL): shellfish apply in the HRS.
Term equivalent to contract-required quan- Half-life: Length of time required for an
titation limit, but used primarily for inor- initial concentration of a substance to be
ganic substances. halved as a result of loss through decay. The
Contract-Required Quantitation Limit HRS considers five decay processes: bio-
(CRQL): Substance-specific level that a CLP degradation, hydrolysis, photolysis, radio-
laboratory must be able to routinely and re- active decay, and volatilization.
liably detect in specific sample matrices. It Hazardous substance: CERCLA hazardous
is not the lowest detectable level achievable, substances, pollutants, and contaminants as
but rather the level that a CLP laboratory defined in CERCLA sections 101(14) and
should reasonably quantify. The CRQL may 101(33), except where otherwise specifically
or may not be equal to the quantitation noted in the HRS.
limit of a given substance in a given sample. Hazardous wastestream: Material containing
For HRS purposes, the term CRQL refers to CERCLA hazardous substances (as defined in
both the contract-required quantitation CERCLA section 101[14]) that was deposited,
limit and the contract-required detection stored, disposed, or placed in, or that other-
limit. wise migrated to, a source.
Curie (Ci): Measure used to quantify the HRS ‘‘factor’’: Primary rating elements in-
amount of radioactivity. One curie equals 37 ternal to the HRS.
billion nuclear transformations per second, HRS ‘‘factor category’’: Set of HRS factors
and one picocurie (pCi) equals 10¥12 Ci. (that is, likelihood of release [or exposure],
Decay product: Isotope formed by the radio- waste characteristics, targets).
active decay of some other isotope. This HRS ‘‘migration pathways’’: HRS ground
newly formed isotope possesses physical and water, surface water, and air migration path-
chemical properties that are different from ways.
those of its parent isotope, and may also be HRS ‘‘pathway’’: Set of HRS factor cat-
radioactive. egories combined to produce a score to meas-
Detection Limit (DL): Lowest amount that ure relative risks posed by a site in one of
can be distinguished from the normal ran- four environmental pathways (that is,
dom ‘‘noise’’ of an analytical instrument or ground water, surface water, soil, and air).
method. For HRS purposes, the detection HRS ‘‘site score’’: Composite of the four
limit used is the method detection limit HRS pathway scores.
(MDL) or, for real-time field instruments, Henry’s law constant: Measure of the vola-
the detection limit of the instrument as used tility of a substance in a dilute solution of
in the field. water at equilibrium. It is the ratio of the
Dilution weight: Parameter in the HRS sur- vapor pressure exerted by a substance in the
face water migration pathway that reduces gas phase over a dilute aqueous solution of
the point value assigned to targets as the that substance to its concentration in the
flow or depth of the relevant surface water solution at a given temperature. For HRS
body increases. [unitless]. purposes, use the value reported at or near 25
Distance weight: Parameter in the HRS air °C. [atmosphere-cubic meters per mole (atm-
migration, ground water migration, and soil m3/mol)].
exposure pathways that reduces the point Hydrolysis: Chemical reaction of a sub-
value assigned to targets as their distance stance with water.
increases from the site. [unitless]. Karst: Terrain with characteristics of relief
Distribution coefficient (Kd): Measure of the and drainage arising from a high degree of
extent of partitioning of a substance between rock solubility in natural waters. The major-
geologic materials (for example, soil, sedi- ity of karst occurs in limestones, but karst
ment, rock) and water (also called partition may also form in dolomite, gypsum, and salt
coefficient). The distribution coefficient is deposits. Features associated with karst ter-
used in the HRS in evaluating the mobility rains typically include irregular topography,
of a substance for the ground water migra- sinkholes, vertical shafts, abrupt ridges, cav-
tion pathway. [ml/g]. erns, abundant springs, and/or disappearing
ED10 (10 percent effective dose): Estimated streams. Karst aquifers are associated with
dose associated with a 10 percent increase in karst terrain.
112
LC50 (lethal concentration, 50 percent): Con- Radioactive decay: Process of spontaneous
centration of a substance in air [typically nuclear transformation, whereby an isotope
micrograms per cubic meter (μg/m3)] or of one element is transformed into an iso-
water [typically micrograms per liter (μg/l)] tope of another element, releasing excess en-
that kills 50 percent of a group of exposed or- ergy in the form of radiation.
ganisms. The LC50 is used in the HRS in as- Radioactive half-life: Time required for one-
sessing acute toxicity. half the atoms in a given quantity of a spe-
LD50 (lethal dose, 50 percent): Dose of a sub- cific radionuclide to undergo radioactive
stance that kills 50 percent of a group of ex- decay.
posed organisms. The LD50 is used in the Radioactive substance: Solid, liquid, or gas
HRS in assessing acute toxicity [milligrams containing atoms of a single radionuclide or
toxicant per kilogram body weight (mg/kg)]. multiple radionuclides.
Maximum Contaminant Level (MCL): Under Radioactivity: Property of those isotopes of
section 1412 of the Safe Drinking Water Act, elements that exhibit radioactive decay and
as amended, the maximum permissible con- emit radiation.
centration of a substance in water that is de- Radionuclide/radioisotope: Isotope of an ele-
livered to any user of a public water supply. ment exhibiting radioactivity. For HRS pur-
Maximum Contaminant Level Goal (MCLG): poses, ‘‘radionuclide’’ and ‘‘radioisotope’’ are
Under section 1412 of the Safe Drinking used synonymously.
Water Act, as amended, a nonenforceable Reference dose (RfD): Estimate of a daily
concentration for a substance in drinking exposure level of a substance to a human
water that is protective of adverse human population below which adverse noncancer
health effects are not anticipated. [milli-
health effects and allows an adequate margin
grams toxicant per kilogram body weight per
of safety.
day (mg/kg-day)].
Method Detection Limit (MDL): Lowest con-
Removal action: Action that removes haz-
centration of analyte that a method can de-
ardous substances from the site for proper
tect reliably in either a sample or blank.
disposal or destruction in a facility per-
Mixed radioactive and other hazardous submitted under the Resource Conservation and
stances: Material containing both radioactive Recovery Act or the Toxic Substances Con-
hazardous substances and nonradioactive trol Act or by the Nuclear Regulatory Com-
hazardous substances, regardless of whether mission.
these types of substances are physically sep- Roentgen (R): Measure of external expo-
arated, combined chemically, or simply sures to ionizing radiation. One roentgen
mixed together. equals that amount of x-ray or gamma radi-
National Ambient Air Quality Standards ation required to produce ions carrying a
(NAAQS): Primary standards for air quality charge of 1 electrostatic unit (esu) in 1 cubic
established under sections 108 and 109 of the centimeter of dry air under standard condi-
Clean Air Act, as amended. tions. One microroentgen (μR) equals 10¥6 R.
National Emission Standards for Hazardous Sample quantitation limit (SQL): Quantity of
Air Pollutants (NESHAPs): Standards estab- a substance that can be reasonably quan-
lished for substances listed under section 112 tified given the limits of detection for the
of the Clean Air Act, as amended. Only those methods of analysis and sample characteris-
NESHAPs promulgated in ambient con- tics that may affect quantitation (for exam-
centration units apply in the HRS. ple, dilution, concentration).
Octanol-water partition coefficient (Kow [or Screening concentration: Media-specific
P]): Measure of the extent of partitioning of benchmark concentration for a hazardous
a substance between water and octanol at substance that is used in the HRS for com-
equilibrium. The Kow is determined by the parison with the concentration of that haz-
ratio between the concentration in octanol ardous substance in a sample from that
divided by the concentration in water at media. The screening concentration for a
equilibrium. [unitless]. specific hazardous substance corresponds to
Organic carbon partition coefficient (Koc): its reference dose for inhalation exposures or
Measure of the extent of partitioning of a for oral exposures, as appropriate, and, if the
substance, at equilibrium, between organic substance is a human carcinogen with a
carbon in geologic materials and water. The weight-of-evidence classification of A, B, or
higher the Koc, the more likely a substance is C, to that concentration that corresponds to
to bind to geologic materials than to remain its 10¥6 individual lifetime excess cancer
in water. [ml/g]. risk for inhalation exposures or for oral ex-
Photolysis: Chemical reaction of a sub- posures, as appropriate.
stance caused by direct absorption of solar Site: Area(s) where a hazardous substance
energy (direct photolysis) or caused by other has been deposited, stored, disposed, or
substances that absorb solar energy (indirect placed, or has otherwise come to be located.
photolysis). Such areas may include multiple sources and
Radiation: Particles (alpha, beta, neutrons) may include the area between sources.
or photons (x- and gamma-rays) emitted by Slope factor (also referred to as cancer po-
radionuclides. tency factor): Estimate of the probability of
113
response (for example, cancer) per unit inno animal evidence, or when human or
take of a substance over a lifetime. The slope animal evidence is inadequate.
factor is typically used to estimate upper- Group E: Evidence of noncarcinogenicity
bound probability of an individual devel- for humans.
oping cancer as a result of exposure to a par-
ticular level of a human carcinogen with a 2.0 Evaluations Common to Multiple Pathways
weight-of-evidence classification of A, B, or 2.1 Overview. The HRS site score (S) is the
C. [(mg/kg-day)¥1 for non-radioactive sub- result of an evaluation of four pathways:
stances and (pCi)¥1 for radioactive sub- • Ground Water Migration (Sgw).
stances]. • Surface Water Migration (Ssw).
SOURCE: Any area where a hazardous sub- • Soil Exposure (Ss).
stance has been deposited, stored, disposed, • Air Migration (Sa).
or placed, plus those soils that have become The ground water and air migration path-
contaminated from migration of a hazardous ways use single threat evaluations, while the
substance. Sources do not include those vol- surface water migration and soil exposure
umes of air, ground water, surface water, or pathways use multiple threat evaluations.
surface water sediments that have become Three threats are evaluated for the surface
contaminated by migration, except: in the water migration pathway: drinking water,
case of either a ground water plume with no human food chain, and environmental. These
identified source or contaminated surface threats are evaluated for two separate mi-
water sediments with no identified source, gration components– –overland/flood migra-
the plume or contaminated sediments may tion and ground water to surface water mi-
be considered a source. gration. Two threats are evaluated for the
soil exposure pathway: resident population
Target distance limit: Maximum distance and nearby population.
over which targets for the site are evaluated. The HRS is structured to provide a parallel
The target distance limit varies by HRS evaluation for each of these pathways and
pathway. threats. This section focuses on these par-
Uranium Mill Tailings Radiation Control Act allel evaluations, starting with the calcula-
(UMTRCA) Standards: Standards for radio- tion of the HRS site score and the individual
nuclides established under sections 102, 104, pathway scores.
and 108 of the Uranium Mill Tailings Radi- 2.1.1 Calculation of HRS site score. Scores
ation Control Act, as amended. are first calculated for the individual path-
Vapor pressure: Pressure exerted by the ways as specified in sections 2 through 7 and
vapor of a substance when it is in equi- then are combined for the site using the fol-
librium with its solid or liquid form at a lowing root-mean-square equation to deter-
given temperature. For HRS purposes, use mine the overall HRS site score, which
the value reported at or near 25 °C. [atmos- ranges from 0 to 100:
phere or torr].
Volatilization: Physical transfer process
through which a substance undergoes a
2
Sgw + Ssw
2
+ Ss2 + Sa2
S =
change of state from a solid or liquid to a 4
gas.
2.1.2 Calculation of pathway score. Table 2–
Water solubility: Maximum concentration of 1, which is based on the air migration path-
a substance in pure water at a given tem- way, illustrates the basic parameters used to
perature. For HRS purposes, use the value calculate a pathway score. As table 2–1
reported at or near 25 °C. [milligrams per shows, each pathway (or threat) score is the
liter (mg/l)]. product of three ‘‘factor categories’’: likeli-
Weight-of-evidence: EPA classification sys- hood of release, waste characteristics, and
tem for characterizing the evidence sup- targets. (The soil exposure pathway uses
porting the designation of a substance as a likelihood of exposure rather than likelihood
human carcinogen. EPA weight-of-evidence of release.) Each of the three factor cat-
groupings include: egories contains a set of factors that are as-
Group A: Human carcinogen– –sufficient signed numerical values and combined as
evidence of carcinogenicity in humans. specified in sections 2 through 7. The factor
Group B1: Probable human carcinogen– – values are rounded to the nearest integer,
limited evidence of carcinogenicity in except where otherwise noted.
humans. 2.1.3 Common evaluations. Evaluations
Group B2: Probable human carcinogen– – common to all four HRS pathways include:
sufficient evidence of carcinogenicity in • Characterizing sources.
animals. –Identifying sources (and, for the soil expo-
Group C: Possible human carcinogen– –lim- sure pathway, areas of observed contami-
ited evidence of carcinogenicity in ani- nation [see section 5.0.1]).
mals. –Identifying hazardous substances associ-
Group D: Not classifiable as to human car- ated with each source (or area of observed
cinogenicity– –applicable when there is contamination).
114
er31au93.056</MATH>
–Identifying hazardous substances avail- –Combining hazardous waste quantity with
able to a pathway. the other waste characteristics factors.
–Determining waste characteristics factor
TABLE 2–1—SAMPLE PATHWAY SCORESHEET category value.
• Scoring targets factor category.
Max- Value
Factor category imum as- –Determining level of contamination for
value signed targets.
Likelihood of Release These evaluations are essentially identical
for the three migration pathways (ground
1. Observed Release .................................... 550
2. Potential to Release ................................. 500 water, surface water, and air). However, the
3. Likelihood of Release (higher of lines 1 evaluations differ in certain respects for the
and 2) ........................................................ 550 soil exposure pathway.
Waste Characteristics Section 7 specifies modifications that
4. Toxicity/Mobility ......................................... (a) apply to each pathway when evaluating sites
5. Hazardous Waste Quantity ...................... (a) containing radioactive substances.
6. Waste Characteristics ............................... 100 Section 2 focuses on evaluations common
Targets
at the pathway and threat levels. Note that
7. Nearest Individual for the ground water and surface water mi-
7a. Level I .............................................. 50
gration pathways, separate scores are cal-
7b. Level II ............................................. 45
7c. Potential Contamination .................. 20 culated for each aquifer (see section 3.0) and
7d. Nearest Individual (higher of lines each watershed (see sections 4.1.1.3 and
7a, 7b, or 7c) ..................................... 50 4.2.1.5) when determining the pathway scores
8. Population for a site. Although the evaluations in sec-
8a. Level I .............................................. (b) tion 2 do not vary when different aquifers or
8b. Level II ............................................. (b)
8c. Potential Contamination .................. (b)
watersheds are scored at a site, the specific
8d. Total Population (lines factor values (for example, observed release,
8a+8b+8c) .......................................... (b) hazardous waste quantity, toxicity/mobility)
9. Resources ................................................. 5 that result from these evaluations can vary
10. Sensitive Environments .......................... (b) by aquifer and by watershed at the site. This
10a. Actual Contamination .................... (b) can occur through differences both in the
10b. Potential Contamination ................ (b)
10c. Sensitive Environments
specific sources and targets eligible to be
(lines 10a+10b) .................................. (b) evaluated for each aquifer and watershed and
11. Targets (lines 7d+8d+9+10c) ................. (b) in whether observed releases can be estab-
12. Pathway Score is the product of Likelihood of Release, lished for each aquifer and watershed. Such
Waste Characteristics, and Targets, divided by 82,500. differences in scoring at the aquifer and wa-
Pathway scores are limited to a maximum of 100 points. tershed level are addressed in sections 3 and
a Maximum value applies to waste characteristics category. 4, not section 2.
The product of lines 4 and 5 is used in table 2–7 to derive the 2.2 Characterize sources. Source character-
value for the waste characteristics factor category.
b There is no limit to the human population or sensitive envi- ization includes identification of the fol-
ronments factor values. However, the pathway score based lowing:
solely on sensitive environments is limited to a maximum of
60 points. • Sources (and areas of observed contami-
nation) at the site.
• Scoring likelihood of release (or likeli- • Hazardous substances associated with
hood of exposure) factor category. these sources (or areas of observed contami-
–Scoring observed release (or observed con- nation).
tamination). • Pathways potentially threatened by
–Scoring potential to release when there is these hazardous substances.
no observed release. Table 2–2 presents a sample worksheet for
• Scoring waste characteristics factor cat- source characterization.
egory. 2.2.1 Identify sources. For the three migra-
–Evaluating toxicity. tion pathways, identify the sources at the
–Combining toxicity with mobility, per- site that contain hazardous substances. Iden-
sistence, and/or bioaccumulation (or eco- tify the migration pathway(s) to which each
system bioaccumulation) potential, as ap- source applies. For the soil exposure path-
propriate to the pathway (or threat). way, identify areas of observed contamina-
–Evaluating hazardous waste quantity. tion at the site (see section 5.0.1).
TABLE 2–2—SAMPLE SOURCE CHARACTERIZATION WORKSHEET
Source: llllllllllllllllll
A. Source dimensions and hazardous waste quantity.
Hazardous constituent quantity: lll
Hazardous wastestream quantity: lll
Volume: lll
Area: lll
Area of observed contamination: lll
B. Hazardous substances associated with the source.
115
Available to pathway
Air Surface water (SW)

Hazardous substance Ground Soil
water Overland/
(GW) GW to SW
Gas Particulate flood Resident Nearby
.
.
.
.
.
.
.
2.2.2 Identify hazardous substances associ- • Surface water migration—ground water

ated with a source. For each of the three mi- to surface water component.
gration pathways, consider those hazardous –Hazardous substances that meet the cri-
substances documented in a source (for ex- teria for an observed release to ground
ample, by sampling, labels, manifests, oral water.
or written statements) to be associated with
–All hazardous substances associated with
that source when evaluating each pathway.
a source with a ground water containment
In some instances, a hazardous substance factor value greater than 0 (see sections
can be documented as being present at a site 4.2.2.1.2 and 3.1.2.1).
(for example, by labels, manifests, oral or • Air migration.
written statements), but the specific
source(s) containing that hazardous sub- –Hazardous substances that meet the cri-
stance cannot be documented. For the three teria for an observed release to the atmos-
migration pathways, in those instances when phere.
the specific source(s) cannot be documented –All gaseous hazardous substances associ-
for a hazardous substance, consider the haz- ated with a source with a gas containment
ardous substance to be present in each factor value greater than 0 (see section
source at the site, except sources for which 6.1.2.1.1).
definitive information indicates that the –All particulate hazardous substances asso-
hazardous substance was not or could not be ciated with a source with a particulate
present. containment factor value greater than 0
(see section 6.1.2.2.1).
For an area of observed contamination in
• For each migration pathway, in those in-
the soil exposure pathway, consider only
stances when the specific source(s) con-
those hazardous substances that meet the
taining the hazardous substance cannot be
criteria for observed contamination for that
documented, consider that hazardous sub-
area (see section 5.0.1) to be associated with
stance to be available to migrate to the
that area when evaluating the pathway. pathway when it can be associated (see sec-
2.2.3 Identify hazardous substances available tion 2.2.2) with at least one source having a
to a pathway. In evaluating each migration containment factor value greater than 0 for
pathway, consider the following hazardous that pathway.
substances available to migrate from the
sources at the site to the pathway: In evaluating the soil exposure pathway,
consider the following hazardous substances
• Ground water migration.
available to the pathway:
–Hazardous substances that meet the cri- • Soil exposure—resident population
teria for an observed release (see section threat.
2.3) to ground water.
–All hazardous substances that meet the
–All hazardous substances associated with criteria for observed contamination at the
a source with a ground water containment site (see section 5.0.1).
factor value greater than 0 (see section • Soil exposure—nearby population threat.
3.1.2.1).
–All hazardous substances that meet the
• Surface water migration—overland/flood
criteria for observed contamination at
component.
areas with an attractiveness/accessibility
–Hazardous substances that meet the cri- factor value greater than 0 (see section
teria for an observed release to surface 5.2.1.1).
water in the watershed being evaluated. 2.3 Likelihood of release. Likelihood of re-
–All hazardous substances associated with lease is a measure of the likelihood that a
a source with a surface water containment waste has been or will be released to the en-
factor value greater than 0 for the water- vironment. The likelihood of release factor
shed (see sections 4.1.2.1.2.1.1 and category is assigned the maximum value of
4.1.2.1.2.2.1). 550 for a migration pathway whenever the
116
criteria for an observed release are met for combined with its mobility, persistence, and/
that pathway. If the criteria for an observed or bioaccumulation (or ecosystem bio-
release are met, do not evaluate potential to accumulation) potential factor values, as ap-
release for that pathway. When the criteria plicable to the migration pathway (or
for an observed release are not met, evaluate threat). For the soil exposure pathway, base
potential to release for that pathway, with a the selection on the toxicity factor alone.
maximum value of 500. The evaluation of po- Evaluation of the toxicity factor is speci-
tential to release varies by migration path- fied in section 2.4.1.1. Use and evaluation of
way (see sections 3, 4 and 6). the mobility, persistence, and/or bioaccumu-
Establish an observed release either by di- lation (or ecosystem bioaccumulation) po-
rect observation of the release of a hazardous tential factors vary by pathway (or threat)
substance into the media being evaluated and are specified under the appropriate path-
(for example, surface water) or by chemical way (or threat) section. Section 2.4.1.2 iden-
analysis of samples appropriate to the path- tifies the specific factors that are combined
way being evaluated (see sections 3, 4, and 6). with toxicity in evaluating each pathway (or
The minimum standard to establish an ob- threat).
served release by chemical analysis is ana- 2.4.1.1 Toxicity factor. Evaluate toxicity
lytical evidence of a hazardous substance in for those hazardous substances at the site
the media significantly above the back- that are available to the pathway being
ground level. Further, some portion of the scored. For all pathways and threats, except
release must be attributable to the site. Use the surface water environmental threat,
the criteria in table 2–3 as the standard for evaluate human toxicity as specified below.
determining analytical significance. (The For the surface water environmental threat,
criteria in table 2–3 are also used in estab- evaluate ecosystem toxicity as specified in
lishing observed contamination for the soil section 4.1.4.2.1.1.
exposure pathway, see section 5.0.1.) Sepa- Establish human toxicity factor values
rate criteria apply to radionuclides (see sec- based on quantitative dose-response param-
tion 7.1.1). eters for the following three types of tox-
icity:
TABLE 2–3—OBSERVED RELEASE CRITERIA FOR • Cancer– –Use slope factors (also referred
CHEMICAL ANALYSIS to as cancer potency factors) combined with
weight-of-evidence ratings for carcino-
Sample Measurement < Sample Quantitation Limit a genicity. If a slope factor is not available for
No observed release is established. a substance, use its ED10 value to estimate a
Sample Measurement ≥ Sample Quantitation Limit a
An observed release is established as follows:
slope factor as follows:
• If the background concentration is not detected (or is
less than the detection limit), an observed release is es- 1
Slope factor =
6 ( ED10 )
tablished when the sample measurement equals or ex-
ceeds the sample quantitation limit. a
• If the background concentration equals or exceeds the
detection limit, an observed release is established when • Noncancer toxicological responses of
the sample measurement is 3 times or more above the chronic exposure– –use reference dose (RfD)
background concentration. values.
a If the sample quantitation limit (SQL) cannot be estab- • Noncancer toxicological responses of
lished, determine if there is an observed release as follows: acute exposure– –use acute toxicity param-
—If the sample analysis was performed under the EPA eters, such as the LD50.
Contract Laboratory Program, use the EPA contract-required
quantitation limit (CRQL) in place of the SQL. Assign human toxicity factor values to a
—If the sample analysis is not performed under the EPA hazardous substance using table 2–4, as fol-
Contract Laboratory Program, use the detection limit (DL) in lows:
place of the SQL.
• If RfD and slope factor values are both
2.4 Waste characteristics. The waste char- available for the hazardous substance, assign
acteristics factor category includes the fol- the substance a value from table 2–4 for each.
lowing factors: hazardous waste quantity, Select the higher of the two values assigned
toxicity, and as appropriate to the pathway and use it as the overall toxicity factor value
or threat being evaluated, mobility, persist- for the hazardous substance.
ence, and/or bioaccumulation (or ecosystem • If either an RfD or slope factor value is
bioaccumulation) potential. available, but not both, assign the hazardous
2.4.1 Selection of substance potentially pos- substance an overall toxicity factor value
ing greatest hazard. For all pathways (and from table 2–4 based solely on the available
threats), select the hazardous substance po- value (RfD or slope factor).
tentially posing the greatest hazard for the • If neither an RfD nor slope factor value
pathway (or threat) and use that substance is available, assign the hazardous substance
in evaluating the waste characteristics cat- an overall toxicity factor value from table 2–
egory of the pathway (or threat). For the 4 based solely on acute toxicity. That is, con-
three migration pathways (and threats), base sider acute toxicity in table 2–4 only when
the selection of this hazardous substance on both RfD and slope factor values are not
the toxicity factor value for the substance, available.
117
EC15NO91.142</MATH>
• If neither an RfD, nor slope factor, nor Carcinogenicity (Human)
acute toxicity value is available, assign the
Weight-of-evidence a/slope factor (mg/kg-day)¥1
hazardous substance an overall toxicity fac- Assigned
value
tor value of 0 and use other hazardous sub- A B C
stances for which information is available in
0.5 ≤ SF b 5 ≤ SF 50 ≤ SF 10,000
evaluating the pathway.
0.05 ≤ SF < 0.5 ≤ SF < 5 5 ≤ SF < 50 1,000
TABLE 2–4—TOXICITY FACTOR EVALUATION 0.5
Chronic Toxicity (Human)
SF < 0.05 0.05 ≤ SF < 0.5 ≤ SF < 5 100
Assigned 0.5
Reference dose (RfD) (mg/kg-day) value
RfD < 0.0005 ......................................................... 10,000 ——— SF < 0.05 SF < 0.5 10
0.0005 ≤ RfD < 0.005 ............................................ 1,000
0.005 ≤ RfD < 0.05 ................................................ 100 Slope factor Slope factor Slope factor 0
0.05 ≤ RfD < 0.5 .................................................... 10 not available. not available. not available.
0.5 ≤ RfD ............................................................... 1 a A, B, and C refer to weight-of-evidence categories. Assign
RfD not available ................................................... 0 substances with a weight-of-evidence category of D (inad-
equate evidence of carcinogenicity) or E (evidence of lack of
carcinogenicity) a value of 0 for carcinogenicity.
b SF = Slope factor.
TABLE 2–4—TOXICITY FACTOR EVALUATION—CONCLUDED

Acute Toxicity (Human)
Assigned
Oral LD50 (mg/kg) Dermal LD50 (mg/kg) Dust or mist LC50 (mg/l) Gas or vapor LC50 (ppm) value
——— ——— ——— ——— ———

LD 50 < 5 ............................ LD50 < 2 ............................ LC50 < 0.2 ......................... LC50 < 20 .......................... 1,000
5 ≤ LD50 < 50 ..................... 2 ≤ LD50 < 20 .................... 0.2 ≤ LC50 < 2 ................... 20 ≤ LC50 < 200 ................ 100
50 ≤ LD50 < 500 ................. 20 ≤ LD50 < 200 ................ 2 ≤ LC50 < 20 .................... 200 ≤ LC50 < 2,000 ........... 10
500 ≤ LD50 ......................... 200 ≤ LD50 ......................... 20 ≤ LC50 ........................... 2,000 ≤ LC50 ...................... 1
LD50 not available .............. LD50 not available ............. LC50 not available ............. LC50 not available ............. 0
If a toxicity factor value of 0 is assigned to –Determine a combined human toxicity/

all hazardous substances available to a par- mobility factor value for the hazardous
ticular pathway (that is, insufficient tox- substance (see section 3.2.1).
icity data are available for evaluating all the • Surface water migration-overland/flood
substances), use a default value of 100 as the migration component.
overall human toxicity factor value for all –Determine a combined human toxicity/
hazardous substances available to the path- persistence factor value for the hazardous
way. For hazardous substances having usable substance for the drinking water threat
toxicity data for multiple exposure routes (see section 4.1.2.2.1).
(for example, inhalation and ingestion), con- –Determine a combined human toxicity/
sider all exposure routes and use the highest persistence/bioaccumulation factor value
for the hazardous substance for the human
assigned value, regardless of exposure route,
food chain threat (see section 4.1.3.2.1).
as the toxicity factor value.
–Determine a combined ecosystem tox-
For HRS purposes, assign both asbestos icity/persistence/bioaccumulation factor
and lead (and its compounds) a human tox- value for the hazardous substance for the
icity factor value of 10,000. environmental threat (see section 4.1.4.2.1).
Separate criteria apply for assigning factor • Surface water migration-ground water to
values for human toxicity and ecosystem surface water migration component.
toxicity for radionuclides (see sections 7.2.1 –Determine a combined human toxicity/
and 7.2.2). mobility/persistence factor value for the
2.4.1.2 Hazardous substance selection. For hazardous substance for the drinking water
each hazardous substance evaluated for a mi- threat (see section 4.2.2.2.1).
gration pathway (or threat), combine the –Determine a combined human toxicity/
human toxicity factor value (or ecosystem mobility/persistence/bioaccumulation fac-
toxicity factor value) for the hazardous sub- tor value for the hazardous substance for
stance with a mobility, persistence, and/or the human food chain threat (see section
bioaccumulation (or ecosystem bioaccumula- 4.2.3.2.1).
–Determine a combined ecosystem tox-
tion) potential factor value as follows:

icity/mobility/persistence/bioaccumulation
• Ground water migration.
factor value for the hazardous substance
118
for the environmental threat (see section unallocated source) having a containment
4.2.4.2.1). factor value greater than 0 for the pathway
• Air migration. being evaluated. Consider the unallocated
–Determine a combined human toxicity/ source to have a containment factor value
mobility factor value for the hazardous greater than 0 for each migration pathway.
substance (see section 6.2.1). For the soil exposure pathway, assign a
Determine each combined factor value for source hazardous waste quantity value to
a hazardous substance by multiplying the in- each area of observed contamination, as ap-
dividual factor values appropriate to the plicable to the threat being evaluated.
pathway (or threat). For each migration For all pathways, evaluate source haz-
pathway (or threat) being evaluated, select ardous waste quantity using the following
the hazardous substance with the highest four measures in the following hierarchy:
combined factor value and use that sub- • Hazardous constituent quantity.
stance in evaluating the waste characteris- • Hazardous wastestream quantity.
tics factor category of the pathway (or • Volume.
threat). • Area.
For the soil exposure pathway, select the For the unallocated source, use only the
hazardous substance with the highest human first two measures.
toxicity factor value from among the sub- Separate criteria apply for assigning a
stances that meet the criteria for observed source hazardous waste quantity value for
contamination for the threat evaluated and radionuclides (see section 7.2.5).
use that substance in evaluating the waste 2.4.2.1.1 Hazardous constituent quantity.
characteristics factor category. Evaluate hazardous constituent quantity for
2.4.2 Hazardous waste quantity. Evaluate the source (or area of observed contamina-
the hazardous waste quantity factor by first tion) based solely on the mass of CERCLA
assigning each source (or area of observed hazardous substances (as defined in CERCLA
contamination) a source hazardous waste section 101(14), as amended) allocated to the
quantity value as specified below. Sum these source (or area of observed contamination),
values to obtain the hazardous waste quan- except:
tity factor value for the pathway being eval- • For a hazardous waste listed pursuant to
uated. section 3001 of the Solid Waste Disposal Act,
In evaluating the hazardous waste quan- as amended by the Resource Conservation
tity factor for the three migration pathways, and Recovery Act of 1976 (RCRA), 42 U.S.C.
allocate hazardous substances and hazardous 6901 et seq., determine its mass for the eval-
wastestreams to specific sources in the man- uation of this measure as follows:
ner specified in section 2.2.2, except: consider –If the hazardous waste is listed solely for
hazardous substances and hazardous Hazard Code T (toxic waste), include only
wastestreams that cannot be allocated to the mass of constituents in the hazardous
any specific source to constitute a separate waste that are CERCLA hazardous sub-
‘‘unallocated source’’ for purposes of evalu- stances and not the mass of the entire haz-
ating only this factor for the three migra- ardous waste.
tion pathways. Do not, however, include a –If the hazardous waste is listed for any
hazardous substance or hazardous other Hazard Code (including T plus any
wastestream in the unallocated source for a other Hazard Code), include the mass of
migration pathway if there is definitive in- the entire hazardous waste.
formation indicating that the substance or
wastestream could only have been placed in • For a RCRA hazardous waste that exhib-
sources with a containment factor value of 0 its the characteristics identified under sec-
for that migration pathway. tion 3001 of RCRA, as amended, determine its
In evaluating the hazardous waste quan- mass for the evaluation of this measure as
tity factor for the soil exposure pathway, al- follows:
locate to each area of observed contamina- –If the hazardous waste exhibits only the
tion only those hazardous substances that characteristic of toxicity (or only the char-
meet the criteria for observed contamination acteristic of EP toxicity), include only the
for that area of observed contamination and mass of constituents in the hazardous
only those hazardous wastestreams that con- waste that are CERCLA hazardous sub-
tain hazardous substances that meet the cri- stances and not the mass of the entire haz-
teria for observed contamination for that ardous waste.
area of observed contamination. Do not con- –If the hazardous waste exhibits any other
sider other hazardous substances or haz- characteristic identified under section 3001
ardous wastestreams at the site in evalu- (including any other characteristic plus
ating this factor for the soil exposure path- the characteristic of toxicity [or the char-
way. acteristic of EP toxicity]), include the
2.4.2.1 Source hazardous waste quantity. mass of the entire hazardous waste.
For each of the three migration pathways, Based on this mass, designated as C, assign
assign a source hazardous waste quantity a value for hazardous constituent quantity
value to each source (including the as follows:
119
• For the migration pathways, assign the nation) based on the mass of hazardous
source a value for hazardous constituent wastestreams plus the mass of any addi-
quantity using the Tier A equation of table tional CERCLA pollutants and contaminants
2–5. (as defined in CERCLA section 101[33], as
• For the soil exposure pathway, assign the amended) that are allocated to the source (or
area of observed contamination a value using area of observed contamination). For a
the Tier A equation of table 5–2 (section wastestream that consists solely of a haz-
5.1.2.2). ardous waste listed pursuant to section 3001
If the hazardous constituent quantity for of RCRA, as amended or that consists solely
the source (or area of observed contamina- of a RCRA hazardous waste that exhibits the
tion) is adequately determined (that is, the characteristics identified under section 3001
total mass of all CERCLA hazardous sub- of RCRA, as amended, include the mass of
stances in the source and releases from the that entire hazardous waste in the evalua-
source [or in the area of observed contamination of this measure.
tion] is known or is estimated with reason- Based on this mass, designated as W, as-
able confidence), do not evaluate the other sign a value for hazardous wastestream
three measures discussed below. Instead as- quantity as follows:
sign these other three measures a value of 0 • For the migration pathways, assign the
for the source (or area of observed contami- source a value for hazardous wastestream
nation) and proceed to section 2.4.2.1.5. quantity using the Tier B equation of table
If the hazardous constituent quantity is 2–5.
not adequately determined, assign the source
• For the soil exposure pathway, assign the
(or area of observed contamination) a value
area of observed contamination a value using
for hazardous constituent quantity based on
the available data and proceed to section the Tier B equation of table 5–2 (section
2.4.2.1.2. 5.1.2.2).
Do not evaluate the volume and area meas-
TABLE 2–5—HAZARDOUS WASTE QUANTITY ures described below if the source is the
EVALUATION EQUATIONS unallocated source or if the following condi-
tion applies:
Equation • The hazardous wastestream quantity for
Tier Measure Units for assign- the source (or area of observed contamina-
ing value a
tion) is adequately determined—that is,
A Hazardous constituent lb .......... C total mass of all hazardous wastestreams
quantity (C) and CERCLA pollutants and contaminants
Bb Hazardous wastestream lb .......... W/5,000 for the source and releases from the source
quantity (W)
(or for the area of observed contamination)
Cb Volume (V)
Landfill ........................... yd3 ........ V/2,500 is known or is estimated with reasonable
Surface yd3 ........ V/2.5 confidence.
impoundment If the source is the unallocated source or if
Surface yd3 ........ V/2.5
impoundment (bur- this condition applies, assign the volume and
ied/backfilled) area measures a value of 0 for the source (or
c
Drums .......................... gallon ... V/500 area of observed contamination) and proceed
Tanks and yd3 ........ V/2.5 to section 2.4.2.1.5. Otherwise, assign the
containers other source (or area of observed contamination) a
than drums
value for hazardous wastestream quantity
Contaminated soil ......... yd3 ........ V/2,500
Pile ................................ yd3 ........ V/2.5 based on the available data and proceed to
Other ............................. yd3 ........ V/2.5 section 2.4.2.1.3.
Db Area (A). 2.4.2.1.3 Volume. Evaluate the volume
Landfill ........................... ft2 ......... A/3,400 measure using the volume of the source (or
Surface ft2 ......... A/13 the volume of the area of observed contami-
impoundment
Surface ft2 ......... A/13
nation). For the soil exposure pathway, re-
impoundment strict the use of the volume measure to
(buried/backfilled) those areas of observed contamination speci-
Land treatment .............. ft2 ......... A/270 fied in section 5.1.2.2.
Pile d .............................. ft2 ......... A/13 Based on the volume, designated as V, as-
Contaminated soil ......... ft2 ......... A/34,000
sign a value to the volume measure as fol-
a Do not round to nearest integer. lows:
b Convert volume to mass when necessary: 1 ton=2,000
pounds=1 cubic yard=4 drums=200 gallons.
• For the migration pathways, assign the
c If actual volume of drums is unavailable, assume 1 source a value for volume using the appro-
drum=50 gallons. priate Tier C equation of table 2–5.
d Use land surface area under pile, not surface area of pile.
• For the soil exposure pathway, assign the
2.4.2.1.2 Hazardous wastestream quantity. area of observed contamination a value for
Evaluate hazardous wastestream quantity volume using the appropriate Tier C equa-
for the source (or area of observed contami- tion of table 5–2 (section 5.1.2.2).
120
If the volume of the source (or volume of quately determined for one or more sources
the area of observed contamination, if appli- (or one or more portions of sources or re-
cable) can be determined, do not evaluate leases remaining after a removal action) as-
the area measure. Instead, assign the area sign a factor value as follows:
measure a value of 0 and proceed to section • If any target for that migration pathway
2.4.2.1.5. If the volume cannot be determined is subject to Level I or Level II concentra-
(or is not applicable for the soil exposure tions (see section 2.5), assign either the value
pathway), assign the source (or area of ob- from table 2–6 or a value of 100, whichever is
served contamination) a value of 0 for the greater, as the hazardous waste quantity fac-
volume measure and proceed to section tor value for that pathway.
2.4.2.1.4. • If none of the targets for that pathway is
2.4.2.1.4 Area. Evaluate the area measure subject to Level I or Level II concentrations,
using the area of the source (or the area of assign a factor value as follows:
the area of observed contamination). Based
–If there has been no removal action, as-
on this area, designated as A, assign a value
sign either the value from table 2–6 or a
to the area measure as follows:
• For the migration pathways, assign the value of 10, whichever is greater, as the
source a value for area using the appropriate hazardous waste quantity factor value for
Tier D equation of table 2–5. that pathway.
• For the soil exposure pathway, assign the –If there has been a removal action:
area of observed contamination a value for –Determine values from table 2–6 with
area using the appropriate Tier D equation and without consideration of the removal
of table 5–2 (section 5.1.2.2). action.
2.4.2.1.5 Calculation of source hazardous –If the value that would be assigned from
waste quantity value. Select the highest of table 2–6 without consideration of the re-
the values assigned to the source (or area of moval action would be 100 or greater, as-
observed contamination) for the hazardous sign either the value from table 2–6 with
constituent quantity, hazardous consideration of the removal action or a
wastestream quantity, volume, and area value of 100, whichever is greater, as the
measures. Assign this value as the source hazardous waste quantity factor value
hazardous waste quantity value. Do not for the pathway.
round to the nearest integer. –If the value that would be assigned from
2.4.2.2 Calculation of hazardous waste quan- table 2–6 without consideration of the re-
tity factor value. Sum the source hazardous moval action would be less than 100, as-
waste quantity values assigned to all sources sign a value of 10 as the hazardous waste
(including the unallocated source) or areas quantity factor value for the pathway.
of observed contamination for the pathway For the soil exposure pathway, if the haz-
being evaluated and round this sum to the ardous constituent quantity is adequately
nearest integer, except: if the sum is greater determined for all areas of observed con-
than 0, but less than 1, round it to 1. Based tamination, assign the value from table 2–6
on this value, select a hazardous waste quan- as the hazardous waste quantity factor
tity factor value for the pathway from table value. If the hazardous constituent quantity
2–6. is not adequately determined for one or more
areas of observed contamination, assign ei-
TABLE 2–6—HAZARDOUS WASTE QUANTITY ther the value from table 2–6 or a value of 10,
FACTOR VALUES whichever is greater, as the hazardous waste
quantity factor value.
Assigned
Hazardous waste quantity value 2.4.3 Waste characteristics factor category
value
value. Determine the waste characteristics
0 ........................................................................... 0 factor category value as specified in section
1 a to 100 ............................................................. 1b 2.4.3.1 for all pathways and threats, except
Greater than 100 to 10,000 ................................. 100
Greater than 10,000 to 1,000,000 ....................... 10,000 the surface water-human food chain threat
Greater than 1,000,000 ....................................... 1,000,000 and the surface water-environmental threat.
a If the hazardous waste quantity value is greater than 0,
Determine the waste characteristics factor
but less than 1, round it to 1 as specified in text. category value for these latter two threats
b For the pathway, if hazardous constituent quantity is not as specified in section 2.4.3.2.
adequately determined, assign a value as specified in the 2.4.3.1 Factor category value. For the path-
text; do not assign the value of 1.
way (or threat) being evaluated, multiply
For a migration pathway, if the hazardous the toxicity or combined factor value, as ap-
constituent quantity is adequately deter- propriate, from section 2.4.1.2 and the haz-
mined (see section 2.4.2.1.1) for all sources (or ardous waste quantity factor value from sec-
all portions of sources and releases remain- tion 2.4.2.2, subject to a maximum product of
ing after a removal action), assign the value 1×108. Based on this waste characteristics
from table 2–6 as the hazardous waste quan- product, assign a waste characteristics fac-
tity factor value for the pathway. If the haz- tor category value to the pathway (or
ardous constituent quantity is not ade- threat) from table 2–7.
121
TABLE 2–7—WASTE CHARACTERISTICS FACTOR Determine whether the actual contamina-

CATEGORY VALUES tion is Level I or Level II as follows:
–Level I:
Assigned –Media-specific concentrations for the
Waste characteristics product value
target meet the criteria for an observed
0 ............................................................................. 0 release (or observed contamination) for
Greater than 0 to less than 10 .............................. 1 the pathway and are at or above media-
10 to less than 1×102 ............................................ 2 specific benchmark values. These bench-
1×102 to less than 1×103 ...................................... 3 mark values (see section 2.5.2) include
1×103 to less than 1×104 ...................................... 6 both screening concentrations and con-
1×104 to less than 1×105 ...................................... 10
centrations specified in regulatory limits
1×105 to less than 1×106 ...................................... 18
1×106 to less than 1×107 ...................................... 32 (such as Maximum Contaminant Level
1×107 to less than 1×108 ...................................... 56 (MCL) values), or
1×108 to less than 1×109 ...................................... 100 –For the human food chain threat in the
1×109 to less than 1×1010 ..................................... 180 surface water migration pathway, con-
1×1010 to less than 1×1011 ................................... 320 centrations in tissue samples from
1×1011 to less than 1×1012 ................................... 560 aquatic human food chain organisms are
1×1012 .................................................................... 1,000
at or above benchmark values. Such tis-
sue samples may be used in addition to
2.4.3.2 Factor category value, considering
media-specific concentrations only as
bioaccumulation potential. For the surface
specified in sections 4.1.3.3 and 4.2.3.3.
water-human food chain threat and the sur-
face water-environmental threat, multiply –Level II:
the toxicity or combined factor value, as ap- –Media-specific concentrations for the
propriate, from section 2.4.1.2 and the haz- target meet the criteria for an observed
ardous waste quantity factor value from sec- release (or observed contamination) for
tion 2.4.2.2, subject to: the pathway, but are less than media-
• A maximum product of 1×1012, and specific benchmarks. If none of the haz-
• A maximum product exclusive of the bio- ardous substances eligible to be evalu-
accumulation (or ecosystem bioaccumula- ated for the sampling location has an ap-
tion) potential factor of 1×108. plicable benchmark, assign Level II to
Based on the total waste characteristics the actual contamination at the sam-
product, assign a waste characteristics fac- pling location, or
tor category value to these threats from –For observed releases based on direct
table 2–7. observation, assign Level II to targets as
2.5 Targets. specified in sections 3, 4, and 6, or
The types of targets evaluated include the –For the human food chain threat in the
following: surface water migration pathway, con-
• Individual (factor name varies by path- centrations in tissue samples from
way and threat). aquatic human food chain organisms,
• Human population. when applicable, are below benchmark
• Resources (these vary by pathway and values.
threat). –If a target is subject to both Level I and
• Sensitive environments (included for all Level II concentrations for a pathway (or
pathways except ground water migration). threat), evaluate the target using Level I
The factor values that may be assigned to concentrations for that pathway (or
each type of target have the same range for threat).
each pathway for which that type of target is • Potential contamination: Target is sub-
evaluated. The factor value for most types of ject to a potential release (that is, target is
targets depends on whether the target is sub- not associated with actual contamination for
ject to actual or potential contamination for that pathway or threat).
the pathway and whether the actual con-
Assign a factor value for individual risk as
tamination is Level I or Level II:
follows (select the highest value that applies
• Actual contamination: Target is associ-
to the pathway or threat):
ated either with a sampling location that
meets the criteria for an observed release (or • 50 points if any individual is exposed to
observed contamination) for the pathway or Level I concentrations.
with an observed release based on direct ob- • 45 points if any individual is exposed to
servation for the pathway (additional cri- Level II concentrations.
teria apply for establishing actual contami- • Maximum of 20 points if any individual is
nation for the human food chain threat in subject to potential contamination. The
the surface water migration pathway, see value assigned is 20 multiplied by the dis-
sections 4.1.3.3 and 4.2.3.3). sections 3 through tance or dilution weight appropriate to the
6 specify how to determine the targets asso- pathway.
ciated with a sampling location or with an Assign factor values for population and
observed release based on direct observation. sensitive environments as follows:
122
• Sum Level I targets and multiply by 10. • Food and Drug Administration Action
(Level I is not used for sensitive environ- Level (FDAAL) for fish or shellfish—human
ments in the soil exposure and air migration food chain threat in surface water migration
pathways.) pathway.
• Sum Level II targets. • EPA Ambient Water Quality Criteria
• Multiply potential targets by distance or (AWQC) for protection of aquatic life—envi-
dilution weights appropriate to the pathway, ronmental threat in surface water migration
sum, and divide by 10. Distance or dilution pathway.
weighting accounts for diminishing exposure • EPA Ambient Aquatic Life Advisory
with increasing distance or dilution within Concentrations (AALAC)—environmental
the different pathways. threat in surface water migration pathway.
• Sum the values for the three levels. • National Ambient Air Quality Standards
In addition, resource value points are as- (NAAQS)—air migration pathway.
signed within all pathways for welfare-re- • National Emission Standards for Haz-
lated impacts (for example, impacts to agri- ardous Air Pollutants (NESHAPs)—air mi-
cultural land), but do not depend on whether gration pathway. Use only those NESHAPs
there is actual or potential contamination. promulgated in ambient concentration units.
2.5.1 Determination of level of actual con- • Screening concentration for cancer cor-
tamination at a sampling location. Determine responding to that concentration that cor-
whether Level I concentrations or Level II responds to the 10¥6 individual cancer risk
concentrations apply at a sampling location for inhalation exposures (air migration path-
(and thus to the associated targets) as fol- way) or for oral exposures (ground water mi-
lows: gration pathway; drinking water and human
• Select the benchmarks applicable to the
food chain threats in surface water migra-
pathway (or threat) being evaluated.
tion pathway; and soil exposure pathway).
• Compare the concentrations of hazardous
• Screening concentration for noncancer
substances in the sample (or comparable
toxicological responses corresponding to the
samples) to their benchmark concentrations
RfD for inhalation exposures (air migration
for the pathway (or threat), as specified in
pathway) or for oral exposures (ground water
section 2.5.2.
• Determine which level applies based on migration pathway; drinking water and
this comparison. human food chain threats in surface water
• If none of the hazardous substances eligi- migration pathway; and soil exposure path-
ble to be evaluated for the sampling location way).
has an applicable benchmark, assign Level II Select the benchmark(s) applicable to the
to the actual contamination at that sam- pathway (or threat) being evaluated as speci-
pling location for the pathway (or threat). fied in sections 3 through 6. Compare the
In making the comparison, consider only concentration of each hazardous substance
those samples, and only those hazardous sub- from the sampling location to its benchmark
stances in the sample, that meet the criteria concentration(s) for that pathway (or
for an observed release (or observed contami- threat). Use only those samples and only
nation) for the pathway, except: tissue sam- those hazardous substances in the sample
ples from aquatic human food chain orga- that meet the criteria for an observed re-
nisms may also be used as specified in sec- lease (or observed contamination) for the
tions 4.1.3.3 and 4.2.3.3 of the surface water- pathway, except: tissue samples from aquat-
human food chain threat. If any hazardous ic human food chain organisms may be used
substance is present in more than one com- as specified in sections 4.1.3.3 and 4.2.3.3. If
parable sample for the sampling location, the concentration of any applicable haz-
use the highest concentration of that hazardous substance from any sample equals or
ardous substance from any of the comparable exceeds its benchmark concentration, con-
samples in making the comparisons. sider the sampling location to be subject to
Treat sets of samples that are not com- Level I concentrations for that pathway (or
parable separately and make a separate com- threat). If more than one benchmark applies
parison for each such set. to the hazardous substance, assign Level I if
2.5.2 Comparison to benchmarks. Use the the concentration of the hazardous sub-
following media-specific benchmarks for stance equals or exceeds the lowest applica-
making the comparisons for the indicated ble benchmark concentration.
pathway (or threat): If no hazardous substance individually
• Maximum Contaminant Level Goals equals or exceeds its benchmark concentra-
(MCLGs)—ground water migration pathway tion, but more than one hazardous substance
and drinking water threat in surface water either meets the criteria for an observed re-
migration pathway. Use only MCLG values lease (or observed contamination) for the
greater than 0. sample (or comparable samples) or is eligible
• Maximum Contaminant Levels (MCLs)— to be evaluated for a tissue sample (see sec-
ground water migration pathway and drink- tions 4.1.3.3 and 4.2.3.3), calculate the indices
ing water threat in surface water migration I and J specified below based on these haz-
pathway. ardous substances.
123
For those hazardous substances that are sider the sampling location to be subject to
carcinogens (that is, those having a car- Level II concentrations for that pathway (or
cinogen weight-of-evidence classification of threat). If, for the sampling location, there
A, B, or C), calculate an index I for the sam- are sets of samples that are not comparable,
ple location as follows: calculate I and J separately for each such
set, and use the highest calculated values of
n I and J to assign Level I and Level II.
Ci
I=∑ See sections 7.3.1 and 7.3.2 for criteria for
i =1 SC i determining the level of contamination for
radioactive substances.
where:
Ci=Concentration of hazardous substance i in 3.0 Ground Water Migration Pathway
sample (or highest concentration of haz-
ardous substance i from among comparable Evaluate the ground water migration path-
samples). way based on three factor categories: likeli-
SCi=Screening concentration for cancer cor- hood of release, waste characteristics, and
responding to that concentration that cor- targets. Figure 3–1 indicates the factors in-
responds to its 10¥6 individual cancer risk cluded within each factor category.
for applicable exposure (inhalation or oral) Determine the ground water migration
for hazardous substance i. pathway score (Sgw) in terms of the factor
n=Number of applicable hazardous sub- category values as follows:
stances in sample (or comparable samples)
that are carcinogens and for which an SCi ( LR )( WC)( T )
is available. Sgw =
For those hazardous substances for which SF
an RfD is available, calculate an index J for where:
the sample location as follows:
LR=Likelihood of release factor category
m value.
Cj
I=∑ WC=Waste characteristics factor category
value.
j=1 CR j T=Targets factor category value.
where: SF=Scaling factor.
Cj=Concentration of hazardous substance j in Table 3–1 outlines the specific calculation
sample (or highest concentration of haz- procedure.
ardous substance j from among comparable Calculate a separate ground water migra-
samples). tion pathway score for each aquifer, using
CRj=Screening concentration for noncancer the factor category values for that aquifer
toxicological responses corresponding to for likelihood of release, waste characteris-
RfD for applicable exposure (inhalation or tics, and targets. In doing so, include both
oral) for hazardous substance j. the targets using water from that aquifer
m=Number of applicable hazardous sub- and the targets using water from all over-
stances in sample (or comparable samples) lying aquifers through which the hazardous
for which a CRj is available. substances would migrate to reach the aqui-
If either I or J equals or exceeds 1, consider fer being evaluated. Assign the highest
the sampling location to be subject to Level ground water migration pathway score that
I concentrations for that pathway (or results for any aquifer as the ground water
threat). If both I and J are less than 1, con- migration pathway score for the site.
EC15NO91.145</MATH>
EC15NO91.144</MATH>
124
EC15NO91.143</MATH>
125
EC02AU92.005</GPH>
TABLE 3–1—GROUND WATER MIGRATION PATHWAY SCORESHEET

Maximum Value as-
Factor categories and factors value signed
Likelihood of Release to an Aquifer:

1. Observed Release ........................................................................................................... 550 lll
2. Potential to Release:
2a. Containment ............................................................................................... 10 lll
2b. Net Precipitation ......................................................................................... 10 lll
2c. Depth to Aquifer ......................................................................................... 5 lll
2d. Travel Time ................................................................................................ 35 lll
2e. Potential to Release [lines 2a(2b+2c+2d)] ................................................. 500 lll
3. Likelihood of Release (higher of lines 1 and 2e) ............................................................ 550 lll
Waste Characteristics:
4. Toxicity/Mobility ................................................................................................................ (a) lll
5. Hazardous Waste Quantity .............................................................................................. (a) lll
6. Waste Characteristics ...................................................................................................... 100 lll
Targets:
7. Nearest Well .................................................................................................................... 50 lll
8. Population:
8a. Level I Concentrations ............................................................................... (b) lll
8b. Level II Concentrations .............................................................................. (b) lll
8c. Potential Contamination ............................................................................. (b) lll
8d. Population (lines 8a+8b+8c) ...................................................................... (b) lll
9. Resources ........................................................................................................................ 5 lll
10. Wellhead Protection Area ................................................................................................ 20 lll
11. Targets (lines 7+8d+9+10) ............................................................................................... (b) lll
Ground Water Migration Score for an Aquifer:
12. Aquifer Score [(lines 3 x 6 x 11)/82,500] c ......................................................................... 100 lll
Ground Water Migration Pathway Score:
13. Pathway Score (Sgw), (highest value from line 12 for all aquifers evaluated) c .............. 100 lll
a Maximum value applies to waste characteristics category.
b Maximum value not applicable.
c Do not round to nearest integer.
3.0.1 General considerations water contamination attributable to the

3.0.1.1 Ground water target distance limit. sources at the site extends beyond 2 miles
The target distance limit defines the max- from the sources, use any locations within
imum distance from the sources at the site the limits of this observed ground water con-
over which targets are evaluated. Use a tar- tamination in evaluating aquifer inter-
get distance limit of 4 miles for the ground connections. If data are not adequate to es-
water migration pathway, except when aqui- tablish aquifer interconnections, evaluate
fer discontinuities apply (see section the aquifers as separate aquifers.
3.0.1.2.2). Furthermore, consider any well 3.0.1.2.2 Aquifer discontinuities. Evaluate
with an observed release from a source at the whether aquifer discontinuities occur within
site (see section 3.1.1) to lie within the target the 4-mile target distance limit. An aquifer
distance limit of the site, regardless of the discontinuity occurs for scoring purposes
well’s distance from the sources at the site. only when a geologic, topographic, or other
For sites that consist solely of a contami- structure or feature entirely transects an aq-
nated ground water plume with no identified uifer within the 4-mile target distance limit,
source, begin measuring the 4-mile target thereby creating a continuous boundary to
distance limit at the center of the area of ob- ground water flow within this limit. If two
served ground water contamination. Deter- or more aquifers can be combined into a sin-
mine the area of observed ground water con- gle hydrologic unit for scoring purposes, an
tamination based on available samples that aquifer discontinuity occurs only when the
meet the criteria for an observed release. structure or feature entirely transects the
3.0.1.2 Aquifer boundaries. Combine mul- boundaries of this single hydrologic unit.
tiple aquifers into a single hydrologic unit When an aquifer discontinuity is estab-
for scoring purposes if aquifer interconnec- lished within the 4-mile target distance
tions can be established for these aquifers. In limit, exclude that portion of the aquifer be-
contrast, restrict aquifer boundaries if aqui- yond the discontinuity in evaluating the
fer discontinuities can be established. ground water migration pathway. However,
3.0.1.2.1 Aquifer interconnections. Evaluate if hazardous substances have migrated across
whether aquifer interconnections occur with- an apparent discontinuity within the 4-mile
in 2 miles of the sources at the site. If they target distance limit, do not consider this to
occur within this 2-mile distance, combine be a discontinuity in scoring the site.
the aquifers having interconnections in scor- 3.0.1.3 Karst aquifer. Give a karst aquifer
ing the site. In addition, if observed ground that underlies any portion of the sources at
126
the site special consideration in the evalua- cannot be established for the aquifer. Evalu-
tion of two potential to release factors ate potential to release based on four fac-
(depth to aquifer in section 3.1.2.3 and travel tors: containment, net precipitation, depth
time in section 3.1.2.4), one waste character- to aquifer, and travel time. For sources over-
istics factor (mobility in section 3.2.1.2), and lying karst terrain, give any karst aquifer
two targets factors (nearest well in section that underlies any portion of the sources at
3.3.1 and potential contamination in section the site special consideration in evaluating
3.3.2.4). depth to aquifer and travel time, as specified
3.1 Likelihood of release. For an aquifer, in sections 3.1.2.3 and 3.1.2.4.
evaluate the likelihood of release factor cat-
3.1.2.1 Containment. Assign a containment
egory in terms of an observed release factor
or a potential to release factor. factor value from table 3–2 to each source at
3.1.1 Observed release. Establish an ob- the site. Select the highest containment fac-
served release to an aquifer by dem- tor value assigned to those sources with a
onstrating that the site has released a haz- source hazardous waste quantity value of 0.5
ardous substance to the aquifer. Base this or more (see section 2.4.2.1.5). (Do not include
demonstration on either: this minimum size requirement in evalu-
• Direct observation—a material that con- ating any other factor of this pathway.) As-
tains one or more hazardous substances has sign this highest value as the containment
been deposited into or has been observed en- factor value for the aquifer being evaluated.
tering the aquifer. Enter this value in Table 3–1.
• Chemical analysis—an analysis of ground If no source at the site meets the minimum
water samples from the aquifer indicates size requirement, then select the highest
that the concentration of hazardous sub- value assigned to the sources at the site and
stance(s) has increased significantly above assign it as the containment factor value for
the background concentration for the site the aquifer being evaluated. Enter this value
(see section 2.3). Some portion of the signifi-
in table 3–1.
cant increase must be attributable to the
3.1.2.2 Net precipitation. Assign a net pre-
site to establish the observed release, except:
when the source itself consists of a ground cipitation factor value to the site. Figure 3–
water plume with no identified source, no 2 provides computed net precipitation factor
separate attribution is required. values, based on site location. Where nec-
essary, determine the net precipitation fac-
If an observed release can be established
tor value as follows:
for the aquifer, assign the aquifer an ob-
served release factor value of 550, enter this • Determine monthly precipitation and
value in table 3–1, and proceed to section monthly evapotranspiration:
3.1.3. If an observed release cannot be estab- –Use local measured monthly averages.
lished for the aquifer, assign an observed re- –When local data are not available, use
lease factor value of 0, enter this value in monthly averages from the nearest Na-
table 3–1, and proceed to section 3.1.2. tional Oceanographic and Atmospheric Ad-
3.1.2 Potential to release. Evaluate poten- ministration weather station that is in a
tial to release only if an observed release similar geographic setting.
TABLE 3–2—CONTAINMENT FACTOR VALUES FOR GROUND WATER MIGRATION PATHWAY
Source Assigned value
All Sources (Except Surface Impoundments, Land Treatment, Containers, and Tanks)
Evidence of hazardous substance migration from source area (i.e., source area includes source and any as- 10
sociated containment structures).
No liner ................................................................................................................................................................. 10
No evidence of hazardous substance migration from source area, a liner, and:
(a) None of the following present: (1) maintained engineered cover, or (2) functioning and maintained 10
run-on control system and runoff management system, or (3) functioning leachate collection and re-
moval system immediately above liner.
(b) Any one of the three items in (a) present ............................................................................................... 9
(c) Any two of the items in (a) present ......................................................................................................... 7
(d) All three items in (a) present plus a functioning ground water monitoring system ................................. 5
(e) All items in (d) present, plus no bulk or non-containerized liquids nor materials containing free liquids 3
deposited in source area.
No evidence of hazardous substance migration from source area, double liner with functioning leachate col-
lection and removal system above and between liners, functioning ground water monitoring system, and:
(f) Only one of the following deficiencies present in containment: (1) bulk or noncontainerized liquids or 3
materials containing free liquids deposited in source area, or (2) no or nonfunctioning or nonmain-
tained run-on control system and runoff management system, or (3) no or nonmaintained engineered
cover.
(g) None of the deficiencies in (f) present .................................................................................................... 0
Source area inside or under maintained intact structure that provides protection from precipitation so that 0
neither runoff nor leachate is generated, liquids or materials containing free liquids not deposited in source
area, and functioning and maintained run-on control present.
127
TABLE 3–2—CONTAINMENT FACTOR VALUES FOR GROUND WATER MIGRATION PATHWAY—

Continued
Surface Impoundment
Evidence of hazardous substance migration from surface impoundment ........................................................... 10
No liner ................................................................................................................................................................. 10
Free liquids present with either no diking, unsound diking, or diking that is not regularly inspected and main- 10
tained.
No evidence of hazardous substance migration from surface impoundment, free liquids present, sound
diking that is regularly inspected and maintained, adequate freeboard, and:
(a) Liner ......................................................................................................................................................... 9
(b) Liner with functioning leachate collection and removal system below liner, and functioning ground 5
water monitoring system.
(c) Double liner with functioning leachate collection and removal system between liners, and functioning 3
ground water monitoring system.
No evidence of hazardous substance migration from surface impoundment and all free liquids eliminated at Evaluate using
closure (either by removal of liquids or solidification of remaining wastes and waste residues). All sources
criteria (with no
bulk or free liq-
uid deposited).
Land Treatment
Evidence of hazardous substance migration from land treatment zone ............................................................. 10
No functioning, maintained, run-on control and runoff management system ...................................................... 10
No evidence of hazardous substance migration from land treatment zone and:
(a) Functioning and maintained run-on control and runoff management system ......................................... 7
(b) Functioning and maintained run-on control and runoff management system, and vegetative cover es- 5
tablished over entire land treatment area.
(c) Land treatment area maintained in compliance with 40 CFR 264.280 ................................................... 0
Containers
All containers buried ............................................................................................................................................. Evaluate using
All sources
criteria.
Evidence of hazardous substance migration from container area (i.e., container area includes containers and 10
any associated containment structures).
No liner (or no essentially impervious base) under container area. .................................................................... 10
No diking (or no similar structure) surrounding container area ........................................................................... 10
Diking surrounding container area unsound or not regularly inspected and maintained .................................... 10
No evidence of hazardous substance migration from container area, container area surrounded by sound
diking that is regularly inspected and maintained, and:
(a) Liner (or essentially impervious base) under container area .................................................................. 9
(b) Essentially impervious base under container area with liquids collection and removal system ............. 7
(c) Containment system includes essentially impervious base, liquids collection system, sufficient capac- 5
ity to contain 10 percent of volume of all containers, and functioning and maintained run-on control;
plus functioning ground water monitoring system, and spilled or leaked hazardous substances and ac-
cumulated precipitation removed in timely manner to prevent overflow of collection system, at least
weekly inspection of containers, hazardous substances in leaking or deteriorating containers trans-
ferred to containers in good condition, and containers sealed except when waste is added or removed.
(d) Free liquids present, containment system has sufficient capacity to hold total volume of all con- 5
tainers and to provide adequate freeboard, single liner under container area with functioning leachate
collection and removal system below liner, and functioning ground water monitoring system.
(e) Same as (d) except: double liner under container area with functioning leachate collection and re- 3
moval system between liners.
Containers inside or under maintained intact structure that provides protection from precipitation so that nei- 0
ther runoff nor leachate would be generated from any unsealed or ruptured containers, liquids or materials
containing free liquids not deposited in any container, and functioning and maintained run-off control
present.
No evidence of hazardous substance migration from container area, containers leaking, and all free liquids Evaluate using
eliminated at closure (either by removal of liquid or solidification of remaining wastes and waste residues). All sources
criteria (with no
bulk or free liq-
uid deposited).
Tank
Below-ground tank ................................................................................................................................................ Evaluate using
All sources
criteria.
Evidence of hazardous substance migration from tank area (i.e., tank area includes tank, ancillary equip- 10
ment such as piping, and any associated containment structures).
Tank and ancillary equipment not provided with secondary containment (e.g., liner under tank area, vault 10
system, double wall).

No diking (or no similar structure) surrounding tank and ancillary equipment .................................................... 10
Diking surrounding tank and ancillary equipment unsound or not regularly inspected and maintained ............. 10
128
TABLE 3–2—CONTAINMENT FACTOR VALUES FOR GROUND WATER MIGRATION PATHWAY—

Continued
No evidence of hazardous substance migration from tank area, tank and ancillary equipment surrounded by
sound diking that is regularly inspected and maintained, and:
(a) Tank and ancillary equipment provided with secondary containment .................................................... 9
(b) Tank and ancillary equipment provided with secondary containment with leak detection and collec- 7
tion system.
(c) Tank and ancillary equipment provided with secondary containment system that detects and collects 5
spilled or leaked hazardous substances and accumulated precipitation and has sufficient capacity to
contain 110 percent of volume of largest tank within containment area, spilled or leaked hazardous
substances and accumulated precipitation removed in timely manner, at least weekly inspection of
tank and secondary containment system, all leaking or unfit-for-use tank systems promptly responded
to, and functioning ground water monitoring system.
(d) Containment system has sufficient capacity to hold volume of all tanks within tank containment area 5
and to provide adequate freeboard, single liner under that containment area with functioning leachate
collection and removal system below liner, and functioning ground water monitoring system.
(e) Same as (d) except: double liner under tank containment area with functioning leachate collection 3
and removal system between liners.
Tank is above ground, and inside or under maintained intact structure that provides protection from precipi- 0
tation so that neither runoff nor leachate would be generated from any material released from tank, liquids
or materials containing free liquids not deposited in any tank, and functioning and maintained run-on con-
trol present.
129
130
EC02AU92.006</GPH>
–When measured monthly Ei=Monthly potential evapotranspiration

evapotranspiration is not available, cal- (inches) for month i.
culate monthly potential Fi=Monthly latitude adjusting value for
evapotranspiration (Ei) as follows: month i.
Ei = 0.6 Fi (10 Ti/I) a Ti=Mean monthly temperature ( °C) for
where: month i.
131
EC02AU92.007</GPH>
monthly potential evapotranspiration) from
12 monthly precipitation. If evapotranspiration
I = ∑ (Ti /5)
1.514
(or potential evapotranspiration) exceeds
i =1 precipitation for a month, assign that month
a net precipitation value of 0.
a=6.75×10¥7 I3¥7.71×10¥5 I2+ • Calculate the annual net precipitation by
1.79×10¥2 I+0.49239 summing the monthly net precipitation val-
Select the latitude adjusting value for each ues.
month from table 3–3. For latitudes lower • Based on the annual net precipitation,
than 50° North or 20° South, determine the assign a net precipitation factor value from
monthly latitude adjusting value by inter- table 3–4.
polation. Enter the value assigned from Figure 3–2
• Calculate monthly net precipitation by or from table 3–4, as appropriate, in table 3–
subtracting monthly evapotranspiration (or 1.
TABLE 3–3—MONTHLY LATITUDE ADJUSTING VALUES A
Month
Latitude b
(degrees) Jan. Feb. March April May June July August Sept. Oct. Nov. Dec.
≥50 N 0.74 0.78 1.02 1.15 1.33 1.36 1.37 1.25 1.06 0.92 0.76 0.70
45 N 0.80 0.81 1.02 1.13 1.28 1.29 1.31 1.21 1.04 0.94 0.79 0.75
40 N 0.84 0.83 1.03 1.11 1.24 1.25 1.27 1.18 1.04 0.96 0.83 0.81
35 N 0.87 0.85 1.03 1.09 1.21 1.21 1.23 1.16 1.03 0.97 0.89 0.85
30 N 0.90 0.87 1.03 1.08 1.18 1.17 1.20 1.14 1.03 0.98 0.89 0.88
20 N 0.95 0.90 1.03 1.05 1.13 1.11 1.14 1.11 1.02 1.00 0.93 0.94
10 N 1.00 0.91 1.03 1.03 1.08 1.06 1.08 1.07 1.02 1.02 0.98 0.99
0 1.04 0.94 1.04 1.01 1.04 1.01 1.04 1.04 1.01 1.04 1.01 1.04
10 S 1.08 0.97 1.05 0.99 1.00 0.96 1.00 1.02 1.00 1.06 1.05 1.09
20 S 1.14 0.99 1.05 0.97 0.96 0.91 0.95 0.99 1.00 1.08 1.09 1.15
a Do not round to nearest integer.
b For unlisted latitudes lower than 50° North or 20° South, determine the latitude adjusting value by interpolation.
TABLE 3–4—NET PRECIPITATION FACTOR for any aquifer that does not have an ob-
VALUES served release. If the necessary geologic in-
formation is available at multiple locations,
Net precipitation (inches) Assigned calculate the depth to aquifer at each loca-
value tion. Use the location having the smallest
0 ........................................................................... 0 depth to assign the factor value. Enter this
Greater than 0 to 5 .............................................. 1 value in table 3–1.
Greater than 5 to 15 ............................................ 3
Greater than 15 to 30 .......................................... 6 TABLE 3–5—DEPTH TO AQUIFER FACTOR
Greater than 30 ................................................... 10 VALUES
3.1.2.3 Depth to aquifer. Evaluate depth to Assigned
Depth to aquifer a (feet)
aquifer by determining the depth from the value
lowest known point of hazardous substances
Less than or equal to 25 ..................................... 5
at a site to the top of the aquifer being eval-
Greater than 25 to 250 ........................................ 3
uated, considering all layers in that interval. Greater than 250 ................................................. 1
Measure the depth to an aquifer as the dis-
a Use depth of all layers between the hazardous substances
tance from the surface to the top of the aqui-
and aquifer. Assign a thickness of 0 feet to any karst aquifer
fer minus the distance from the surface to that underlies any portion of the sources at the site.
the lowest known point of hazardous sub-
stances eligible to be evaluated for that aq- 3.1.2.4 Travel time. Evaluate the travel
uifer. In evaluating depth to aquifer in karst time factor based on the geologic materials
terrain, assign a thickness of 0 feet to a in the interval between the lowest known
karst aquifer that underlies any portion of point of hazardous substances at the site and
the sources at the site. Based on the cal- the top of the aquifer being evaluated. As-
culated depth, assign a value from table 3–5 sign a value to the travel time factor as fol-
to the depth to aquifer factor. lows:
Determine the depth to aquifer only at lo- • If the depth to aquifer (see section 3.1.2.3)
cations within 2 miles of the sources at the is 10 feet or less, assign a value of 35.
site, except: if observed ground water con- • If, for the interval being evaluated, all
tamination attributable to sources at the layers that underlie a portion of the sources
site extends more than 2 miles beyond these at the site are karst, assign a value of 35.
sources, use any location within the limits of • Otherwise:
this observed ground water contamination –Select the lowest hydraulic conductivity
when evaluating the depth to aquifer factor layer(s) from within the above interval.
132
EC15NO91.146</MATH>
Consider only layers at least 3 feet thick. –If more than one layer has the same low-
However, do not consider layers or por- est hydraulic conductivity, include all
tions of layers within the first 10 feet of such layers and sum their thicknesses. As-
the depth to the aquifer. sign a thickness of 0 feet to a karst layer
–Determine hydraulic conductivities for that underlies any portion of the sources
individual layers from table 3–6 or from in- at the site.
situ or laboratory tests. Use representa- –Assign a value from table 3–7 to the travel
tive, measured, hydraulic conductivity val- time factor, based on the thickness and hy-
draulic conductivity of the lowest hydrau-
ues whenever available.
lic conductivity layer(s).
TABLE 3–6—HYDRAULIC CONDUCTIVITY OF GEOLOGIC MATERIALS
Assigned hydrau-
Type of material lic conductivity a
(cm/sec)
Clay; low permeability till (compact unfractured till); shale; unfractured metamorphic and igneous rocks ......... 10¥8
Silt; loesses; silty clays; sediments that are predominantly silts; moderately permeable till (fine-grained, un-
consolidated till, or compact till with some fractures); low permeability limestones and dolomites (no karst);
low permeability sandstone; low permeability fractured igneous and metamorphic rocks ............................... 10¥6
Sands; sandy silts; sediments that are predominantly sand; highly permeable till (coarse-grained, unconsoli-
dated or compact and highly fractured); peat; moderately permeable limestones and dolomites (no karst);
moderately permeable sandstone; moderately permeable fractured igneous and metamorphic rocks ........... 10¥4
Gravel; clean sand; highly permeable fractured igneous and metamorphic rocks; permeable basalt; karst
limestones and dolomites .................................................................................................................................. 10¥2
TABLE 3–7—TRAVEL TIME FACTOR VALUES A

Thickness of lowest hydraulic conductivity
layer(s) b (feet)
Hydraulic conductivity (cm/sec) Greater Greater Greater Greater
than 3 to than 5 to than 100 than 500
5 100 to 500
Greater than or equal to 10¥3 .............................................................................. 35 35 35 25

Less than 10¥3 to 10¥5 ........................................................................................ 35 25 15 15
Less than 10¥5 to 10¥7 ........................................................................................ 15 15 5 5
Less than 10¥7 ..................................................................................................... 5 5 1 1
a If depth to aquifer is 10 feet or less or if, for the interval being evaluated, all layers that underlie a portion of the sources at
the site are karst, assign a value of 35.
b Consider only layers at least 3 feet thick. Do not consider layers or portions of layers within the first 10 feet of the depth to
the aquifer.
Determine travel time only at locations 3.1.3 Calculation of likelihood of release fac-
within 2 miles of the sources at the site, ex- tor category value. If an observed release is
cept: if observed ground water contamina- established for an aquifer, assign the ob-
tion attributable to sources at the site ex- served release factor value of 550 as the like-
tends more than 2 miles beyond these lihood of release factor category value for
sources, use any location within the limits of that aquifer. Otherwise, assign the potential
this observed ground water contamination to release factor value for that aquifer as the
when evaluating the travel time factor for likelihood of release value. Enter the value
any aquifer that does not have an observed assigned in table 3–1.
release. If the necessary subsurface geologic 3.2 Waste characteristics. Evaluate the
waste characteristics factor category for an
information is available at multiple loca-
aquifer based on two factors: toxicity/mobil-
tions, evaluate the travel time factor at each
ity and hazardous waste quantity. Evaluate
location. Use the location having the highest
only those hazardous substances available to
travel time factor value to assign the factor
migrate from the sources at the site to
value for the aquifer. Enter this value in ground water. Such hazardous substances in-
table 3–1. clude:
3.1.2.5 Calculation of potential to release fac- • Hazardous substances that meet the cri-
tor value. Sum the factor values for net pre- teria for an observed release to ground
cipitation, depth to aquifer, and travel time, water.
and multiply this sum by the factor value for • All hazardous substances associated with
containment. Assign this product as the po- a source that has a ground water contain-
tential to release factor value for the aqui- ment factor value greater than 0 (see sec-
fer. Enter this value in table 3–1. tions 2.2.2, 2.2.3, and 3.1.2.1).
133
3.2.1 Toxicity/mobility. For each hazardous lying the sources at the site, regardless of
substance, assign a toxicity factor value, a the aquifer being evaluated, assign a mobil-
mobility factor value, and a combined tox- ity factor value of 1.
icity/mobility factor value as specified in the • For any hazardous substance that does
following sections. Select the toxicity/mobil- not meet the criteria for an observed release
ity factor value for the aquifer being evalu- by chemical analysis to at least one of the
ated as specified in section 3.2.1.3. aquifers, assign that hazardous substance a
3.2.1.1 Toxicity. Assign a toxicity factor mobility factor value from table 3–8 for the
value to each hazardous substance as speci- aquifer being evaluated, based on its water
fied in Section 2.4.1.1. solubility and distribution coefficient (Kd).
3.2.1.2 Mobility. Assign a mobility factor • If the hazardous substance cannot be as-
value to each hazardous substance for the signed a mobility factor value because data
aquifer being evaluated as follows: on its water solubility or distribution coeffi-
• For any hazardous substance that meets cient are not available, use other hazardous
the criteria for an observed release by chem- substances for which information is avail-
ical analysis to one or more aquifers under- able in evaluating the pathway.
TABLE 3–8—GROUND WATER MOBILITY FACTOR VALUES A
Distribution coefficient (Kd) (ml/g)
Water solubility (mg/l) >10 to
Karst c ≤10 >1,000
1,000
Present as liquid b ................................................................................................. 1 1 0.01 0.0001

Greater than 100 ................................................................................................... 1 1 0.01 0.0001
Greater than 1 to 100 ........................................................................................... 0.2 0.2 0.002 2×10¥5
Greater than 0.01 to 1 .......................................................................................... 0.002 0.002 2×10¥5 2×10¥7
Less than or equal to 0.01 .................................................................................... 2×10¥5 2×10¥5 2×10¥7 2×10¥9
b Use if the hazardous substance is present or deposited as a liquid.
c Use if the entire interval from the source to the aquifer being evaluated is karst.
• If none of the hazardous substances eligi- –Use this geometric mean as the water
ble to be evaluated can be assigned a mobil- solubility in assigning the hazardous
ity factor value, use a default value of 0.002 substance a mobility factor value from
as the mobility factor value for all these haz- table 3–8.
ardous substances. –For any other hazardous substance (either
Determine the water solubility to be used organic or inorganic) that does not meet
in table 3–8 for the hazardous substance as the criteria for an observed release by
follows (use this same water solubility for all chemical analysis, use the water solubility
aquifers): of that hazardous substance to assign a
• For any hazardous substance that does mobility factor value from table 3–8 to the
not meet the criteria for an observed release hazardous substance.
by chemical analysis, if the hazardous sub- For the aquifer being evaluated, determine
stance is present or deposited as a liquid, use the distribution coefficient to be used in
table 3–8 for the hazardous substance as fol-
the water solubility category ‘‘Present as
lows:
Liquid’’ in table 3–8 to assign the mobility
• For any hazardous substance that does
factor value to that hazardous substance.
not meet the criteria for an observed release
• Otherwise:
by chemical analysis, if the entire interval
–For any hazardous substance that is a from a source at the site to the aquifer being
metal (or metalloid) and that does not evaluated is karst, use the distribution coef-
meet the criteria for an observed release ficient category ‘‘Karst’’ in table 3–8 in as-
by chemical analysis, establish a water sol- signing the mobility factor value for that
ubility for the hazardous substance as fol- hazardous substance for that aquifer.
lows: • Otherwise:
–Determine the overall range of water –For any hazardous substance that is a
solubilities for compounds of this haz- metal (or metalloid) and that does not
ardous substance (consider all com- meet the criteria for an observed release
pounds for which adequate water solu- by chemical analysis, use the distribution
bility information is available, not just coefficient for the metal or (metalloid) to
compounds identified as present at the assign a mobility factor value from table
site). 3–8 for that hazardous substance.
–Calculate the geometric mean of the –For any other inorganic hazardous sub-
highest and the lowest water solubility stance that does not meet the criteria for
in this range. an observed release by chemical analysis,
134
use the distribution coefficient for that in- fs=Sorbent content (fraction of clays plus or-
organic hazardous substance, if available, ganic carbon) in the subsurface.
to assign a mobility factor value from –Use fs values of 0.03 and 0.77 in the above
table 3–8. If the distribution coefficient is equation to establish the upper and lower
not available, use a default value of ‘‘less values of the Kd range for the hazardous
than 10’’ as the distribution coefficient, ex- substance.
cept: for asbestos use a default value of –Calculate the geometric mean of the
‘‘greater than 1,000’’ as the distribution co- upper and lower Kd range values. Use this
efficient. geometric mean as the distribution coeffi-
cient in assigning the hazardous substance
–For any hazardous substance that is or-
a mobility factor value from table 3–8.
ganic and that does not meet the criteria
3.2.1.3 Calculation of toxicity/mobility factor
for an observed release by chemical anal- value. Assign each hazardous substance a
ysis, establish a distribution coefficient for toxicity/mobility factor value from table 3–9,
that hazardous substance as follows: based on the values assigned to the haz-
–Estimate the Kd range for the hazardous ardous substance for the toxicity and mobil-
substance using the following equation: ity factors. Use the hazardous substance
Kd=(Koc)(fs) with the highest toxicity/mobility factor
value for the aquifer being evaluated to as-
where:
sign the value to the toxicity/mobility factor
Koc=Soil-water partition coefficient for or- for that aquifer. Enter this value in table 3–
ganic carbon for the hazardous substance. 1.
TABLE 3–9—TOXICITY/MOBILITY FACTOR VALUES A
Toxicity factor value
Mobility factor value
10,000 1,000 100 10 1 0
1.0 10,000 1,000 100 10 1 0

0.2 2,000 200 20 2 0.2 0
0.01 100 10 1 0.1 0.01 0
0.002 20 2 0.2 0.02 0.002 0
0.0001 1 0.1 0.01 0.001 1×10¥4 0
2×10¥5 0.2 0.02 0.002 2×10¥4 2×10¥5 0
2×10¥7 0.002 2×10¥4 2×10¥5 2×10¥6 2×10¥7 0
2×10¥9 2×10¥5 2×10¥6 2×10¥7 2×10¥8 2×10¥9 0
3.2.2 Hazardous waste quantity. Assign a standby wells in evaluating this factor only
hazardous waste quantity factor value for if they are used for drinking water supply at
the ground water pathway (or aquifer) as least once every year.
specified in section 2.4.2. Enter this value in If there is an observed release by direct ob-
table 3–1. servation for a drinking water well within
3.2.3 Calculation of waste characteristics the target distance limit, assign Level II
factor category value. Multiply the toxicity/ concentrations to that well. However, if one
mobility and hazardous waste quantity fac- or more samples meet the criteria for an ob-
tor values, subject to a maximum product of served release for that well, determine if
1×108. Based on this product, assign a value that well is subject to Level I or Level II
from table 2–7 (section 2.4.3.1) to the waste concentrations as specified in sections 2.5.1
characteristics factor category. Enter this and 2.5.2. Use the health-based benchmarks
value in table 3–1. from table 3–10 in determining the level of
3.3 Targets. Evaluate the targets factor contamination.
category for an aquifer based on four factors: Assign a value for the nearest well factor
nearest well, population, resources, and as follows:
Wellhead Protection Area. Evaluate these • If one or more drinking water wells is
four factors based on targets within the tar- subject to Level I concentrations, assign a
get distance limit specified in section 3.0.1.1 value of 50.
and the aquifer boundaries specified in sec- • If not, but if one or more drinking water
tion 3.0.1.2. Determine the targets to be in- wells is subject to Level II concentrations,
cluded in evaluating these factors for an aq- assign a value of 45.
uifer as specified in section 3.0. • If none of the drinking water wells is
3.3.1 Nearest well. In evaluating the near- subject to Level I or Level II concentrations,
est well factor, include both the drinking assign a value as follows:
water wells drawing from the aquifer being –If one of the target aquifers is a karst aq-
evaluated and those drawing from overlying uifer that underlies any portion of the
aquifers as specified in section 3.0. Include sources at the site and any well draws
135
drinking water from this karst aquifer with other water (for example, water from
within the target distance limit, assign a other ground water wells or surface water in-
value of 20. takes), apportion the total population regu-
–If not, determine the shortest distance to larly served by the blended system to the
any drinking water well, as measured from well based on the well’s relative contribution
any source at the site with a ground water to the total blended system. In estimating
containment factor value greater than 0. the well’s relative contribution, assume each
Select a value from table 3–11 based on this well and intake contributes equally and ap-
distance. Assign it as the value for the portion the population accordingly, except:
nearest well factor. if the relative contribution of any one well
Enter the value assigned to the nearest or intake exceeds 40 percent based on aver-
well factor in table 3–1. age annual pumpage or capacity, estimate
the relative contribution of the wells and in-
TABLE 3–10—HEALTH-BASED BENCHMARKS FOR takes considering the following data, if
HAZARDOUS SUBSTANCES IN DRINKING WATER available:
• Average annual pumpage from the ground
• Concentration corresponding to Maximum Con- water wells and surface water intakes in the
taminant Level (MCL). blended system.
• Concentration corresponding to a nonzero Max- • Capacities of the wells and intakes in the
imum Contaminant Level Goal (MCLG). blended system.
• Screening concentration for cancer corresponding For systems with standby ground water
to that concentration that corresponds to the wells or standby surface water intakes, ap-
10¥6 individual cancer risk for oral exposures. portion the total population regularly served
• Screening concentration for noncancer toxi- by the blended system as described above,
cological responses corresponding to the Ref- except:
erence Dose (RfD) for oral exposures. • Exclude standby surface water intakes in
apportioning the population.
• When using pumpage data for a standby
TABLE 3–11—NEAREST WELL FACTOR VALUES ground water well, use average pumpage for
the period during which the standby well is
Assigned used rather than average annual pumpage.
Distance from source (miles) value
• For that portion of the total population
Level I concentrations a ....................................... 50 that could be apportioned to a standby
Level II concentrations a ...................................... 45 ground water well, assign that portion of the
0 to 1⁄4 .................................................................. 20 population either to that standby well or to
Greater than 1⁄4 to 1⁄2 .......................................... 18 the other ground water well(s) and surface
Greater than 1⁄2 to 1 ............................................ 9
Greater than 1 to 2 .............................................. 5
water intake(s) that serve that population;
Greater than 2 to 3 .............................................. 3 do not assign that portion of the population
Greater than 3 to 4 .............................................. 2 both to the standby well and to the other
Greater than 4 ..................................................... 0 well(s) and intake(s) in the blended system.
a
Use the apportioning that results in the
Distance does not apply.
highest population factor value. (Either in-
3.3.2 Population. In evaluating the popu- clude all standby well(s) or exclude some or
lation factor, include those persons served by all of the standby well(s) as appropriate to
drinking water wells within the target dis- obtain this highest value.) Note that the spe-
tance limit specified in section 3.0.1.1. For cific standby well(s) included or excluded
the aquifer being evaluated, count those per- and, thus, the specific apportioning may
sons served by wells in that aquifer and vary in evaluating different aquifers and in
those persons served by wells in overlying evaluating the surface water pathway.
aquifers as specified in section 3.0. Include 3.3.2.1 Level of contamination. Evaluate the
residents, students, and workers who regu- population served by water from a point of
larly use the water. Exclude transient popu- withdrawal based on the level of contamina-
lations such as customers and travelers pass- tion for that point of withdrawal. Use the ap-
ing through the area. Evaluate the popu- plicable factor: Level I concentrations, Level
lation based on the location of the water II concentrations, or potential contamina-
supply wells, not on the location of resi- tion.
dences, work places, etc. When a standby If no samples meet the criteria for an ob-
well is maintained on a regular basis so that served release for a point of withdrawal and
water can be withdrawn, include it in evalu- there is no observed release by direct obser-
ating the population factor. vation for that point of withdrawal, evaluate
In estimating residential population, when that point of withdrawal using the potential
the estimate is based on the number of resi- contamination factor in section 3.3.2.4. If
dences, multiply each residence by the aver- there is an observed release by direct obser-
age number of persons per residence for the vation, use Level II concentrations for that
county in which the residence is located. point of withdrawal. However, if one or more
In determining the population served by a samples meet the criteria for an observed re-
well, if the water from the well is blended lease for the point of withdrawal, determine
136
which factor (Level I or Level II concentra- concentrations. Do not include those people
tions) applies to that point of withdrawal as already counted under the Level I concentra-
specified in sections 2.5.1 and 2.5.2. Use the tions factor. Assign this sum as the value for
health-based benchmarks from table 3–10 in this factor. Enter this value in table 3–1.
determining the level of contamination. 3.3.2.4 Potential contamination. Determine
Evaluate the point of withdrawal using the the number of people served by drinking
Level I concentrations factor in section water from points of withdrawal subject to
3.3.2.2 or the Level II concentrations factor potential contamination. Do not include
in section 3.3.2.3, as appropriate. those people already counted under the Level
For the potential contamination factor, I and Level II concentrations factors.
use population ranges in evaluating the fac-
Assign distance-weighted population val-
tor as specified in section 3.3.2.4. For the
ues from table 3–12 to this population as fol-
Level I and Level II concentrations factors,
use the population estimate, not population lows:
ranges, in evaluating both factors. • Use the ‘‘Karst’’ portion of table 3–12 to
3.3.2.2 Level I concentrations. Sum the assign values only for that portion of the
number of people served by drinking water population served by points of withdrawal
from points of withdrawal subject to Level I that draw drinking water from a karst aqui-
concentrations. Multiply this sum by 10. As- fer that underlies any portion of the sources
sign this product as the value for this factor. at the site.
Enter this value in table 3–1. –For this portion of the population, deter-
3.3.2.3 Level II concentrations. Sum the mine the number of people included within
number of people served by drinking water each ‘‘Karst’’ distance category in table 3–
from points of withdrawal subject to Level II 12.
TABLE 3–12—DISTANCE-WEIGHTED POPULATION VALUES FOR POTENTIAL CONTAMINATION FACTOR
FOR GROUND WATER MIGRATION PATHWAY A
Number of people within the distance category

Distance cat- 11 31 101 1,001 3,001 10,001 30,001 100,001 300,001 1,000,001
egory (miles) 1 to 301 to
0 to to to to to to to to to to
10 1,000
30 100 300 3,000 10,000 30,000 100,000 300,000 1,000,000 3,000,000
Other Than
Karst b:
0 to 1⁄4 ............... 0 4 17 53 164 522 1,633 5,214 16,325 52,137 163,246 521,360 1,632,455
Greater than 1⁄4
to 1⁄2 .............. 0 2 11 33 102 324 1,013 3,233 10,122 32,325 101,213 323,243 1,012,122
Greater than 1⁄2
to 1 ................ 0 1 5 17 52 167 523 1,669 5,224 16,684 52,239 166,835 522,385
Greater than 1
to 2 ................ 0 0.7 3 10 30 94 294 939 2,939 9,385 29,384 93,845 293,842
Greater than 2
to 3 ................ 0 0.5 2 7 21 68 212 678 2,122 6,778 21,222 67,777 212,219
Greater than 3
to 4 ................ 0 0.3 1 4 13 42 131 417 1,306 4,171 13,060 41,709 130,596
Karst c:
0 to 1⁄4 ............... 0 4 17 53 164 522 1,633 5,214 16,325 52,137 163,246 521,360 1,632,455
Greater than 1⁄4
to 1⁄2 .............. 0 2 11 33 102 324 1,013 3,233 10,122 32,325 101,213 323,243 1,012,122
Greater than 1⁄2
to 1 ................ 0 2 9 26 82 261 817 2,607 8,163 26,068 81,623 260,680 816,227
Greater than 1
to 2 ................ 0 2 9 26 82 261 817 2,607 8,163 26,068 81,623 260,680 816,227
Greater than 2
to 3 ................ 0 2 9 26 82 261 817 2,607 8,163 26,068 81,623 260,680 816,227
Greater than 3
to 4 ................ 0 2 9 26 82 261 817 2,607 8,163 26,068 81,623 260,680 816,227
a Round the number of people present within a distance category to nearest integer. Do not round the assigned distance-
weighted population value to nearest integer.
b Use for all aquifers, except karst aquifers underlying any portion of the sources at the site.
c Use only for karst aquifers underlying any portion of the sources at the site.
–Assign a distance-weighted population • Use the ‘‘Other Than Karst’’ portion of

value for each distance category based on table 3–12 for the remainder of the popu-
the number of people included within the lation served by points of withdrawal subject
distance category. to potential contamination.
137
–For this portion of the population, deter- Wellhead Protection Areas applicable to the
mine the number of people included within aquifer being evaluated or overlying aquifers
each ‘‘Other Than Karst’’ distance cat- (as specified in section 3.0). Select the high-
egory in table 3–12. est value below that applies. Assign it as the
–Assign a distance-weighted population value for the Wellhead Protection Area fac-
value for each distance category based on tor for the aquifer being evaluated. Enter
the number of people included within the this value in table 3–1.
distance category. Assign a value of 20 if either of the fol-
Calculate the value for the potential con- lowing criteria applies for the aquifer being
tamination factor (PC) as follows: evaluated or overlying aquifers:
• A source with a ground water contain-
1 n
∑ (Wi + K i )
ment factor value greater than 0 lies, either
PC = partially or fully, within or above the des-
10 i =1 ignated Wellhead Protection Area.
where: • Observed ground water contamination
Wi=Distance-weighted population from attributable to the sources at the site lies,
‘‘Other Than Karst’’ portion of table 3–12 either partially or fully, within the des-
for distance category i. ignated Wellhead Protection Area.
Ki=Distance-weighted population from If neither criterion applies, assign a value
‘‘Karst’’ portion of table 3–12 for distance of 5, if, within the target distance limit,
category i. there is a designated Wellhead Protection
n=Number of distance categories. Area applicable to the aquifer being evalu-
If PC is less than 1, do not round it to the ated or overlying aquifers.
nearest integer; if PC is 1 or more, round to Assign a value of 0 if none of the above ap-
the nearest integer. Enter this value in table plies.
3–1. 3.3.5 Calculation of targets factor category
3.3.2.5 Calculation of population factor value. Sum the factor values for nearest well,
value. Sum the factor values for Level I con- population, resources, and Wellhead Protec-
centrations, Level II concentrations, and po- tion Area. Do not round this sum to the
tential contamination. Do not round this nearest integer. Use this sum as the targets
sum to the nearest integer. Assign this sum factor category value for the aquifer. Enter
as the population factor value for the aqui- this value in table 3–1.
fer. Enter this value in table 3–1. 3.4 Ground water migration score for an aq-
3.3.3 Resources. To evaluate the resources uifer. For the aquifer being evaluated, mul-
factor, select the highest value specified tiply the factor category values for likeli-
below that applies for the aquifer being eval- hood of release, waste characteristics, and
uated. Assign this value as the resources fac- targets, and round the product to the nearest
tor value for the aquifer. Enter this value in integer. Then divide by 82,500. Assign the re-
table 3–1. sulting value, subject to a maximum value of
Assign a resources value of 5 if water 100, as the ground water migration pathway
drawn from any target well for the aquifer score for the aquifer. Enter this score in
being evaluated or overlying aquifers (as table 3–1.
specified in section 3.0) is used for one or 3.5 Calculation of ground water migration
more of the following purposes: pathway score. Calculate a ground water mi-
• Irrigation (5-acre minimum) of commer- gration score for each aquifer underlying the
cial food crops or commercial forage crops. sources at the site, as appropriate. Assign
• Watering of commercial livestock. the highest ground water migration score for
• Ingredient in commercial food prepara- an aquifer as the ground water migration
tion. pathway score (Sgw) for the site. Enter this
• Supply for commercial aquaculture. score in table 3–1.
• Supply for a major or designated water
recreation area, excluding drinking water 4.0 Surface Water Migration Pathway
use.
4.0.1 Migration components. Evaluate the
Assign a resources value of 5 if no drinking
surface water migration pathway based on
water wells are within the target distance
two migration components:
limit, but the water in the aquifer being
evaluated or any overlying aquifers (as spec- • Overland/flood migration to surface
ified in section 3.0) is usable for drinking water (see section 4.1).
water purposes. • Ground water to surface water migration
Assign a resources value of 0 if none of the (see section 4.2).
above applies. Evaluate each component based on the same
3.3.4 Wellhead Protection Area. Evaluate three threats: drinking water threat, human
the Wellhead Protection Area factor based food chain threat, and environmental threat.
on Wellhead Protection Areas designated ac- Score one or both components, considering
cording to section 1428 of the Safe Drinking their relative importance. If only one compo-
Water Act, as amended. Consider only those nent is scored, assign its score as the surface
138
EC15NO91.147</MATH>
water migration pathway score. If both com- stances would take as they migrate away
ponents are scored, select the higher of the from sources at the site:
two scores and assign it as the surface water • Begin the overland segment at a source
migration pathway score. and proceed downgradient to the probable
4.0.2 Surface water categories. For HRS pur- point of entry to surface water.
poses, classify surface water into four cat- • Begin the in-water segment at this prob-
egories: rivers, lakes, oceans, and coastal able point of entry.
tidal waters. –For rivers, continue the in-water segment
Rivers include: in the direction of flow (including any tidal
• Perennially flowing waters from point of flows) for the distance established by the
origin to the ocean or to coastal tidal wa- target distance limit (see section 4.1.1.2).
ters, whichever comes first, and wetlands –For lakes, oceans, coastal tidal waters, or
contiguous to these flowing waters. Great Lakes, do not consider flow direc-
• Aboveground portions of disappearing tion. Instead apply the target distance
rivers. limit as an arc.
• Man-made ditches only insofar as they –If the in-water segment includes both riv-
perennially flow into other surface water. ers and lakes (or oceans, coastal tidal wa-
• Intermittently flowing waters and con- ters, or Great Lakes), apply the target dis-
tiguous intermittently flowing ditches only tance limit to their combined in-water seg-
in arid or semiarid areas with less than 20 ments.
inches of mean annual precipitation. For sites that consist of contaminated
Lakes include: sediments with no identified source, the haz-
• Natural and man-made lakes (including ardous substance migration path consists
impoundments) that lie along rivers, but ex- solely of the in-water segment specified in
cluding the Great Lakes. section 4.1.1.2.
• Isolated, but perennial, lakes, ponds, and Consider a site to be in two or more water-
wetlands. sheds for this component if two or more haz-
• Static water channels or oxbow lakes ardous substance migration paths from the
contiguous to rivers. sources at the site do not reach a common
• Small rivers, without diking, that merge point within the target distance limit. If the
into surrounding perennially inundated wet- site is in more than one watershed, define a
lands. separate hazardous substance migration path
• Wetlands contiguous to water bodies de- for each watershed. Evaluate the overland/
fined here as lakes. flood migration component for each water-
Ocean and ocean-like water bodies include: shed separately as specified in section 4.1.1.3.
• Ocean areas seaward from the baseline of 4.1.1.2 Target distance limit. The target dis-
the Territorial Sea. (This baseline represents tance limit defines the maximum distance
the generalized coastline of the United over which targets are considered in evalu-
States. It is parallel to the seaward limit of ating the site. Determine a separate target
the Territorial Sea and other maritime lim- distance limit for each watershed as follows:
its such as the inner boundary of Federal • If there is no observed release to surface
fisheries jurisdiction and the limit of States water in the watershed or if there is an ob-
jurisdiction under the Submerged Lands Act, served release only by direct observation
as amended.) (see section 4.1.2.1.1), begin measuring the
• The Great Lakes. target distance limit for the watershed at
• Wetlands contiguous to the Great Lakes. the probable point of entry to surface water
Coastal tidal waters include: and extend it for 15 miles along the surface
• Embayments, harbors, sounds, estuaries, water from that point.
back bays, lagoons, wetlands, etc. seaward • If there is an observed release from the
from mouths of rivers and landward from the site to the surface water in the watershed
baseline of the Territorial Sea. that is based on sampling, begin measuring
4.1 Overland/flood migration component. Use the target distance limit for the watershed
the overland/flood migration component to at the probable point of entry; extend the
evaluate surface water threats that result target distance limit either for 15 miles
from overland migration of hazardous sub- along the surface water or to the most dis-
stances from a source at the site to surface tant sample point that meets the criteria for
water. Evaluate three types of threats for an observed release to that watershed,
this component: drinking water threat, whichever is greater.
human food chain threat, and environmental In evaluating the site, include only surface
threat. water targets (for example, intakes, fish-
4.1.1 General considerations. eries, sensitive environments) that are with-
4.1.1.1 Definition of hazardous substance mi- in or contiguous to the hazardous substance
gration path for overland/flood migration com- migration path and located, partially or
ponent. The hazardous substance migration wholly, at or between the probable point of
path includes both the overland segment and entry and the target distance limit applica-
the in-water segment that hazardous sub- ble to the watershed:
139
• If flow within the hazardous substance Note that the hazardous substance migration
migration path is reversed by tides, evaluate path for these contaminated sediment sites
upstream targets only if there is documenta- consists solely of the in-water segment de-
tion that the tidal run could carry sub- fined by the target distance limit; there is no
stances from the site as far as those up- overland segment.
stream targets. For these contaminated sediment sites, in-
• Determine whether targets within or clude only those targets (for example, in-
contiguous to the hazardous substance mi- takes, fisheries, sensitive environments)
gration path are subject to actual or poten- that are within or contiguous to the haz-
tial contamination as follows: ardous substance migration path and lo-
cated, wholly or partially, within the target
–If a target is located, partially or wholly,
distance limit for the site. Determine wheth-
either at or between the probable point of
er these targets are subject to actual or po-
entry and any sampling point that meets tential contamination as follows:
the criteria for an observed release to the • If a target is located, partially or wholly,
watershed or at a point that meets the cri- within the area of observed sediment con-
teria for an observed release by direct ob- tamination, evaluate it as subject to actual
servation, evaluate that target as subject contamination, except as otherwise specified
to actual contamination, except as other- for fisheries in section 4.1.3.3 and wetlands in
wise specified for fisheries in section 4.1.3.3 section 4.1.4.3.1.1.
and for wetlands in section 4.1.4.3.1.1. If the
actual contamination is based on direct ob- –If a drinking water target is subject to ac-
servation, assign Level II to the actual tual contamination, evaluate it using
contamination. However, if the actual con- Level II concentrations.
tamination is based on samples, determine –If a human food chain target or environ-
whether the actual contamination is at mental target is subject to actual contami-
Level I or Level II concentrations as speci- nation, evaluate it using Level I or Level II
fied in sections 4.1.2.3, 4.1.3.3, and 4.1.4.3.1. concentrations, as appropriate (see sec-
tions 4.1.3.3 and 4.1.4.3.1).
–If a target is located, partially or wholly,
• If a target is located, partially or wholly,
within the target distance limit for the wa-
within the target distance limit for the wa-
tershed, but not at or between the probable
tershed, but not within the area of observed
point of entry and any sampling point that
sediment contamination, evaluate it as sub-
meets the criteria for an observed release
ject to potential contamination.
to the watershed, nor at a point that meets
4.1.1.3 Evaluation of overland/flood migration
the criteria for an observed release by di-
component. Evaluate the drinking water
rect observation, evaluate it as subject to
threat, human food chain threat, and envi-
potential contamination.
ronmental threat for each watershed for this
For sites consisting solely of contaminated
component based on three factor categories:
sediments with no identified source, deter-
likelihood of release, waste characteristics,
mine the target distance limit as follows:
and targets. Figure 4–1 indicates the factors
• If there is a clearly defined direction of included within each factor category for
flow for the surface water body (or bodies) each type of threat.
containing the contaminated sediments, Determine the overland/flood migration
begin measuring the target distance limit at component score (Sof) for a watershed in
the point of observed sediment contamina- terms of the factor category values as fol-
tion that is farthest upstream (that is, at the lows:
location of the farthest available upstream
sediment sample that meets the criteria for
an observed release); extend the target dis-
Sof = ∑
3
(LR i )(WC i )(Ti )
tance limit either for 15 miles along the sur-
face water or to the most distant down- i =1 SF
stream sample point that meets the criteria where:
for an observed release to that watershed, LRi=Likelihood of release factor category
whichever is greater. value for threat i (that is, drinking water,
• If there is no clearly defined direction of human food chain, or environmental
flow, begin measuring the target distance threat).
limit at the center of the area of observed WCi=Waste characteristics factor category
sediment contamination. Extend the target value for threat i.
distance limit as an arc either for 15 miles Ti=Targets factor category value for threat i.
along the surface water or to the most dis- SF=Scaling factor.
tant sample point that meets the criteria for Table 4–1 outlines the specific calculation
an observed release to that watershed, procedure.
whichever is greater. Determine the area of If the site is in only one watershed, assign
observed sediment contamination based on the overland/flood migration score for that
available samples that meet the criteria for watershed as the overland/flood migration
an observed release. component score for the site.
140
EC15NO91.148</MATH>
141
EC02AU92.008</GPH>
TABLE 4–1—SURFACE WATER OVERLAND/FLOOD MIGRATION COMPONENT SCORESHEET

Maximum
Factor categories and factors Value assigned
value
Drinking Water Threat

Likelihood of Release:
1. Observed Release ................................................................................................ 550 lll
2. Potential to Release by Overland Flow:
2a. Containment ........................................................................................... 10 lll
2b. Runoff ..................................................................................................... 25 lll
2c. Distance to Surface Water ..................................................................... 25 lll
2d. Potential to Release by Overland Flow (lines 2a[2b+2c]) ..................... 500 lll
3. Potential to Release by Flood:
3a. Containment (Flood) ............................................................................... 10 lll
3b. Flood Frequency .................................................................................... 50 lll
3c. Potential to Release by Flood (lines 3a×3b) .......................................... 500 lll
4. Potential to Release (lines 2d+3c, subject to a maximum of 500) ...................... 500 lll
5. Likelihood of Release (higher of lines 1 and 4) ................................................... 550 lll
6. Toxicity/Persistence .............................................................................................. (a) lll
7. Hazardous Waste Quantity ................................................................................... (a) lll
8. Waste Characteristics ........................................................................................... 100 lll
Targets:
9. Nearest Intake ...................................................................................................... 50 lll
10. Population .............................................................................................................
10a. Level I Concentrations ......................................................................... (b) lll
10b. Level II Concentrations ........................................................................ (b) lll
10c. Potential Contamination ....................................................................... (b) lll
10d. Population (lines 10a+10b+10c) .......................................................... (b) lll
11. Resources ............................................................................................................. 5 lll
12. Targets (lines 9+10d+11) ..................................................................................... (b) lll
Drinking Water Threat Score:
13. Drinking Water Threat Score ([lines 5×8×12]/82,500, subject to a maximum of
100) ......................................................................................................................... 100 lll
Human Food Chain Threat
14. Likelihood of Release (same value as line 5) ...................................................... 550 lll
15. Toxicity/Persistence/Bioaccumulation ................................................................... (a) lll
17. Waste Characteristics ........................................................................................... 1,000 lll
Targets:
18. Food Chain Individual ........................................................................................... 50 lll
19. Population .............................................................................................................
19c. Potential Human Food Chain Contamination ....................................... (b) lll
19d. Population (lines 19a+19b+19c) .......................................................... (b) lll
20. Targets (lines 18+19d) .......................................................................................... (b) lll
Human Food Chain Threat Score:
21. Human Food Chain Threat Score ([lines 14×17×20]/82,500, subject to a max-
imum of 100) ........................................................................................................... 100 lll
Environmental Threat
22. Likelihood of Release (same value as line 5) ...................................................... 550 lll
23. Ecosystem Toxicity/Persistence/Bioaccumulation ................................................ (a) lll
25. Waste Characteristics ........................................................................................... 1,000
Targets:
26. Sensitive Environments.
26c. Potential Contamination ....................................................................... (b) lll
26d. Sensitive Environments (lines 26a+26b+26c) ...................................... (b)
27. Targets (value from line 26d) ............................................................................... (b)
Environmental Threat Score:
28. Environmental Threat Score ([lines 22×25×27]/82,500, subject to a maximum
of 60) ....................................................................................................................... 60 lll
Surface Water Overland/Flood Migration Component Score for a Watershed

29. Watershed Score c (lines 13+21+28, subject to a maximum of 100) .................. 100 lll
142
TABLE 4–1—SURFACE WATER OVERLAND/FLOOD MIGRATION COMPONENT SCORESHEET—Continued

Maximum
value
Surface Water Overland/Flood Migration Component Score

30. Component Score (Sof) c (highest score from line 29 for all watersheds evalu-
ated, subject to a maximum of 100) ....................................................................... 100 lll
If the site is in more than one watershed: –For benthic samples, limit comparisons to
• Calculate a separate overland/flood mi- essentially sessile organisms.
gration component score for each watershed, –Some portion of the significant increase
using likelihood of release, waste character- must be attributable to the site to estab-
istics, and targets applicable to each water- lish the observed release, except: when the
shed. site itself consists of contaminated sedi-
• Select the highest overland/flood migra- ments with no identified source, no sepa-
tion component score from the watersheds rate attribution is required.
evaluated and assign it as the overland/flood If an observed release can be established
migration component score for the site. for a watershed, assign an observed release
4.1.2 Drinking water threat. Evaluate the factor value of 550 to that watershed, enter
drinking water threat for each watershed this value in table 4–1, and proceed to section
based on three factor categories: likelihood 4.1.2.1.3. If no observed release can be estab-
of release, waste characteristics, and targets. lished for the watershed, assign an observed
4.1.2.1 Drinking water threat—likelihood of release factor value of 0 to that watershed,
release. Evaluate the likelihood of release enter this value in table 4–1, and proceed to
factor category for each watershed in terms section 4.1.2.1.2.
of an observed release factor or a potential 4.1.2.1.2 Potential to release. Evaluate po-
to release factor. tential to release only if an observed release
4.1.2.1.1 Observed release. Establish an ob- cannot be established for the watershed.
served release to surface water for a water- Evaluate potential to release based on two
shed by demonstrating that the site has re- components: potential to release by overland
leased a hazardous substance to the surface flow (see section 4.1.2.1.2.1) and potential to
water in the watershed. Base this demonstra- release by flood (see section 4.1.2.1.2.2). Sum
tion on either: the values for these two components to ob-
• Direct observation: tain the potential to release factor value for
the watershed, subject to a maximum value
–A material that contains one or more haz- of 500.
ardous substances has been seen entering 4.1.2.1.2.1 Potential to release by overland
surface water through migration or is flow. Evaluate potential to release by over-
known to have entered surface water land flow for the watershed based on three
through direct deposition, or factors: containment, runoff, and distance to
–A source area has been flooded at a time surface water.
that hazardous substances were present, Assign potential to release by overland
and one or more hazardous substances were flow a value of 0 for the watershed if:
in contact with the flood waters, or • No overland segment of the hazardous
–When evidence supports the inference of a substance migration path can be defined for
release of a material that contains one or the watershed, or
more hazardous substances by the site to • The overland segment of the hazardous
surface water, demonstrated adverse ef- substance migration path for the watershed
fects associated with that release may also exceeds 2 miles before surface water is en-
be used to establish an observed release. countered.
• Chemical analysis: If either condition applies, enter a value of 0
–Analysis of surface water, benthic, or in table 4–1 and proceed to section 4.1.2.1.2.2
sediment samples indicates that the con- to evaluate potential to release by flood. If
centration of hazardous substance(s) has neither applies, proceed to section 4.1.2.1.2.1.1
increased significantly above the back- to evaluate potential to release by overland
ground concentration for the site for that flow.
type of sample (see section 2.3). 4.1.2.1.2.1.1 Containment. Determine the
–Limit comparisons to similar types of containment factor value for the watershed
samples and background concentra- as follows:
tions—for example, compare surface • If one or more sources is located in sur-
water samples to surface water back- face water in the watershed (for example, in-
ground concentrations. tact sealed drums in surface water), assign
143
the containment factor a value of 10 for the then select the highest containment factor
watershed. Enter this value in table 4–1. value assigned to the sources at the site el-
• If none of the sources is located in sur- igible to be evaluated for this watershed
face water in the watershed, assign a con- and assign it as the containment factor
tainment factor value from table 4–2 to each value for the watershed. Enter this value
source at the site that can potentially re- in table 4–1.
lease hazardous substances to the hazardous
A source meets the minimum size require-
substance migration path for this watershed.
ment if its source hazardous waste quantity
Assign the containment factor value for the
watershed as follows: value (see section 2.4.2.1.5) is 0.5 or more. Do
not include the minimum size requirement
–Select the highest containment factor
in evaluating any other factor of this surface
value assigned to those sources that meet
water migration component, except poten-
the minimum size requirement described
below. Assign this highest value as the tial to release by flood as specified in section
containment factor value for the water- 4.1.2.1.2.2.3.
shed. Enter this value in table 4–1. 4.1.2.1.2.1.2 Runoff. Evaluate runoff based
–If, for this watershed, no source at the on three components: rainfall, drainage area,
site meets the minimum size requirement, and soil group.
TABLE 4–2—CONTAINMENT FACTOR VALUES FOR SURFACE WATER MIGRATION PATHWAY

All Sources (Except Surface Impoundments, Land Treatment, Containers, and Tanks)
Evidence of hazardous substance migration from source area (i.e., source area includes source and any as- 10
sociated containment structures)..
No evidence of hazardous substance migration from source area and:
(a) Neither of the following present: (1) maintained engineered cover, or (2) functioning and main- 10
tained run-on control system and runoff management system.
(b) Any one of the two items in (a) present ........................................................................................... 9
(c) Any two of the following present: (1) maintained engineered cover, or (2) functioning and main- 7
tained run-on control system and runoff management system, or (3) liner with functioning leach-
ate collection and removal system immediately above liner.
(d) All items in (c) present ...................................................................................................................... 5
(e) All items in (c) present, plus no bulk or non-containerized liquids nor materials containing free 3
liquids deposited in source area..
No evidence of hazardous substance migration from source area, double liner with functioning leachate col-
lection and removal system above and between liners, and:
(f) Only one of the following deficiencies present in containment: (1) bulk or noncontainerized liq- 3
uids or materials containing free liquids deposited in source area, or (2) no or nonfunctioning or
nonmaintained run-on control system and runoff management system, or (3) no or nonmaintained
engineered cover.
(g) None of the deficiencies in (f) present. ............................................................................................ 0
Source area inside or under maintained intact structure that provides protection from precipitation so that
neither runoff nor leachate is generated, liquids or materials containing free liquids not deposited in source
area, and functioning and maintained run-on control present.
Surface Impoundment
Evidence of hazardous substance migration from surface impoundment .................................................... 10
Free liquids present with either no diking, unsound diking, or diking that is not regularly inspected and 10
maintained.
No evidence of hazardous substance migration from surface impoundment, free liquids present, sound
diking that is regularly inspected and maintained, adequate freeboard, and:
(a) No liner ............................................................................................................................................. 9
(b) Liner .................................................................................................................................................. 7
(c) Liner with functioning leachate collection and removal system below liner ..................................... 5
(d) Double liner with functioning leachate collection and removal system between liners ................... 3
No evidence of hazardous substance migration from surface impoundment and all free liquids elimi- Evaluate using
nated at closure (either by removal of liquids or solidification of remaining wastes and waste residues). All Sources
criteria (with no
bulk or free liq-
uids depos-
ited).
Land Treatment
Evidence of hazardous substance migration from land treatment zone ...................................................... 10
No functioning and maintained run-on control and runoff management system 10
No evidence of hazardous substance migration from land treatment zone and:
(a) Functioning and maintained run-on control and runoff management system ................................. 7
(b) Functioning and maintained run-on control and runoff management system, and vegetative 5
cover established over entire land treatment area.
144
TABLE 4–2—CONTAINMENT FACTOR VALUES FOR SURFACE WATER MIGRATION PATHWAY—

Continued
(c) Land treatment area maintained in compliance with 40 CFR 264.280 ........................................... 0
Containers
All containers buried ...................................................................................................................................... Evaluate using
All Sources
criteria.
Evidence of hazardous substance migration from container area (i.e., container area includes containers 10
and any associated containment structures).
No diking (or no similar structure) surrounding container area .................................................................... 10
Diking surrounding container area unsound or not regularly inspected and maintained ............................. 10
No evidence of hazardous substance migration from container area and container area surrounded by 9
sound diking that is regularly inspected and maintained.
No evidence of hazardous substance migration from container area, container area surrounded by 9
sound diking that is regularly inspected and maintained, and:
(a) Essentially impervious base under container area with liquids collection and removal system ..... 7
(b) Containment system includes essentially impervious base, liquids collection system, sufficient 5
capacity to contain 10 percent of volume of all containers, and functioning and maintained run-on
control; and spilled or leaked hazardous substances and accumulated precipitation removed in
timely manner to prevent overflow of collection system, at least weekly inspection of containers,
hazardous substances in leaking or deteriorating containers transferred to containers in good
condition, and containers sealed except when waste is added or removed.
(c) Free liquids present, containment system has sufficient capacity to hold total volume of all con- 5
tainers and to provide adequate freeboard, and single liner under container area with functioning
leachate collection and removal system below liner.
(d) Same as (c) except: double liner under container area with functioning leachate collection and 3
removal system between liners.
Containers inside or under maintained intact structure that provides protection from precipitation so that 0
neither runoff nor leachate would be generated from any unsealed or ruptured containers, liquids or
materials containing free liquids not deposited in any container, and functioning and maintained run-
on control present.
No evidence of hazardous substance migration from container area, containers leaking, and all free liq- Evaluate using All
uids eliminated at closure (either by removal of liquids or solidification of remaining wastes and waste Sources criteria
residues). (with no bulk or
free liquids de-
posited).
Tank
Below-ground tank ................................................................................................................................................ Evaluate using All
Sources criteria
Evidence of hazardous substance migration from tank area (i.e., tank area includes tank, ancillary 10
equipment such as piping, and any associated containment structures).
No diking (or no similar structure) surrounding tank and ancillary equipment ............................................. 10
Diking surrounding tank and ancillary equipment unsound or not regularly inspected and maintained ...... 10
No evidence of hazardous substance migration from tank area and tank and ancillary equipment sur- 9
rounded by sound diking that is regularly inspected and maintained.
No evidence of hazardous substance migration from tank area, tank and ancillary equipment sur-
rounded by sound diking that is regularly inspected and maintained, and:
(a) Tank and ancillary equipment provided with secondary containment (e.g., liner under tank area, 7
vault system, double-wall) with leak detection and collection system.
(b) Tank and ancillary equipment provided with secondary containment system that detects and col- 5
lects spilled or leaked hazardous substances and accumulated precipitation and has sufficient ca-
pacity to contain 110 percent of volume of largest tank within containment area, spilled or leaked
hazardous substances and accumulated precipitation removed in a timely manner, at least week-
ly inspection of tank and secondary containment system, and all leaking or unfit-for-use tank sys-
tems promptly responded to.
(c) Containment system has sufficient capacity to hold total volume of all tanks within the tank con- 5
tainment area and to provide adequate freeboard, and single liner under tank containment area
with functioning leachate collection and removal system below liner.
(d) Same as (c) except: double liner under tank containment area with functioning leachate collec- 3
tion and removal system between liners.
Tank is above ground, and inside or under maintained intact structure that provides protection from pre- 0
cipitation so that neither runoff nor leachate would be generated from any material released from
tank, liquids or materials containing free liquids not deposited in any tank, and functioning and main-
tained run-on control present.
Rainfall. Determine the 2-year, 24-hour for at least 20 years. If such site-specific data
rainfall for the site. Use site-specific, 2-year, are not available, estimate the 2-year, 24-
24-hour rainfall data if records are available
145
hour rainfall for the site from a rainfall-fre- TABLE 4–5—RAINFALL/RUNOFF VALUES—
quency map. Do not round the rainfall value Continued
to the nearest integer.
Drainage area. Determine the drainage Soil group designation
area for the sources at the site. Include in 2-Year, 24-hour rainfall (inches)
A B C D
this drainage area both the source areas and
the area upgradient of the sources, but ex- 1.5 to less than 2.0 ................... 0 2 3 4
clude any portion of this drainage area for 2.0 to less than 2.5 ................... 1 2 3 4
which runoff is diverted from entering the 2.5 to less than 3.0 ................... 2 3 4 4
sources by storm sewers or run-on control 3.0 to less than 3.5 ................... 2 3 4 5
3.5 or greater ............................. 3 4 5 6
and/or runoff management systems. Assign a
drainage area value for the watershed from
table 4–3. TABLE 4–6—RUNOFF FACTOR VALUES
Soil group. Based on the predominant soil
group within the drainage area described Rainfall/runoff value
Drainage area
above, assign a soil group designation for the value 0 1 2 3 4 5 6
watershed from table 4–4 as follows:
• Select the predominant soil group as 1 .......................... 0 0 0 1 1 1 1
that type which comprises the largest total 2 .......................... 0 0 1 1 2 3 4
area within the applicable drainage area. 3 .......................... 0 0 1 3 7 11 15
4 .......................... 0 1 2 7 17 25 25
• If a predominant soil group cannot be de-
lineated, select that soil group in the drain-
4.1.2.1.2.1.3 Distance to surface water.
age area that yields the highest value for the
Evaluate the distance to surface water as the
runoff factor.
shortest distance, along the overland seg-
Calculation of runoff factor value. Assign a
ment, from any source with a surface water
combined rainfall/runoff value for the water-
containment factor value greater than 0 to
shed from table 4–5, based on the 2-year, 24-
either the mean high water level for tidal
hour rainfall and the soil group designation.
waters or the mean water level for other sur-
Determine the runoff factor value for the wa-
face waters. Based on this distance, assign a
tershed from table 4–6, based on the rainfall/
value from table 4–7 to the distance to sur-
runoff and drainage area values. Enter the
face water factor for the watershed. Enter
runoff factor value in table 4–1.
this value in table 4–1.
4.1.2.1.2.1.4 Calculation of factor value for
TABLE 4–3—DRAINAGE AREA VALUES potential to release by overland flow. Sum the
Assigned factor values for runoff and distance to sur-
Drainage area (acres) face water for the watershed and multiply
value
this sum by the factor value for contain-
Less than 50 ...................................................... 1 ment. Assign the resulting product as the
50 to 250 ........................................................... 2
factor value for potential to release by over-
Greater than 250 to 1,000 ................................. 3
Greater than 1,000 ............................................ 4 land flow for the watershed. Enter this value
in table 4–1.
4.1.2.1.2.2 Potential to release by flood.
TABLE 4–4—SOIL GROUP DESIGNATIONS Evaluate potential to release by flood for
each watershed as the product of two factors:
Soil group des- containment (flood) and flood frequency.
Surface soil description ignation
Evaluate potential to release by flood sepa-
Coarse-textured soils with high infiltration A rately for each source that is within the wa-
rates (for example, sands, loamy sands). tershed. Furthermore, for each source, evalu-
Medium-textured soils with moderate infil- B ate potential to release by flood separately
tration rates (for example, sandy loams, for each category of floodplain in which the
loams).
source lies. (See section 4.1.2.1.2.2.2 for the
Moderately fine-textured soils with low infil- C
tration rates (for example, silty loams, applicable floodplain categories.) Calculate
silts, sandy clay loams). the value for the potential to release by
Fine-textured soils with very low infiltration D flood factor as specified in 4.1.2.1.2.2.3.
rates (for example, clays, sandy clays, 4.1.2.1.2.2.1 Containment (flood). For each
silty clay loams, clay loams, silty clays); source within the watershed, separately
or impermeable surfaces (for example, evaluate the containment (flood) factor for
pavement).
each category of floodplain in which the
source is partially or wholly located. Assign
TABLE 4–5—RAINFALL/RUNOFF VALUES a containment (flood) factor value from
table 4–8 to each floodplain category applica-
Soil group designation ble to that source. Assign a containment
2-Year, 24-hour rainfall (inches) (flood) factor value of 0 to each floodplain
A B C D
category in which the source does not lie.
Less than 1.0 ............................. 0 0 2 3 4.1.2.1.2.2.2 Flood frequency. For each

1.0 to less than 1.5 ................... 0 1 2 3 source within the watershed, separately
146
evaluate the flood frequency factor for each (flood) and flood frequency that yield this
category of floodplain in which the source is highest value.
partially or wholly located. Assign a flood 4.1.2.1.2.3 Calculation of potential to release
frequency factor value from table 4–9 to each factor value. Sum the factor values assigned
floodplain category in which the source is lo- to the watershed for potential to release by
cated. overland flow and potential to release by
4.1.2.1.2.2.3 Calculation of factor value for flood. Assign this sum as the potential to re-
potential to release by flood. For each source lease factor value for the watershed, subject
within the watershed and for each category to a maximum value of 500. Enter this value
of floodplain in which the source is partially in table 4–1.
or wholly located, calculate a separate po- 4.1.2.1.3 Calculation of drinking water
tential to release by flood factor value. Cal- threat-likelihood of release factor category
culate this value as the product of the con- value. If an observed release is established
tainment (flood) value and the flood fre- for the watershed, assign the observed re-
quency value applicable to the source for the lease factor value of 550 as the likelihood of
floodplain category. Select the highest value release factor category value for that water-
calculated for those sources that meet the shed. Otherwise, assign the potential to re-
minimum size requirement specified in sec- lease factor value for that watershed as the
tion 4.1.2.1.2.1.1 and assign it as the value for likelihood of release factor category value
the potential to release by flood factor for for that watershed. Enter the value assigned
the watershed. However, if, for this water- in table 4–1.
shed, no source at the site meets the min- 4.1.2.2 Drinking water threat-waste charac-
imum size requirement, select the highest teristics. Evaluate the waste characteristics
value calculated for the sources at the site factor category for each watershed based on
eligible to be evaluated for this watershed two factors: toxicity/persistence and haz-
and assign it as the value for this factor. ardous waste quantity. Evaluate only those
hazardous substances that are available to
migrate from the sources at the site to sur-
TABLE 4–7—DISTANCE TO SURFACE WATER
face water in the watershed via the overland/
FACTOR VALUES flood hazardous substance migration path for
the watershed (see section 4.1.1.1). Such haz-
Assigned
Distance ardous substances include:
value
• Hazardous substances that meet the cri-
Less than 100 feet ............................................. 25 teria for an observed release to surface water
100 feet to 500 feet ........................................... 20 in the watershed.
Greater than 500 feet to 1,000 feet .................. 16 • All hazardous substances associated with
Greater than 1,000 feet to 2,500 feet ............... 9 a source that has a surface water contain-
Greater than 2,500 feet to 1.5 miles ................. 6 ment factor value greater than 0 for the wa-
Greater than 1.5 miles to 2 miles ...................... 3 tershed (see sections 2.2.2, 2.2.3, 4.1.2.1.2.1.1,
and 4.1.2.1.2.2.1).
TABLE 4–8—CONTAINMENT (FLOOD) FACTOR 4.1.2.2.1 Toxicity/persistence. For each haz-
VALUES ardous substance, assign a toxicity factor
value, a persistence factor value, and a com-
Assigned bined toxicity/persistence factor value as
Containment criteria value specified in sections 4.1.2.2.1.1 through
4.1.2.2.1.3. Select the toxicity/persistence fac-
Documentation that containment at the source 0 tor value for the watershed as specified in
is designed, constructed, operated, and
maintained to prevent a washout of haz-
section 4.1.2.2.1.3.
ardous substances by the flood being evalu- 4.1.2.2.1.1 Toxicity. Assign a toxicity factor
ated. value to each hazardous substance as speci-
Other .................................................................. 10 fied in section 2.4.1.1.
4.1.2.2.1.2 Persistence. Assign a persistence
factor value to each hazardous substance. In
TABLE 4–9—FLOOD FREQUENCY FACTOR assigning this value, evaluate persistence
VALUES based primarily on the half-life of the haz-
ardous substance in surface water and sec-
Assigned ondarily on the sorption of the hazardous
Floodplain category value
substance to sediments. The half-life in sur-
Source floods annually ...................................... 50 face water is defined for HRS purposes as the
Source in 10-year floodplain ............................. 50 time required to reduce the initial con-
Source in 100-year floodplain ........................... 25 centration in surface water by one-half as a
Source in 500-year floodplain ........................... 7 result of the combined decay processes of
None of above ................................................... 0 biodegradation, hydrolysis, photolysis, and
volatilization. Sorption to sediments is eval-
Enter this highest potential to release by uated for the HRS based on the logarithm of
flood factor value for the watershed in table the n-octanol-water partition coefficient (log
4–1, as well as the values for containment Kow) of the hazardous substance.
147
Estimate the half-life (t1/2) of a hazardous gration path for the watershed, select the
substance as follows: nearest drinking water intake as measured
from the probable point of entry. If the in-
1 water segment between the probable point
t1 2 = of entry and this selected intake includes
1/h + 1/b + 1/p + 1/v both lakes and other water bodies, use the
where: lakes portion of table 4–10 only if more
h=Hydrolysis half-life. than half the distance to this selected in-
b=Biodegradation half-life. take lies in lake(s). Otherwise, use the riv-
p=Photolysis half-life. ers, oceans, coastal tidal waters, and Great
v=Volatilization half-life. Lakes portion of table 4–10. For contami-
If one or more of these four component nated sediments with no identified source,
half-lives cannot be estimated for the haz- use the point where measurement begins
ardous substance from available data, delete (see section 4.1.1.2) rather than the prob-
that component half-life from the above able point of entry.
equation. If none of these four component –If there are no drinking water intakes but
half-lives can be estimated for the hazardous there are intakes or points of use for any
substance from available data, use the de- of the resource types listed in section
fault procedure indicated below. Estimate a 4.1.2.3.3, select the nearest such intake or
half-life for the hazardous substance for point of use. Select the portion of table 4–
lakes or for rivers, oceans, coastal tidal wa- 10 based on this intake or point of use in
ters, and Great Lakes, as appropriate. the manner specified for drinking water in-
If a half-life can be estimated for a haz-
takes.
ardous substance:
• Assign that hazardous substance a per- –If there are no drinking water intakes and
sistence factor value from the appropriate no specified resource intakes and points of
portion of table 4–10 (that is lakes; or rivers, use, but there is another type of resource
oceans, coastal tidal waters, and Great listed in section 4.1.2.3.3 (for example, the
Lakes). water is usable for drinking water purposes
• Select the appropriate portion of table 4– even though not used), select the portion
10 as follows: of table 4–10 based on the nearest point of
–If there is one or more drinking water in- this resource in the manner specified for
takes along the hazardous substance mi- drinking water intakes.
TABLE 4–10—PERSISTENCE FACTOR VALUES—HALF-LIFE

Assigned
Surface water category Substance half-life (days) value a
Rivers, oceans, coastal tidal waters, and Less than or equal to 0.2 .................................................................. 0.0007
Great Lakes Greater than 0.2 to 0.5 ..................................................................... 0.07
Greater than 0.5 to 1.5 ..................................................................... 0.4
Greater than 1.5 ................................................................................ 1
Lakes Less than or equal to 0.02 ................................................................ 0.0007

Greater than 0.02 to 2 ...................................................................... 0.07
Greater than 2 to 20 ......................................................................... 0.4
Greater than 20 ................................................................................. 1
If a half-life cannot be estimated for a haz- value in the same manner specified for using
ardous substance from available data, use table 4–10.
the following default procedure to assign a Use the persistence factor value assigned
persistence factor value to that hazardous based on half-life or the default procedure
substance: unless the hazardous substance can be as-
• For those hazardous substances that are signed a higher factor value from Table 4–11,
metals (or metalloids), assign a persistence based on its Log Kow. If a higher value can be
factor value of 1 as a default for all surface assigned from table 4–11, assign this higher
water bodies. value as the persistence factor value for the
• For other hazardous substances (both or- hazardous substance.
ganic and inorganic), assign a persistence
factor value of 0.4 as a default for rivers,
oceans, coastal tidal waters, and Great
Lakes, and a persistence factor value of 0.07

as a default for lakes. Select the appropriate
148
EC15NO91.149</MATH>
TABLE 4–11—PERSISTENCE FACTOR VALUES— factor value for the watershed to assign the
LOG Kow toxicity/persistence factor value for the
drinking water threat for the watershed.
Assigned Enter this value in table 4–1.
Log Kow value a
4.1.2.2.2 Hazardous waste quantity. Assign a
Less than 3.5 ......................................................... 0.0007 hazardous waste quantity factor value for
3.5 to less than 4.0 ................................................ 0.07 the watershed as specified in section 2.4.2.
4.0 to 4.5 ............................................................... 0.4 Enter this value in table 4–1.
Greater than 4.5 .................................................... 1
4.1.2.2.3 Calculation of drinking water
a Use for lakes, rivers, oceans, coastal tidal waters, and
threat-waste characteristics factor category
Great Lakes. Do not round to nearest integer. value. Multiply the toxicity/persistence and
4.1.2.2.1.3 Calculation of toxicity/persistence hazardous waste quantity factor values for
factor value. Assign each hazardous substance the watershed, subject to a maximum prod-
a toxicity/persistence factor value from table uct of 1×108. Based on this product, assign a
4–12, based on the values assigned to the haz- value from table 2–7 (section 2.4.3.1) to the
ardous substance for the toxicity and per- drinking water threat-waste characteristics
sistence factors. Use the hazardous sub- factor category for the watershed. Enter this
stance with the highest toxicity/persistence value in table 4–1.
TABLE 4–12—TOXICITY/PERSISTENCE FACTOR VALUES A

Persistence factor value
10,000 1,000 100 10 1 0
1.0 ................................................................................................... 10,000 1,000 100 10 1 0

0.4 ................................................................................................... 4,000 400 40 4 0.4 0
0.07 ................................................................................................. 700 70 7 0.7 0.07 0
0.0007 ............................................................................................. 7 0.7 0.07 0.007 0.0007 0
4.1.2.3 Drinking water threat-targets. Evalu- marks from table 3–10 (section 3.3.1) in deter-
ate the targets factor category for each wa- mining the level of contamination from sam-
tershed based on three factors: nearest in- ples. For contaminated sediments with no
take, population, and resources. identified source, evaluate the actual con-
To evaluate the nearest intake and popu- tamination using Level II concentrations
lation factors, determine whether the target (see section 4.1.1.2).
surface water intakes are subject to actual 4.1.2.3.1 Nearest intake. Evaluate the near-
or potential contamination as specified in est intake factor based on the drinking
section 4.1.1.2. Use either an observed release water intakes along the overland/flood haz-
based on direct observation at the intake or ardous substance migration path for the wa-
the exposure concentrations from samples tershed. Include standby intakes in evalu-
(or comparable samples) taken at or beyond ating this factor only if they are used for
the intake to make this determination (see supply at least once a year.
section 4.1.2.1.1). The exposure concentra-
Assign the nearest intake factor a value as
tions for a sample (that is, surface water,
follows and enter the value in table 4–1:
benthic, or sediment sample) consist of the
concentrations of those hazardous sub- • If one or more of these drinking water in-
stances present that are significantly above takes is subject to Level I concentrations as
background levels and attributable at least specified in section 4.1.2.3, assign a factor
in part to the site (that is, those hazardous value of 50.
substance concentrations that meet the cri- • If not, but if one or more of these drink-
teria for an observed release). ing water intakes is subject to Level II con-
When an intake is subject to actual concentrations, assign a factor value of 45.
tamination, evaluate it using Level I con- • If none of these drinking water intakes is
centrations or Level II concentrations. If the subject to Level I or Level II concentrations,
actual contamination is based on an ob- determine the nearest of these drinking
served release by direct observation, use water intakes, as measured from the prob-
Level II concentrations for that intake. How- able point of entry (or from the point where
ever, if the actual contamination is based on measurement begins for contaminated sedi-
an observed release from samples, determine ments with no identified source). Assign a di-
which level applies for the intake by com- lution weight from table 4–13 to this intake,
paring the exposure concentrations from based on the type of surface water body in
samples (or comparable samples) to health- which it is located. Multiply this dilution
based benchmarks as specified in sections weight by 20, round the product to the near-
2.5.1 and 2.5.2. Use the health-based bench- est integer, and assign it as the factor value.
149
Assign the dilution weight from table 4–13
as follows:
TABLE 4–13—SURFACE WATER DILUTION WEIGHTS

Type of surface water body a Assigned di-
lution
Descriptor Flow characteristics weight b
Minimal stream ............................................................ Less than 10 cfs c ............................................................... 1

Small to moderate stream ........................................... 10 to 100 cfs ....................................................................... 0.1
Moderate to large stream ............................................ Greater than 100 to 1,000 cfs ............................................ 0.01
Large stream to river ................................................... Greater than 1,000 to 10,000 cfs ....................................... 0.001
Large river .................................................................... Greater than 10,000 to 100,000 cfs ................................... 0.0001
Very large river ............................................................ Greater than 100,000 cfs .................................................... 0.00001
Coastal tidal waters d ................................................... Flow not applicable, depth not applicable .......................... 0.0001
Shallow ocean zone e or Great Lake ........................... Flow not applicable, depth less than 20 feet ..................... 0.0001
Moderate depth ocean zone e or Great Lake .............. Flow not applicable, depth 20 to 200 feet .......................... 0.00001
Deep ocean zone e or Great Lake ............................... Flow not applicable, depth greater than 200 feet ............... 0.000005
3-mile mixing zone in quiet flowing river ..................... 10 cfs or greater ................................................................. 0.5
a Treat each lake as a separate type of water body and assign a dilution weight as specified in text.
b Do not round to nearest integer.
c cfs= cubic feet per second.
d Embayments, harbors, sounds, estuaries, back bays, lagoons, wetlands, etc., seaward from mouths of rivers and landward
from baseline of Territorial Sea.
e Seaward from baseline of Territorial Sea. This baseline represents the generalized U.S. coastline. It is parallel to the seaward
limit of the Territorial Sea and other maritime limits such as the inner boundary of the Federal fisheries jurisdiction and the limit
of States jurisdiction under the Submerged Lands Act, as amended.
• For a river (that is, surface water body zone of mixing in assigning the dilution
types specified in table 4–13 as minimal weight:
stream through very large river), assign a di- –Start the zone of mixing at the probable
lution weight based on the average annual point of entry and extend it for 3 miles
flow in the river at the intake. If available, from the probable point of entry, except: if
use the average annual discharge as defined the surface water characteristics change to
in the U.S. Geological Survey Water Re- turbulent within this 3-mile distance, ex-
sources Data Annual Report. Otherwise, esti- tend the zone of mixing only to the point
mate the average annual flow. at which the change occurs.
• For a lake, assign a dilution weight as –Assign a dilution weight of 0.5 to any in-
follows: take that lies within this zone of mixing.
–For a lake that has surface water flow en- –Beyond this zone of mixing, assign a dilu-
tering the lake, assign a dilution weight tion weight the same as for any other river
based on the sum of the average annual (that is, assign the dilution weight based
flows for the surface water bodies entering on average annual flow).
the lake up to the point of the intake. –Treat a quiet-flowing river with an aver-
–For a lake that has no surface water flow age annual flow of less than 10 cfs the same
entering, but that does have surface water as any other river (that is, assign it a dilu-
flow leaving, assign a dilution weight tion weight of 1).
based on the sum of the average annual In those cases where water flows from a sur-
flows for the surface water bodies leaving face water body with a lower assigned dilu-
the lake. tion weight (from table 4–13) to a surface
–For a closed lake (that is, a lake without water body with a higher assigned dilution
surface water flow entering or leaving), as- weight (that is, water flows from a surface
sign a dilution weight based on the average water body with more dilution to one with
annual ground water flow into the lake, if less dilution), use the lower assigned dilution
available, using the dilution weight for the weight as the dilution weight for the latter
corresponding river flow rate in table 4–13. surface water body.
If not available, assign a default dilution 4.1.2.3.2 Population. In evaluating the pop-
weight of 1. ulation factor, include only persons served
• For the ocean and the Great Lakes, as- by drinking water drawn from intakes that
sign a dilution weight based on depth. are along the overland/flood hazardous sub-
• For coastal tidal waters, assign a dilu- stance migration path for the watershed and
tion weight of 0.0001; do not consider depth that are within the target distance limit
or flow. specified in section 4.1.1.2. Include residents,
• For a quiet-flowing river that has aver- students, and workers who regularly use the
age annual flow of 10 cubic feet per second water. Exclude transient populations such as
(cfs) or greater and that contains the prob- customers and travelers passing through the
able point of entry to surface water, apply a area. When a standby intake is maintained
150
on a regular basis so that water can be with- the other intake(s) and well(s) in the blended
drawn, include it in evaluating the popu- system. Use the apportioning that results in
lation factor. the highest population factor value. (Either
In estimating residential population, when include all standby intake(s) or exclude some
the estimate is based on the number of resi- or all of the standby intake(s) as appropriate
dences, multiply each residence by the aver- to obtain this highest value.) Note that the
age number of persons per residence for the specific standby intake(s) included or ex-
county in which the residence is located. cluded and, thus, the specific apportioning
In estimating the population served by an may vary in evaluating different watersheds
intake, if the water from the intake is blend- and in evaluating the ground water pathway.
ed with other water (for example, water from 4.1.2.3.2.1 Level of contamination. Evaluate
other surface water intakes or ground water the population factor based on three factors:
wells), apportion the total population regu- Level I concentrations, Level II concentra-
larly served by the blended system to the in- tions, and potential contamination. Deter-
take based on the intake’s relative contribu- mine which factor applies for an intake as
tion to the total blended system. In esti-
specified in section 4.1.2.3. Evaluate intakes
mating the intake’s relative contribution,
subject to Level I concentration as specified
assume each well or intake contributes
in section 4.1.2.3.2.2, intakes subject to Level
equally and apportion the population accord-
II concentration as specified in section
ingly, except: if the relative contribution of
4.1.2.3.2.3, and intakes subject to potential
any one intake or well exceeds 40 percent
contamination as specified in section
based on average annual pumpage or capac-
4.1.2.3.2.4.
ity, estimate the relative contribution of the
wells and intakes considering the following For the potential contamination factor,
data, if available: use population ranges in evaluating the fac-
• Average annual pumpage from the tor as specified in section 4.1.2.3.2.4. For the
ground water wells and surface water in- Level I and Level II concentrations factors,
takes in the blended system. use the population estimate, not population
• Capacities of the wells and intakes in the ranges, in evaluating both factors.
blended system. 4.1.2.3.2.2 Level I concentrations. Sum the
For systems with standby surface water in- number of people served by drinking water
takes or standby ground water wells, appor- from intakes subject to Level I concentra-
tion the total population regularly served by tions. Multiply this sum by 10. Assign this
the blended system as described above, ex- product as the value for this factor. Enter
cept: this value in table 4–1.
• Exclude standby ground water wells in 4.1.2.3.2.3 Level II concentrations. Sum the
apportioning the population. number of people served by drinking water
• When using pumpage data for a standby from intakes subject to Level II concentra-
surface water intake, use average pumpage tions. Do not include people already counted
for the period during which the standby in- under the Level I concentrations factor. As-
take is used rather than average annual sign this sum as the value for this factor.
pumpage. Enter this value in table 4–1.
• For that portion of the total population 4.1.2.3.2.4 Potential contamination. For each
that could be apportioned to a standby sur- applicable type of surface water body in
face water intake, assign that portion of the table 4–14, first determine the number of peo-
population either to that standby intake or ple served by drinking water from intakes
to the other surface water intake(s) and subject to potential contamination in that
ground water well(s) that serve that popu- type of surface water body. Do not include
lation; do not assign that portion of the pop- those people already counted under the Level
ulation both to the standby intake and to I and Level II concentrations factors.
151
VerDate Aug<31>2005
TABLE 4–14—DILUTION-WEIGHTED POPULATION VALUES FOR POTENTIAL CONTAMINATION FACTOR FOR SURFACE WATER MIGRATION PATHWAY A
Number of people
11:11 Aug 12, 2008

Type of surface water 10,001 30,001 100,001 300,001 1,000,001 3,000,001
body b 31 to 101 to 301 to 1,001 to 3,001 to
0 1 to 10 11 to 30 to to to to to to
100 300 1,000 3,000 10,000 30,000 100,000 300,000 1,000,000 3,000,000 10,000,000
Minimal stream (<10 cfs) ... 0 4 17 53 164 522 1,633 5,214 16,325 52,137 163,246 521,360 1,632,455 5,213,590
Jkt 214168
Pt. 300, App. A
Small to moderate stream

(10 to 100 cfs) ................ 0 0.4 2 5 16 52 163 521 1,633 5,214 16,325 52,136 163,245 521,359
Moderate to large stream
(>100 to 1,000 cfs) ......... 0 0.04 0.2 0.5 2 5 16 52 163 521 1,633 5,214 16,325 52,136
Large stream to river
PO 00000
(>1,000 to 10,000 cfs) .... 0 0.004 0.02 0.05 0.2 0.5 2 5 16 52 163 521 1,632 5,214
Large river (>10,000 to
100,000 cfs) ................... 0 0 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52 163 521
Very large river (>100,000
cfs) ................................. 0 0 0 0.001 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52
Frm 00162
Shallow ocean zone or
Great Lake (depth <20
feet) ................................ 0 0 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52 163 521
Moderate ocean zone or
Great Lake (depth 20 to
Fmt 8010
200 feet) ......................... 0 0 0 0.001 0.002 0.005 0.02 0.05 0.2 0.5 2 5 16 52
152
Deep ocean zone or Great
Lakes (depth >200 feet) 0 0 0 0 0.001 0.003 0.008 0.03 0.08 0.3 1 3 8 26
3-mile mixing zone in quiet
flowing river (≥10 cfs) ..... 0 2 9 26 82 261 817 2,607 8,163 26,068 81,623 260,680 816,227 2,606,795
Sfmt 8002
a Round the number of people to nearest integer. Do not round the assigned dilution-weighted population value to nearest integer.
b Treat each lake as a separate type of water body and assign it a dilution-weighted population value using the surface water body type with the same dilution-weighted from table 4–13 as
the lake. If drinking water is withdrawn from coastal tidal water or the ocean, assign a dilution-weighted population value to it using the surface water body type with the same dilution weight
from table 4–13 as the coastal tidal water or the ocean zone.
Y:\SGML\214168.XXX
214168
40 CFR Ch. I (7–1–08 Edition)
For each type of surface water body, assign factor values for the watershed. Do not
a dilution-weighted population value from round this sum to the nearest integer. Assign
table 4–14, based on the number of people in- this sum as the drinking water threat-tar-
cluded for that type of surface water body. gets factor category value for the watershed.
(Note that the dilution-weighted population Enter this value in table 4–1.
values in table 4–14 incorporate the dilution 4.1.2.4 Calculation of the drinking water
weights from table 4–13. Do not multiply the threat score for a watershed. Multiply the
values from table 4–14 by these dilution drinking water threat factor category values
weights.) for likelihood of release, waste char-
Calculate the value for the potential con- acteristics, and targets for the watershed,
tamination factor (PC) for the watershed as
and round the product to the nearest integer.
follows:
Then divide by 82,500. Assign the resulting
value, subject to a maximum of 100, as the
1 n
PC = ∑ (Wi )
10 i =1
drinking water threat score for the water-
shed. Enter this value in table 4–1.
4.1.3 Human food chain threat. Evaluate
where: the human food chain threat for each water-
Wi=Dilution-weighted population from table shed based on three factor categories: likeli-
4–14 for surface water body type i. hood of release, waste characteristics, and
n=Number of different surface water body targets.
types in the watershed. 4.1.3.1 Human food chain threat-likelihood
If PC is less than 1, do not round it to the of release. Assign the same likelihood of re-
nearest integer; if PC is 1 or more, round to lease factor category value for the human
the nearest integer. Enter this value for the food chain threat for the watershed as would
potential contamination factor in table 4–1. be assigned in section 4.1.2.1.3 for the drink-
4.1.2.3.2.5 Calculation of population factor ing water threat. Enter this value in table 4–
value. Sum the factor values for Level I con- 1.
centrations, Level II concentrations, and po- 4.1.3.2 Human food chain threat-waste char-
tential contamination. Do not round this acteristics. Evaluate the waste characteristics
sum to the nearest integer. Assign this sum factor category for each watershed based on
as the population factor value for the water- two factors: toxicity/persistence/bioaccumu-
shed. Enter this value in table 4–1. lation and hazardous waste quantity.
4.1.2.3.3 Resources. To evaluate the re- 4.1.3.2.1 Toxicity/persistence/bioaccumula-
sources factor for the watershed, select the tion. Evaluate all those hazardous substances
highest value below that applies to the wa- eligible to be evaluated for toxicity/persist-
tershed. Assign this value as the resources ence in the drinking water threat for the wa-
factor value for the watershed. Enter this tershed (see section 4.1.2.2).
value in table 4–1.
4.1.3.2.1.1 Toxicity. Assign a toxicity factor
Assign a value of 5 if, within the in-water
value to each hazardous substance as speci-
segment of the hazardous substance migra-
fied in section 2.4.1.1.
tion path for the watershed, the surface
water is used for one or more of the fol- 4.1.3.2.1.2 Persistence. Assign a persistence
lowing purposes: factor value to each hazardous substance as
• Irrigation (5 acre minimum) of commer- specified for the drinking water threat (see
cial food crops or commercial forage crops. section 4.1.2.2.1.2), except: use the predomi-
• Watering of commercial livestock. nant water category (that is, lakes; or rivers,
• Ingredient in commercial food prepara- oceans, coastal tidal waters, or Great Lakes)
tion. between the probable point of entry and the
• Major or designated water recreation nearest fishery (not the nearest drinking
area, excluding drinking water use. water or resources intake) along the haz-
Assign a value of 5 if, within the in-water ardous substance migration path for the wa-
segment of the hazardous substance migra- tershed to determine which portion of table
tion path for the watershed, the surface 4–10 to use. Determine the predominant
water is not used for drinking water, but ei- water category based on distance as specified
ther of the following applies: in section 4.1.2.2.1.2. For contaminated sedi-
• Any portion of the surface water is des- ments with no identified source, use the
ignated by a State for drinking water use point where measurement begins rather than
under section 305(a) of the Clean Water Act, the probable point of entry.
as amended. 4.1.3.2.1.3 Bioaccumulation potential. Use
• Any portion of the surface water is usa- the following data hierarchy to assign a bio-
ble for drinking water purposes. accumulation potential factor value to each
Assign a value of 0 if none of the above ap- hazardous substance:
plies. • Bioconcentration factor (BCF) data.
4.1.2.3.4 Calculation of drinking water • Logarithm of the n-octanol-water parti-
threat-targets factor category value. Sum the tion coefficient (log Kow) data.
nearest intake, population, and resources • Water solubility data.
153
EC15NO91.150</MATH>
Assign a bioaccumulation potential factor stance as follows (for inorganic hazardous
value to each hazardous substance from substances, skip this step and proceed to the
table 4–15. next):
If BCF data are available for any aquatic
human food chain organism for the sub- Assigned
Log Kow value
stance being evaluated, assign the bio-
accumulation potential factor value to the 5.5 to 6.0 ............................................................... 50,000
hazardous substance as follows: 4.5 to less than 5.5 ................................................ 5,000
• If BCF data are available for both fresh 3.2 to less than 4.5 ................................................ 500
water and salt water for the hazardous sub- 2.0 to less than 3.2 ................................................ 50
stance, use the BCF data that correspond to 0.8 to less than 2.0 ................................................ 5
Less than 0.8 ......................................................... 0.5
the type of water body (that is, fresh water
or salt water) in which the fisheries are lo- If BCF data are not available, and if either
cated to assign the bioaccumulation poten- Log Kow data are not available, a log Kow is
tial factor value to the hazardous substance. available but exceeds 6.0, or the substance is
• If, however, some of the fisheries being an inorganic substance, assign a value as fol-
evaluated are in fresh water and some are in lows:
salt water, or if any are in brackish water, TABLE 4–15—BIOACCUMULATION POTENTIAL
use the BCF data that yield the higher factor FACTOR VALUES A—CONCLUDED
value to assign the bioaccumulation poten-
tial factor value to the hazardous substance. Assigned
Water solubility (mg/l)
• If BCF data are available for either fresh value
water or salt water, but not for both, use the
Less than 25 .......................................................... 50,000
available BCF data to assign the bioaccumu-
25 to 500 ............................................................... 5,000
lation potential factor value to the haz- Greater than 500 to 1,500 ..................................... 500
ardous substance. Greater than 1,500 ................................................ 0.5
If BCF data are not available for the haz-
ardous substance, use log Kow data to assign If none of these data are available, assign a value of 0.5.
a bioaccumulation potential factor value to a Do not round to nearest integer.
organic substances, but not to inorganic sub- b See text for use of freshwater and saltwater BCF data.
stances. If BCF data are not available, and if
either log Kow data are not available, the log Do not distinguish between fresh water and
Kow is available but exceeds 6.0, or the sub- salt water in assigning the bioaccumulation
stance is an inorganic substance, use water potential factor value based on log Kow or
solubility data to assign a bioaccumulation water solubility data.
potential factor value. If none of these data are available, assign
TABLE 4–15—BIOACCUMULATION POTENTIAL the hazardous substance a bioaccumulation
FACTOR VALUES A potential factor value of 0.5.
If bioconcentration factor (BCF) data are available for any 4.1.3.2.1.4 Calculation of toxicity/persistence/
aquatic human food chain organism, assign a value as fol- bioaccumulation factor value. Assign each haz-
lows: b ardous substance a toxicity/persistence fac-
tor value from table 4–12, based on the values
Assigned
BCF assigned to the hazardous substance for the
value
toxicity and persistence factors. Then assign
Greater than or equal to 10,000 ............................ 50,000 each hazardous substance a toxicity/persist-
1,000 to less than 10,000 ...................................... 5,000 ence/bioaccumulation factor value from
100 to less than 1,000 ........................................... 500 table 4–16, based on the values assigned for
10 to less than 100 ................................................ 50
1 to less than 10 .................................................... 5
the toxicity/persistence and bioaccumulation
Less than 1 ............................................................ 0.5 potential factors. Use the hazardous sub-
stance with the highest toxicity/persistence/
If BCF data are not available, and log Kow bioaccumulation factor value for the water-
data are available and do not exceed 6.0, as- shed to assign the value to this factor. Enter
sign a value to an organic hazardous sub- this value in table 4–1.
TABLE 4–16—TOXICITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A

Bioaccumulation potential factor value
Toxicity persistence factor value
50,000 5,000 500 50 5 0.5
10,000 ........................................................................... 5×108 5×107 5×106 5×105 5×104 5,000

4,000 ............................................................................. 2×108 2×107 2×106 2×105 2×104 2,000
1,000 ............................................................................. 5×107 5×106 5×105 5×104 5,000 500
700 ................................................................................ 3.5×107 3.5×106 3.5×105 3.5×104 3,500 350
400 ................................................................................ 2×107 2×106 2×105 2×104 2,000 200
100 ................................................................................ 5×106 5×105 5×104 5,000 500 50

70 .................................................................................. 3.5×106 3.5×105 3.5×104 3,500 350 35
40 .................................................................................. 2×106 2×105 2×104 2,000 200 20
154
TABLE 4–16—TOXICITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A—Continued

Bioaccumulation potential factor value
Toxicity persistence factor value
50,000 5,000 500 50 5 0.5
10 .................................................................................. 5×105 5×104 5,000 500 50 5

7 .................................................................................... 3.5×105 3.5×104 3,500 350 35 3.5
4 .................................................................................... 2×105 2×104 2,000 200 20 2
1 .................................................................................... 5×104 5,000 500 50 5 0.5
0.7 ................................................................................. 3.5×104 3,500 350 35 3.5 0.35
0.4 ................................................................................. 2×104 2,000 200 20 2 0.2
0.07 ............................................................................... 3,500 350 35 3.5 0.35 0.035
0.007 ............................................................................. 350 35 3.5 0.35 0.035 0.0035
0.0007 ........................................................................... 35 3.5 0.35 0.035 0.0035 0.00035
0 .................................................................................... 0 0 0 0 0 0
4.1.3.2.2 Hazardous waste quantity. Assign • The fishery is closed, and a hazardous
the same factor value for hazardous waste substance for which the fishery has been
quantity for the watershed as would be as- closed has been documented in an observed
signed in section 4.1.2.2.2 for the drinking release to the watershed from the site, and
water threat. Enter this value in table 4–1. at least a portion of the fishery is within the
4.1.3.2.3 Calculation of human food chain boundaries of the observed release.
threat-waste characteristics factor category • A hazardous substance is present in a tis-
value. For the hazardous substance selected sue sample from an essentially sessile,
for the watershed in section 4.1.3.2.1.4, use its benthic, human food chain organism from
toxicity/persistence factor value and bio- the watershed at a level that meets the cri-
accumulation potential factor value as fol- teria for an observed release to the water-
lows to assign a value to the waste charac- shed from the site, and at least a portion of
teristics factor category. First, multiply the the fishery is within the boundaries of the
toxicity/persistence factor value and the haz- observed release.
ardous waste quantity factor value for the
watershed, subject to a maximum product of For a fishery that meets any of these three
1×108. Then multiply this product by the bio- criteria, but that is not wholly within the
accumulation potential factor value for this boundaries of the observed release, consider
hazardous substance, subject to a maximum only the portion of the fishery that is within
product of 1×1012. Based on this second prod- the boundaries of the observed release to be
uct, assign a value from Table 2–7 (section subject to actual human food chain contami-
2.4.3.1) to the human food chain threat-waste nation. Consider the remainder of the fishery
characteristics factor category for the wa- within the target distance limit to be subject
tershed. Enter this value in table 4–1. to potential food chain contamination.
4.1.3.3 Human food chain threat-targets. In addition, consider all other fisheries
Evaluate two target factors for each water- that are partially or wholly within the tar-
shed: food chain individual and population. get distance limit for the watershed, includ-
For both factors, determine whether the tar- ing fisheries partially or wholly within the
get fisheries are subject to actual or poten- boundaries of an observed release for the wa-
tial human food chain contamination. tershed that do not meet any of the three
Consider a fishery (or portion of a fishery) criteria listed above, to be subject to poten-
within the target distance limit of the wa- tial human food chain contamination. If only
tershed to be subject to actual human food a portion of the fishery is within the target
chain contamination if any of the following distance limit for the watershed, include
apply: only that portion in evaluating the targets
• A hazardous substance having a bio- factor category.
accumulation potential factor value of 500 or When a fishery (or portion of a fishery) is
greater is present either in an observed re- subject to actual food chain contamination,
lease by direct observation to the watershed determine the part of the fishery subject to
or in a surface water or sediment sample Level I concentrations and the part subject
from the watershed at a level that meets the to Level II concentrations. If the actual food
criteria for an observed release to the water- chain contamination is based on direct ob-
shed from the site, and at least a portion of servation, evaluate it using Level II con-
the fishery is within the boundaries of the centrations. However, if the actual food
observed release (that is, it is located either chain contamination is based on samples
at the point of direct observation or at or be- from the watershed, use these samples and, if
tween the probable point of entry and the available, additional tissue samples from
most distant sampling point establishing the aquatic human food chain organisms as spec-
observed release). ified below, to determine the part subject to
155
Level I concentrations and the part subject • If any fishery (or portion of a fishery) is
to Level II concentrations: subject to Level I concentrations, assign a
• Determine the level of actual contamina- value of 50.
tion from samples (including tissue samples • If not, but if any fishery (or portion of a
from essentially sessile, benthic organisms) fishery) is subject to Level II concentrations,
that meet the criteria for actual food chain assign a value of 45.
contamination by comparing the exposure • If not, but if there is an observed release
concentrations (see section 4.1.2.3) from of a hazardous substance having a bio-
these samples (or comparable samples) to accumulation potential factor value of 500 or
the health-based benchmarks from table 4– greater to surface water in the watershed
17, as described in section 2.5.1 and 2.5.2. Use and there is a fishery (or portion of a fishery)
only the exposure concentrations for those present anywhere within the target distance
hazardous substances in the sample (or com- limit, assign a value of 20.
parable samples) that meet the criteria for • If there is no observed release to surface
actual contamination of the fishery. water in the watershed or there is no ob-
• In addition, determine the level of actual served release of a hazardous substance hav-
contamination from other tissue samples by ing a bioaccumulation potential factor value
comparing the concentrations of hazardous of 500 or greater, but there is a fishery (or
substances in the tissue samples (or com- portion of a fishery) present anywhere with-
in the target distance limit, assign a value
parable tissue samples) to the health-based
as follows:
benchmarks from table 4–17, as described in
sections 2.5.1 and 2.5.2. Use only those addi- –Using table 4–13, determine the highest di-
tional tissue samples and only those haz- lution weight (that is, lowest amount of di-
ardous substances in the tissue samples that lution) applicable to the fisheries (or por-
meet all the following criteria: tions of fisheries) within the target dis-
–The tissue sample is from a location that tance limit. Multiply this dilution weight
is within the boundaries of the actual food by 20 and round to the nearest integer.
chain contamination for the site (that is, –Assign this calculated value as the factor
either at the point of direct observation or value.
• If there are no fisheries (or portions of
at or between the probable point of entry
fisheries) within the target distance limit of
and the most distant sample point meeting
the watershed, assign a value of 0.
the criteria for actual food chain contami-
nation). Enter the value assigned in table 4–1.
–The tissue sample is from a species of 4.1.3.3.2 Population. Evaluate the popu-
aquatic human food chain organism that lation factor for the watershed based on
spends extended periods of time within the three factors: Level I concentrations, Level
boundaries of the actual food chain con- II concentrations, and potential human food
tamination for the site and that is not an chain contamination. Determine which fac-
essentially sessile, benthic organism. tor applies for a fishery (or portion of a fish-
ery) as specified in section 4.1.3.3.
–The hazardous substance is a substance
4.1.3.3.2.1 Level I concentrations. Determine
that is also present in a surface water,
those fisheries (or portions of fisheries) with-
benthic, or sediment sample from within
in the watershed that are subject to Level I
the target distance limit for the watershed concentrations.
and, for such a sample, meets the criteria Estimate the human food chain population
for actual food chain contamination. value for each fishery (or portion of a fish-
ery) as follows:
TABLE 4–17—HEALTH-BASED BENCHMARKS FOR
• Estimate human food chain production
HAZARDOUS SUBSTANCES IN HUMAN FOOD
for the fishery based on the estimated an-
CHAIN
nual production (in pounds) of human food
• Concentration corresponding to Food and chain organisms (for example, fish, shellfish)
Drug Administration Action Level (FDAAL) for that fishery, except: if the fishery is
for fish or shellfish. closed and a hazardous substance for which
• Screening concentration for cancer cor- the fishery has been closed has been docu-
responding to that concentration that cor- mented in an observed release to the fishery
responds to the 10¥6 individual cancer risk from a source at the site, use the estimated
for oral exposures. annual production for the period prior to clo-
• Screening concentration for noncancer sure of the fishery or use the estimated an-
toxicological responses corresponding to the nual production from comparable fisheries
Reference Dose (RfD) for oral exposures. that are not closed.
• Assign the fishery a value for human
4.1.3.3.1 Food chain individual. Evaluate food chain population from table 4–18, based
the food chain individual factor based on the on the estimated human food production for
fisheries (or portions of fisheries) within the the fishery.
target distance limit for the watershed. As- • Set boundaries between fisheries at those
sign this factor a value as follows: points where human food chain production
156
changes or where the surface water dilution Pi=Human food chain population value for
weight changes. fishery i.
Sum the human food chain population Di=Dilution weight from table 4–13 for fish-
value for each fishery (and portion of a fishery i.
ery). Multiply this sum by 10. If the product n=Number of fisheries subject to potential
is less than 1, do not round it to the nearest human food chain contamination.
integer; if 1 or more, round to the nearest in- In calculating PF:
teger. Assign the resulting value as the • Estimate the human food chain popu-
Level I concentrations factor value. Enter lation value (Pi) for a fishery (or portion of
this value in table 4–1. a fishery) as specified in section 4.1.3.3.2.1.
4.1.3.3.2.2 Level II concentrations. Deter- • Assign the fishery (or portion of a fish-
mine those fisheries (or portions of fisheries) ery) a dilution weight as indicated in table 4–
within the watershed that are subject to 13 (section 4.1.2.3.1), except: do not assign a
Level II concentrations. Do not include any dilution weight of 0.5 for a ‘‘3-mile mixing
fisheries (or portions of fisheries) already zone in quiet flowing river’’; instead assign a
counted under the Level I concentrations dilution weight based on the average annual
factor. flow.
Assign each fishery (or portion of a fish- If PF is less than 1, do not round it to the
ery) a value for human food chain population nearest integer; if PF is 1 or more, round to
from table 4–18, based on the estimated the nearest integer. Enter the value assigned
human food production for the fishery. Esti- in table 4–1.
mate the human food chain production for
4.1.3.3.2.4 Calculation of population factor
the fishery as specified in section 4.1.3.3.2.1.
value. Sum the values for the Level I con-
Sum the human food chain population centrations, Level II concentrations, and po-
value for each fishery (and portion of a fish- tential human food chain contamination fac-
ery). If this sum is less than 1, do not round tors for the watershed. Do not round this
it to the nearest integer; if 1 or more, round sum to the nearest integer. Assign it as the
to the nearest integer. Assign the resulting population factor value for the watershed.
value as the Level II concentrations factor Enter this value in table 4–1.
value. Enter this value in table 4–1.
threat-targets factor category value. Sum the
TABLE 4–18—HUMAN FOOD CHAIN POPULATION food chain individual and population factor
VALUES A values for the watershed. Do not round this
sum to the nearest integer. Assign it as the
Assigned
Human food chain production (pounds per human food human food chain threat-targets factor cat-
year) chain popu- egory value for the watershed. Enter this
lation value value in table 4–1.
0 ......................................................................... 0 4.1.3.4 Calculation of human food chain
Greater than 0 to 100 ........................................ 0.03 threat score for a watershed. Multiply the
Greater than 100 to 1,000 ................................. 0.3 human food chain threat factor category val-
Greater than 1,000 to 10,000 ............................ 3 ues for likelihood of release, waste charac-
Greater than 10,000 to 100,000 ........................ 31 teristics, and targets for the watershed, and
Greater than 100,000 to 1,000,000 ................... 310 round the product to the nearest integer.
Greater than 106 to 107 ..................................... 3,100 Then divide by 82,500. Assign the resulting
Greater than 107 to 108 ..................................... 31,000 value, subject to a maximum of 100, as the
Greater than 108 to 109 ..................................... 310,000 human food chain threat score for the water-
Greater than 109 ................................................ 3,100,000 shed. Enter this score in table 4–1.
a Do not round to nearest integer. 4.1.4 Environmental threat. Evaluate the
environmental threat for the watershed
4.1.3.3.2.3 Potential human food chain con-
based on three factor categories: likelihood
tamination. Determine those fisheries (or por-
of release, waste characteristics, and targets.
tions of fisheries) within the watershed that
are subject to potential human food chain 4.1.4.1 Environmental threat-likelihood of re-
contamination. Do not include those fish- lease. Assign the same likelihood of release
eries (or portion of fisheries) already counted factor category value for the environmental
under the Level I or Level II concentrations threat for the watershed as would be as-
factors. signed in section 4.1.2.1.3 for the drinking
water threat. Enter this value in table 4–1.
Calculate the value for the potential
human food chain contamination factor (PF) 4.1.4.2 Environmental threat-waste charac-
for the watershed as follows: teristics. Evaluate the waste characteristics
factor category for each watershed based on
two factors: ecosystem toxicity/persistence/
1 n
PF = ∑ Pi D i bioaccumulation and hazardous waste quan-
tity.
10 i =1 4.1.4.2.1 Ecosystem toxicity/persistence/bio-

where: accumulation. Evaluate all those hazardous
157
EC15NO91.151</MATH>
substances eligible to be evaluated for tox- TABLE 4–19—ECOSYSTEM TOXICITY FACTOR
icity/persistence in the drinking water VALUES
threat for the watershed (see section 4.1.2.2). If an EPA chronic AWQC a or AALAC b is available, assign a
4.1.4.2.1.1 Ecosystem toxicity. Assign an eco- value as follows: c
system toxicity factor value from Table 4–19
to each hazardous substance on the basis of EPA chronic AWQC or AALAC Assigned
the following data hierarchy: value
• EPA chronic Ambient Water Quality Cri- Less than 1 μg/l ..................................................... 10,000
terion (AWQC) for the substance. 1 to 10 μg/l ............................................................ 1,000
• EPA chronic Ambient Aquatic Life Advi- Greater than 10 to 100 μg/l ................................... 100
sory Concentrations (AALAC) for the sub- Greater than 100 to 1,000 μg/l .............................. 10
stance. Greater than 1,000 μg/l ......................................... 1
• EPA acute AWQC for the substance.
• EPA acute AALAC for the substance. If neither an EPA chronic AWQC nor EPA chronic
AALAC is available, assign a value based on the EPA
• Lowest LC50 value for the substance.
acute AWQC or AALAC as follows: c
In assigning the ecosystem toxicity factor
value to the hazardous substance: Assigned
• If either an EPA chronic AWQC or EPA acute AWQC or AALAC value
AALAC is available for the hazardous sub-
stance, use it to assign the ecosystem tox- Less than 100 μg/l ................................................. 10,000
icity factor value. Use the chronic AWQC in 100 to 1,000 μg/l ................................................... 1,000
Greater than 1,000 to 10,000 μg/l ......................... 100
preference to the chronic AALAC when both Greater than 10,000 to 100,000 μg/l ..................... 10
are available. Greater than 100,000 μg/l ..................................... 1
• If neither is available, use the EPA acute
AWQC or AALAC to assign the ecosystem If neither an EPA chronic or acute AWQC nor EPA
toxicity factor value. Use the acute AWQC in chronic or acute AALAC is available, assign a value
preference to the acute AALAC. from the LC50 as follows:
• If none of the chronic and acute AWQCs
Assigned
and AALACs is available, use the lowest LC50 LC50 value
value to assign the ecosystem toxicity factor
value. Less than 100 μg/l ................................................. 10,000
• If an LC50 value is also not available, as- 100 to 1,000 μg/l ................................................... 1,000
sign an ecosystem toxicity factor value of 0 Greater than 1,000 to 10,000 μg/l ......................... 100
to the hazardous substance and use other Greater than 10,000 to 100,000 μg/l ..................... 10
Greater than 100,000 μg/l ..................................... 1
hazardous substances for which data are
available in evaluating the pathway. If none of the AWQCs and AALACs nor the LC50 is avail-
If an ecosystem toxicity factor value of 0 is able, assign a value of 0.
assigned to all hazardous substances eligible a AWQC—Ambient Water Quality Criteria.
to be evaluated for the watershed (that is, b AALAC—Ambient Aquatic Life Advisory Concentrations.
c Usethe AWQC value in preference to the AALAC when
insufficient data are available for evaluating
both are available. See text for use of fresh water and marine
all the substances), use a default value of 100 values.
as the ecosystem toxicity factor value for all
these hazardous substances. 4.1.4.2.1.2 Persistence. Assign a persistence
With regard to the AWQC, AALAC, or LC50 factor value to each hazardous substance as
selected for assigning the ecosystem toxicity specified in section 4.1.2.2.1.2, except: use the
factor value to the hazardous substance: predominant water category (that is lakes;
• If values for the selected AWQC, AALAC, or rivers, oceans, coastal tidal waters, or
or LC50 are available for both fresh water and Great Lakes) between the probable point of
marine water for the hazardous substance, entry and the nearest sensitive environment
use the value that corresponds to the type of (not the nearest drinking water or resources
water body (that is, fresh water or salt intake) along the hazardous substance mi-
water) in which the sensitive environments gration path for the watershed to determine
are located to assign the ecosystem toxicity which portion of table 4–10 to use. Determine
factor value to the hazardous substance. the predominant water category based on
• If, however, some of the sensitive envi- distance as specified in section 4.1.2.2.1.2. For
ronments being evaluated are in fresh water contaminated sediments with no identified
and some are in salt water, or if any are in source, use the point where measurement be-
brackish water, use the value (fresh water or gins rather than the probable point of entry.
marine) that yields the higher factor value 4.1.4.2.1.3 Ecosystem bioaccumulation poten-
to assign the ecosystem toxicity factor value tial. Assign an ecosystem bioaccumulation
to the hazardous substance. potential factor value to each hazardous sub-
• If a value for the selected AWQC, stance in the same manner specified for the
AALAC, or LC50 is available for either fresh bioaccumulation potential factor in section
water or marine water, but not for both, use 4.1.3.2.1.3, except:
the available one to assign an ecosystem tox- • Use BCF data for all aquatic organisms,
icity factor value to the hazardous sub- not just for aquatic human food chain orga-
stance. nisms.
158
• Use the BCF data that corresponds to the hazardous substance an ecosystem toxicity/
type of water body (that is, fresh water or persistence/bioaccumulation factor value
salt water) in which the sensitive environ- from table 4–21, based on the values assigned
ments (not fisheries) are located. for the ecosystem toxicity/persistence and
4.1.4.2.1.4 Calculation of ecosystem toxicity/ ecosystem bioaccumulation potential fac-
persistence/bioaccumulation factor value. As- tors. Select the hazardous substance with
sign each hazardous substance an ecosystem the highest ecosystem toxicity/persistence/
toxicity/persistence factor value from table bioaccumulation factor value for the water-
4–20, based on the values assigned to the haz-
shed and use it to assign the value to this
ardous substance for the ecosystem toxicity
factor. Enter this value in table 4–1.
and persistence factors. Then assign each
TABLE 4–20—ECOSYSTEM TOXICITY/PERSISTENCE FACTOR VALUES A
Ecosystem toxicity factor value
10,000 1,000 100 10 1 0
1.0 ................................................................................................... 10,000 1,000 100 10 1 0

0.4 ................................................................................................... 4,000 400 40 4 0.4 0
0.07 ................................................................................................. 700 70 7 0.7 0.07 0
0.0007 ............................................................................................. 7 0.7 0.07 0.007 0.0007 0
TABLE 4–21—ECOSYSTEM TOXICITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A

Ecosystem bioaccumulation potential factor value
Ecosystem toxicity persistence factor value
50,000 5,000 500 50 5 0.5
10,000 ........................................................................... 5×108 5×107 5×106 5×105 5×104 5,000

4,000 ............................................................................. 2×108 2×107 2×106 2×105 2×104 2,000
1,000 ............................................................................. 5×107 5×106 5×105 5×104 5,000 500
700 ................................................................................ 3.5×107 3.5×106 3.5×105 3.5×104 3,500 350
400 ................................................................................ 2×107 2×106 2×105 2×104 2,000 200
100 ................................................................................ 5×106 5×105 5×104 5,000 500 50
70 .................................................................................. 3.5×106 3.5×105 3.5×104 3,500 350 35
40 .................................................................................. 2×106 2×105 2×104 2,000 200 20
10 .................................................................................. 5×105 5×104 5,000 500 50 5
7 .................................................................................... 3.5×105 3.5×104 3,500 350 35 3.5
4 .................................................................................... 2×105 2×104 2,000 200 20 2
1 .................................................................................... 5×104 5,000 500 50 5 0.5
0.7 ................................................................................. 3.5×104 3,500 350 35 3.5 0.35
0.4 ................................................................................. 2×104 2,000 200 20 2 0.2
0.07 ............................................................................... 3,500 350 35 3.5 0.35 0.035
0.007 ............................................................................. 350 35 3.5 0.35 0.035 0.0035
0.0007 ........................................................................... 35 3.5 0.35 0.035 0.0035 0.00035
0 .................................................................................... 0 0 0 0 0 0
4.1.4.2.2 Hazardous waste quantity. Assign this hazardous substance, subject to a max-
the same factor value for hazardous waste imum product of 1×1012. Based on this second
quantity for the watershed as would be as- product, assign a value from Table 2–7 (sec-
signed in section 4.1.2.2.2 for the drinking tion 2.4.3.1) to the environmental threat-
water threat. Enter this value in table 4–1. waste characteristics factor category for the
4.1.4.2.3 Calculation of environmental watershed. Enter this value in table 4–1.
value. For the hazardous substance selected TABLE 4–22—ECOLOGICAL-BASED BENCHMARKS
FOR HAZARDOUS SUBSTANCES IN SURFACE
for the watershed in section 4.1.4.2.1.4, use its
WATER
ecosystem toxicity/persistence factor value
and ecosystem bioaccumulation potential • Concentration corresponding to EPA
factor value as follows to assign a value to Ambient Water Quality Criteria (AWQC) for
the waste characteristics factor category. protection of aquatic life (fresh water or ma-
First, multiply the ecosystem toxicity/per- rine).
sistence factor value and the hazardous • Concentration corresponding to EPA
waste quantity factor value for the water- Ambient Aquatic Life Advisory Concentra-
shed, subject to a maximum product of 1×108. tions (AALAC).
Then multiply this product by the ecosystem • Select the appropriate AWQC and
bioaccumulation potential factor value for AALAC as follows:
159
–Use chronic value, if available; otherwise cept: if no marine value is available, use
use acute value. fresh water value if available.
–If the sensitive environment being evalu- –If the sensitive environment being evalu-
ated is in fresh water, use fresh water ated is in both fresh water and salt water,
value, except: if no fresh water value is or is in brackish water, use lower of fresh
available, use marine value if available. water or marine values.
–If the sensitive environment being evalu-
ated is in salt water, use marine value, ex-
TABLE 4–23—SENSITIVE ENVIRONMENTS RATING VALUES
Assigned
Sensitive environment value
Critical habitat a for Federal designated endangered or threatened species ................................................................... 100
Marine Sanctuary
National Park
Designated Federal Wilderness Area
Areas identified under Coastal Zone Management Act b
Sensitive areas identified under National Estuary Program c or Near Coastal Waters Program d
Critical areas identified under the Clean Lakes Program e
National Monument f
National Seashore Recreational Area
National Lakeshore Recreational Area
Habitat known to be used by Federal designated or proposed endangered or threatened species ............................... 75
National Preserve
National or State Wildlife Refuge
Unit of Coastal Barrier Resources System
Coastal Barrier (undeveloped)
Federal land designated for protection of natural ecosystems
Administratively Proposed Federal Wilderness Area
Spawning areas critical g for the maintenance of fish/shellfish species within river, lake, or coastal tidal waters
Migratory pathways and feeding areas critical for maintenance of anadromous fish species within river reaches or
areas in lakes or coastal tidal waters in which the fish spend extended periods of time
Terrestrial areas utilized for breeding by large or dense aggregations of animals h
National river reach designated as Recreational
Habitat known to be used by State designated endangered or threatened species ....................................................... 50

Habitat known to be used by species under review as to its Federal endangered or threatened status
Coastal Barrier (partially developed)
Federal designated Scenic or Wild River
State land designated for wildlife or game management ................................................................................................. 25

State designated Scenic or Wild River
State designated Natural Areas
Particular areas, relatively small in size, important to maintenance of unique biotic communities
State designated areas for protection or maintenance of aquatic life i ............................................................................. 5

a Criticalhabitat as defined in 50 CFR 424.02.
b Areas identified in State Coastal Zone Management plans as requiring protection because of ecological value.
c National Estuary Program study areas (subareas within estuaries) identified in Comprehensive Conservation and Manage-
ment Plans as requiring protection because they support critical life stages of key estuarine species (Section 320 of Clean Water
Act, as amended).
d Near Coastal Waters as defined in Sections 104(b)(3), 304(1), 319, and 320 of Clean Water Act, as amended.
e Clean Lakes Program critical areas (subareas within lakes, or in some cases entire small lakes) identified by State Clean
Lake Plans as critical habitat (Section 314 of Clean Water Act, as amended).
f Use only for air migration pathway.
g Limit to areas described as being used for intense or concentrated spawning by a given species.
h For the air migration pathway, limit to terrestrial vertebrate species. For the surface water migration pathway, limit to terres-
trial vertebrate species with aquatic or semiaquatic foraging habits.
i Areas designated under Section 305(a) of Clean Water Act, as amended.
TABLE 4–24—WETLANDS RATING VALUES FOR TABLE 4–24—WETLANDS RATING VALUES FOR
SURFACE WATER MIGRATION PATHWAY SURFACE WATER MIGRATION PATHWAY—Con-
tinued
Assigned
Total length of wetlands a (miles) value
Assigned
Total length of wetlands a (miles) value
Less than 0.1 ......................................................... 0
0.1 to 1 .................................................................. 25 Greater than 12 to 16 ............................................ 350
Greater than 1 to 2 ................................................ 50 Greater than 16 to 20 ............................................ 450
Greater than 2 to 3 ................................................ 75
Greater than 20 ..................................................... 500
Greater than 3 to 4 ................................................ 100

Greater than 4 to 8 ................................................ 150 a Wetlands as defined in 40 CFR section 230.3.
Greater than 8 to 12 .............................................. 250
160
4.1.4.3 Environmental threat-targets. Evalu-
ate the environmental threat-targets factor ⎛ n ⎞
category for a watershed using one factor: SH = 10 ⎜ WH + ∑ S i ⎟
sensitive environments.
4.1.4.3.1 Sensitive environments. Evaluate
⎝ i =1 ⎠
sensitive environments along the hazardous where:
substance migration path for the watershed WH=Value assigned from table 4–24 to wet-
based on three factors: Level I concentra- lands along the area of Level I concentra-
tions, Level II concentrations, and potential tions.
contamination. Si=Value(s) assigned from table 4–23 to sen-
Determine which factor applies to each sitive environment i.
sensitive environment as specified in section n=Number of sensitive environments from
4.1.2.3, except: use ecological-based bench- table 4–23 subject to Level I concentra-
marks (Table 4–22) rather than health-based tions.
benchmarks (Table 3–10) in determining the Enter the value assigned in table 4–1.
level of contamination from samples. In de- 4.1.4.3.1.2 Level II concentrations. Assign
termining the level of actual contamination, value(s) from table 4–23 to each sensitive en-
use a point of direct observation anywhere vironment subject to Level II concentra-
within the sensitive environment or samples
tions. Do not include sensitive environments
(that is, surface water, benthic, or sediment
already counted for table 4–23 under the
samples) taken anywhere within or beyond
Level I concentrations factor for this water-
the sensitive environment (or anywhere ad-
shed.
jacent to or beyond the sensitive environ-
For those sensitive environments that are
ment if it is contiguous to the migration
wetlands, assign an additional value from
path).
table 4–24. In assigning a value from table 4–
4.1.4.3.1.1 Level I concentrations. Assign
value(s) from table 4–23 to each sensitive en- 24, include only those portions of wetlands
vironment subject to Level I concentrations. located along the hazardous substance mi-
For those sensitive environments that are gration path in the area of Level II con-
wetlands, assign an additional value from centrations, as specified in section 4.1.4.3.1.1.
table 4–24. In assigning a value from table 4– Estimate the total length of wetlands
24, include only those portions of wetlands along the hazardous substance migration
located along the hazardous substance mi- path (that is, wetland frontage) in the area
gration path in the area of Level I con- of Level II concentrations and assign a value
centrations. If a wetland is located partially from table 4–24 based on this total length.
along the area of Level I concentrations and Estimate this length as specified in section
partially along the area of Level II con- 4.1.4.3.1.1, except: for an isolated wetland or
centrations and/or potential contamination, for a wetland where the probable point of
then solely for purposes of table 4–24, count entry to surface water is in the wetland, use
the portion(s) along the areas of Level II the perimeter of that portion of the wetland
concentrations or potential contamination subject to Level II (not Level I) concentra-
under the Level II concentrations factor tions as the length.
(section 4.1.4.3.1.2) or potential contamina- Calculate the Level II concentrations
tion factor (section 4.1.4.3.1.3), as appro- value (SL) for the watershed as follows:
priate.
n
Estimate the total length of wetlands
along the hazardous substance migration SL = WL + ∑ S i
path (that is, wetland frontage) in the area i =1
of Level I concentrations and assign a value where:
from table 4–24 based on this total length.
Estimate this length as follows: WL=Value assigned from table 4–24 to wet-
• For an isolated wetland or for a wetland lands along the area of Level II concentra-
where the probable point of entry to surface tions.
water is in the wetland, use the perimeter of Si=Value(s) assigned from table 4–23 to sen-
that portion of the wetland subject to Level sitive environment i.
I concentrations as the length. n=Number of sensitive environments from
• For rivers, use the length of the wetlands table 4–23 subject to Level II concentra-
contiguous to the in-water segment of the tions.
hazardous substance migration path (that is, Enter the value assigned in table 4–1.
wetland frontage). 4.1.4.3.1.3 Potential contamination. Assign
• For lakes, oceans, coastal tidal waters, value(s) from table 4–23 to each sensitive en-
and Great Lakes, use the length of the wet- vironment subject to potential contamina-
lands along the shoreline within the target tion. Do not include sensitive environments
distance limit (that is, wetland frontage already counted for table 4–23 under the
EC15NO91.153</MATH>
along the shoreline). Level I or Level II concentrations factors.

Calculate the Level I concentrations factor For each type of surface water body in
value (SH) for the watershed as follows: table 4–13 (section 4.1.2.3.1), sum the value(s)
161
EC15NO91.152</MATH>
assigned from table 4–23 to the sensitive en- 4.1.4.3.1.4 Calculation of environmental
vironments along that type of surface water threat-targets factor category value. Sum the
body, except: do not use the surface water values for the Level I concentrations, Level
body type ‘‘3-mile mixing zone in quiet flow- II concentrations, and potential contamina-
ing river.’’ If a sensitive environment is tion factors for the watershed. Do not round
along two or more types of surface water this sum to the nearest integer. Assign this
bodies (for example, Wildlife Refuge contig- sum as the environmental threat-targets fac-
uous to both a moderate stream and a large tor category value for the watershed. Enter
river), assign the sensitive environment only this value in table 4–1.
to that surface water body type having the 4.1.4.4 Calculation of environmental threat
highest dilution weight value from table 4– score for a watershed. Multiply the environ-
13. mental threat factor category values for
For those sensitive environments that are likelihood of release, waste characteristics,
wetlands, assign an additional value from and targets for the watershed, and round the
table 4–24. In assigning a value from table 4– product to the nearest integer. Then divide
24, include only those portions of wetlands
by 82,500. Assign the resulting value, subject
located along the hazardous substance mi-
to a maximum of 60, as the environmental
gration path in the area of potential con-
threat score for the watershed. Enter this
tamination, as specified in section 4.1.4.3.1.1.
score in table 4–1.
Aggregate these wetlands by type of surface
water body, except: do not use the surface 4.1.5 Calculation of overland/flood migration
water body type ‘‘3-mile mixing zone in quiet component score for a watershed. Sum the
flowing river.’’ Treat the wetlands aggre- scores for the three threats for the water-
gated within each type of surface water body shed (that is, drinking water, human food
as separate sensitive environments solely for chain, and environmental threats). Assign
purposes of applying table 4–24. Estimate the the resulting score, subject to a maximum
total length of the wetlands within each sur- value of 100, as the surface water overland/
face water body type as specified in section flood migration component score for the wa-
4.1.4.3.1.1, except: for an isolated wetland or tershed. Enter this score in table 4–1.
for a wetland where the probable point of 4.1.6 Calculation of overland/flood migration
entry to surface water is in the wetland, use component score. Select the highest surface
the perimeter of that portion of the wetland water overland/flood migration component
subject to potential contamination (or the score from the watersheds evaluated. Assign
portion of that perimeter that is within the this score as the surface water overland/flood
target distance limit) as the length. Assign a migration component score for the site, sub-
separate value from table 4–24 for each type ject to a maximum score of 100. Enter this
of surface water body in the watershed. score in table 4–1.
Calculate the potential contamination fac- 4.2 Ground water to surface water migration
tor value (SP) for the watershed as follows: component. Use the ground water to surface
water migration component to evaluate sur-
1 m
([ ] )
face water threats that result from migra-
SP = ∑ Wj + S j D j
10 j=1
tion of hazardous substances from a source
at the site to surface water via ground water.
Evaluate three types of threats for this com-
where: ponent: drinking water threat, human food
chain threat, and environmental threat.
n
S j = ∑ S ij
4.2.1 General considerations.
4.2.1.1 Eligible surface waters. Calculate
i =1 ground water to surface water migration
Sij=Value(s) assigned from table 4–23 to sen- component scores only for surface waters
sitive environment i in surface water body (see section 4.0.2) for which all the following
type j. conditions are met:
n=Number of sensitive environments from • A portion of the surface water is within
table 4–23 subject to potential contamina- 1 mile of one or more sources at the site hav-
tion. ing a containment factor value greater than
Wj=Value assigned from table 4–24 for wet- 0 (see section 4.2.2.1.2).
lands along the area of potential contami- • No aquifer discontinuity is established
nation in surface water body type j. between the source and the portion of the
Dj=Dilution weight from table 4–13 for sur- surface water within 1 mile of the source (see
face water body type j. section 3.0.1.2.2). However, if hazardous sub-
m=Number of different surface water body stances have migrated across an apparent
types from table 4–13 in the watershed. discontinuity within this 1 mile distance, do
If SP is less than 1, do not round it to the not consider a discontinuity present in scor-
EC15NO91.155</MATH>
nearest integer; if SP is 1 or more, round to ing the site.

the nearest integer. Enter this value for the • The top of the uppermost aquifer is at or
potential contamination factor in table 4–1. above the bottom of the surface water.
162
EC15NO91.154</MATH>
Do not evaluate this component for sites migration component. With regard to an in-
consisting solely of contaminated sediments dividual hazardous substance, consider an
with no identified source. observed release of that hazardous substance
4.2.1.2 Definition of hazardous substance mi- to be established for the surface water in-
gration path for ground water to surface water water segment of the ground water to sur-
migration component. The hazardous sub- face water migration component only when
stance migration path includes both the the hazardous substance meets the criteria
ground water segment and the surface water both for an observed release both to ground
in-water segment that hazardous substances water (see section 4.2.2.1.1) and for an ob-
would take as they migrate away from served release by chemical analysis to sur-
sources at the site: face water (see section 4.1.2.1.1).
• Restrict the ground water segment to If the hazardous substance meets the sec-
migration via the uppermost aquifer between tion 4.1.2.1.1 criteria for an observed release
a source and the surface water.
by chemical analysis to surface water but
• Begin the surface water in-water seg-
does not also meet the criteria for an ob-
ment at the probable point of entry from the
served release to ground water, do not use
uppermost aquifer to the surface water. Iden-
any samples of that hazardous substance
tify the probable point of entry as that point
of the surface water that yields the shortest from the surface water in-water segment in
straight-line distance, within the aquifer evaluating the factors of this component (for
boundary (see section 3.0.1.2), from the example, do not use the hazardous substance
sources at the site with a containment factor in establishing targets subject to actual con-
value greater than 0 to the surface water. tamination or in determining the level of ac-
tual contamination for a target).
–For rivers, continue the in-water segment
4.2.1.4 Target distance limit. Determine the
in the direction of flow (including any tidal
target distance limit for each watershed as
flows) for the distance established by the
specified in section 4.1.1.2, except: do not ex-
target distance limit (see section 4.2.1.4).
–For lakes, oceans, coastal tidal waters, or tend the target distance limit to a sample lo-
Great Lakes, do not consider flow direc- cation beyond 15 miles unless at least one
tion. Instead apply the target distance hazardous substance in a sample from that
limit as an arc. location meets the criteria in section 4.2.1.3
–If the in-water segment includes both riv- for an observed release to the surface water
ers and lakes (or oceans, coastal tidal wa- in-water segment.
ters, or Great Lakes), apply the target dis- Determine the targets eligible to be evalu-
tance limit to their combined in-water seg- ated for each watershed and establish wheth-
ments. er these targets are subject to actual or po-
Consider a site to be in two or more water- tential contamination as specified in section
sheds for this component if two or more haz- 4.1.1.2, except: do not establish actual con-
ardous substance migration paths from the tamination based on a sample location un-
sources at the site do not reach a common less at least one hazardous substance in a
point within the target distance limit. If the sample from that location meets the criteria
site is in more than one watershed, define a in section 4.2.1.3 for an observed release to
separate hazardous substance migration path the surface water in-water segment.
for each watershed. Evaluate the ground 4.2.1.5 Evaluation of ground water to surface
water to surface water migration component water migration component. Evaluate the
for each watershed separately as specified in drinking water threat, human food chain
section 4.2.1.5. threat, and environmental threat for each
4.2.1.3 Observed release of a specific haz- watershed for this component based on three
ardous substance to surface water in-water seg- factor categories: likelihood of release,
ment. Section 4.2.2.1.1 specifies the criteria waste characteristics, and targets. Figure 4–
for assigning values to the observed release 2 indicates the factors included within each
factor for the ground water to surface water factor category for each type of threat.
163
164
EC02AU92.009</GPH>
Determine the ground water to surface Table 4–25 outlines the specific calculation
water migration component score (Sgs) for a procedure.
watershed in terms of the factor category If the site is in only one watershed, assign
values as follows: the ground water to surface water migration
component score for that watershed as the
3
∑ (LR i )(WC i )(Ti )
ground water to surface water migration
component score for the site.
i =1
Sgs = If the site is in more than one watershed:
SF • Calculate a separate ground water to sur-
where: face water migration component score for
LRi=Likelihood of release factor category each watershed, using likelihood of release,
value for threat i (that is, drinking water, waste characteristics, and targets applicable
human food chain, or environmental to each watershed.
threat). • Select the highest ground water to sur-
WCi=Waste characteristics factor category face water migration component score from
value for threat i. the watersheds evaluated and assign it as the
Ti=Targets factor category value for threat i. ground water to surface water migration
SF=Scaling factor. component score for the site.
TABLE 4–25—GROUND WATER TO SURFACE WATER MIGRATION COMPONENT SCORESHEET
Maximum
value
Drinking Water Threat

Likelihood of Release to Aquifer:
1. Observed Release .................................................................................................... 550 lll
2a. Containment ............................................................................................... 10 lll
2b. Net Precipitation ......................................................................................... 10 lll
2c. Depth to Aquifer ......................................................................................... 5 lll
2d. Travel Time ................................................................................................ 35 lll
2e. Potential to Release (lines 2a[2b+2c+2d]) ................................................. 500 lll
3. Likelihood of Release (higher of lines 1 and 2e) ..................................................... 550 lll
4. Toxicity/Mobility/Persistence ..................................................................................... (a) lll
5. Hazardous Waste Quantity ....................................................................................... (a) lll
6. Waste Characteristics ............................................................................................... 100 lll
Targets:
7. Nearest Intake .......................................................................................................... 50 lll
8. Population
8a. Level I Concentrations ............................................................................... (b) lll
8b. Level II Concentrations .............................................................................. (b) lll
8c. Potential Contamination ............................................................................. (b) lll
8d. Population (lines 8a + 8b + 8c) .................................................................. ................ lll
9. Resources ................................................................................................................. 5 lll
10. Targets (lines 7 + 8d + 9) ......................................................................................... (b) lll
Drinking Water Threat Score:
11. Drinking Water Threat Score ([lines 3×6×10]/82,500, subject to a maximum of
100) ............................................................................................................................. 100 lll
Human Food Chain Threat
12. Likelihood of Release (same value as line 3) .......................................................... 550 lll
13. Toxicity/Mobility/Persistence/Bioaccumulation ......................................................... (a) lll
15. Waste Characteristics ............................................................................................... 1,000 lll
Targets:
16. Food Chain Individual ............................................................................................... 50 lll
17. Population:
17a. Level I Concentrations ............................................................................. (b) lll
17b. Level II Concentrations ............................................................................ (b) lll
17c. Potential Human Food Chain Contamination ........................................... (b) lll
17d. Population (lines 17a + 17b + 17c) .......................................................... (b) lll
18. Targets (Lines 16 + 17d) .......................................................................................... (b) lll
Human Food Chain Threat Score:
19. Human Food Chain Threat Score ([lines 12×15×18]/82,500, subject to a max-
imum of 100) ............................................................................................................... 100 lll
Environmental Threat
20. Likelihood of Release (same value as line 3) .......................................................... 550 lll

21. Ecosystem Toxicity/Mobility/Persistence/Bioaccumulation ....................................... (a) lll
165
EC15NO91.156</MATH>
TABLE 4–25—GROUND WATER TO SURFACE WATER MIGRATION COMPONENT SCORESHEET—

Continued
Maximum
value

23. Waste Characteristics ............................................................................................... 1,000 lll
Targets:
24. Sensitive Environments:
24a. Level I Concentrations ............................................................................. (b) lll
24b. Level II Concentrations ............................................................................ (b) lll
24c. Potential Contamination ........................................................................... (b) lll
24d. Sensitive Environments (lines 24a + 24b + 24c) ..................................... (b) lll
25. Targets (value from line 24d) ................................................................................... (b) lll
Environmental Threat Score:
26. Environmental Threat Score ([lines 20×23×25]/82,500, subject to a maximum of
60) ............................................................................................................................... 60 lll
Ground Water to Surface Water Migration Component Score for a Watershed
27. Watershed Score c (lines 11 + 19 + 26, subject to a maximum of 100) .................. 100 lll
28. Component Score (Sgs) c (highest score from Line 27 for all watersheds evalu-
ated, subject to a maximum of 100) ........................................................................... 100 lll
4.2.2 Drinking water threat. Evaluate the 4.2.2.2 Drinking water threat-waste charac-
drinking water threat for each watershed teristics. Evaluate the waste characteristics
based on three factor categories: likelihood factor category for each watershed based on
of release, waste characteristics, and targets. two factors: toxicity/mobility/persistence
4.2.2.1 Drinking water threat-likelihood of and hazardous waste quantity. Evaluate only
release. Evaluate the likelihood of release those hazardous substances available to mi-
factor category for each watershed in terms grate from the sources at the site to the up-
of an observed release factor or a potential permost aquifer (see section 3.2). Such haz-
to release factor. ardous substances include:
4.2.2.1.1 Observed release. Establish an ob- • Hazardous substances that meet the cri-
served release to the uppermost aquifer as teria for an observed release to ground
specified in section 3.1.1. If an observed re- water.
lease can be established for the uppermost • All hazardous substances associated with
aquifer, assign an observed release factor a source that has a ground water contain-
value of 550 to that watershed, enter this ment factor value greater than 0 (see sec-
value in table 4–25, and proceed to section tions 2.2.2, 2.2.3, and 3.1.2.1).
4.2.2.1.3. If no observed release can be estab- 4.2.2.2.1 Toxicity/mobility/persistence. For
lished, assign an observed release factor each hazardous substance, assign a toxicity
value of 0, enter this value in table 4–25, and factor value, a mobility factor value, a per-
proceed to section 4.2.2.1.2. sistence factor value, and a combined tox-
4.2.2.1.2 Potential to release. Evaluate po- icity/mobility/persistence factor value as
tential to release only if an observed release specified in sections 4.2.2.2.1.1 through
cannot be established for the uppermost aq- 4.2.2.2.1.4.
uifer. Calculate a potential to release value 4.2.2.2.1.1 Toxicity. Assign a toxicity factor
for the uppermost aquifer as specified in sec- value to each hazardous substance as speci-
tion 3.1.2 and sections 3.1.2.1 through 3.1.2.5. fied in section 2.4.1.1.
Assign the potential to release value for the 4.2.2.2.1.2 Mobility. Assign a ground water
uppermost aquifer as the potential to release mobility factor value to each hazardous sub-
factor value for the watershed. Enter this stance as specified in section 3.2.1.2.
value in table 4–25. 4.2.2.2.1.3 Persistence. Assign a surface
4.2.2.1.3 Calculation of drinking water water persistence factor value to each haz-
threat-likelihood of release factor category ardous substance as specified in section
value. If an observed release is established 4.1.2.2.1.2.
for the uppermost aquifer, assign the ob- 4.2.2.2.1.4 Calculation of toxicity/mobility/
served release factor value of 550 as the like- persistence factor value. First, assign each
lihood of release factor category value for hazardous substance a toxicity/mobility fac-
the watershed. Otherwise, assign the poten- tor value from table 3–9 (section 3.2.1.3),
tial to release factor value as the likelihood based on the values assigned to the haz-
of release factor category value for the wa- ardous substance for the toxicity and mobil-
tershed. Enter the value assigned in table 4– ity factors. Then assign each hazardous sub-
25. stance a toxicity/mobility/persistence factor
166
value from table 4–26, based on the values as- value. Multiply the toxicity/mobility/persist-
signed for the toxicity/mobility and persistence and hazardous waste quantity factor
ence factors. Use the substance with the values for the watershed, subject to a max-
highest toxicity/mobility/ persistence factor imum product of 1×108. Based on this prod-
value for the watershed to assign the value uct, assign a value from table 2–7 (section
to this factor. Enter this value in table 4–25. 2.4.3.1) to the drinking water threat-waste
4.2.2.2.2 Hazardous waste quantity. Assign characteristics factor category for the wa-
the same factor value for hazardous waste tershed. Enter this value in table 4–25.
quantity for the watershed as would be as-
4.2.2.3 Drinking water threat-targets. Evalu-
signed for the uppermost aquifer in section
ate the targets factor category for each wa-
3.2.2. Enter this value in table 4–25.
4.2.2.2.3 Calculation of drinking water tershed based on three factors: nearest in-
threat-waste characteristics factor category take, population, and resources.
TABLE 4–26—TOXICITY/MOBILITY/PERSISTENCE FACTOR VALUES A

Toxicity/mobility factor value
1.0 0.4 0.07 0.0007
10,000 ........................................................................................................... 10,000 4,000 700 7

2,000 ............................................................................................................. 2,000 800 140 1.4
1,000 ............................................................................................................. 1,000 400 70 0.7
200 ................................................................................................................ 200 80 14 0.14
100 ................................................................................................................ 100 40 7 0.07
20 .................................................................................................................. 20 8 1.4 0.014
10 .................................................................................................................. 10 4 0.7 0.007
2 .................................................................................................................... 2 0.8 0.14 0.0014
1 .................................................................................................................... 1 0.4 0.07 7×10¥4
0.2 ................................................................................................................. 0.2 0.08 0.014 1.4×10¥4
0.1 ................................................................................................................. 0.1 0.04 0.007 7×10¥5
0.02 ............................................................................................................... 0.02 0.008 0.0014 1.4×10¥5
0.01 ............................................................................................................... 0.01 0.004 7×10¥4 7×10¥6
0.002 ............................................................................................................. 0.002 8×10¥4 1.4×10¥4 1.4×10¥6
0.001 ............................................................................................................. 0.001 4×10¥4 7×10¥5 7×10¥7
2×10¥4 .......................................................................................................... 2×10¥4 8×10¥5 1.4×10¥5 1.4×10¥7
1×10¥4 .......................................................................................................... 1×10¥4 4×10¥5 7×10¥6 7×10¥8
2×10¥5 .......................................................................................................... 2×10¥5 8×10¥6 1.4×10¥6 1.4×10¥8
2×10¥6 .......................................................................................................... 2×10¥6 8×10¥7 1.4×10¥7 1.4×10¥9
2×10¥7 .......................................................................................................... 2×10¥7 8×10¥8 1.4×10¥8 1.4×10¥10
2×10¥8 .......................................................................................................... 2×10¥8 8×10¥9 1.4×10¥9 1.4×10¥11
2×10¥9 .......................................................................................................... 2×10¥9 8×10¥10 1.4×10¥10 1.4×10¥12
0 .................................................................................................................... 0 0 0 0
For the nearest intake and population fac- Use the resulting product, not the value
tors, determine whether the target surface from table 4–13, as the dilution weight for
water intakes are subject to actual or poten- the intake for the ground water to surface
tial contamination as specified in section water component. Do not round this product
4.1.1.2, subject to the restrictions specified in to the nearest integer.
sections 4.2.1.3 and 4.2.1.4. Select the value from table 4–27 based on
When the intake is subject to actual con- the angle Q, the angle defined by the sources
tamination, evaluate it using Level I con- at the site and either the two points at the
centrations or Level II concentrations. De-
intersection of the surface water body and
termine which level applies for the intake by
the 1-mile distance ring of any two other
comparing the exposure concentrations from
a sample (or comparable samples) to health- points of the surface water body within the
based benchmarks as specified in section 1-mile distance ring, whichever results in the
4.1.2.3, except use only those samples from largest angle. (See Figure 4–3 for an example
the surface water in-water segment and only of how to determine Q.) If the surface water
those hazardous substances in such samples body does not extend to the 1-mile ring at
that meet the conditions in sections 4.2.1.3 one or both ends, define Q using the surface
and 4.2.1.4. water endpoint(s) within the 1-mile ring or
4.2.2.3.1 Nearest intake. Assign a value to any two other points of the surface water
the nearest intake factor as specified in sec- body within the 1-mile distance ring, which-
tion 4.1.2.3.1 with the following modification. ever results in the largest angle.
For the intake being evaluated, multiply its
dilution weight from table 4–13 (section

4.1.2.3.1) by a value selected from table 4–27.
167
TABLE 4–27—DILUTION WEIGHT ADJUSTMENTS TABLE 4–27—DILUTION WEIGHT

ADJUSTMENTS—Continued
As-
Angle Q (degrees) signed
value a As-
Angle Q (degrees) signed
value a
0 .................................................................................. 0
Greater than 0 to 18 ................................................... 0.05
Greater than 234 to 270 ............................................. 0.7
Greater than 18 to 54 ................................................. 0.1
Greater than 54 to 90 ................................................. 0.2 Greater than 270 to 306 ............................................. 0.8
Greater than 90 to 126 ............................................... 0.3 Greater than 306 to 342 ............................................. 0.9
Greater than 126 to 162 ............................................. 0.4 Greater than 342 to 360 ............................................. 1.0
Greater than 162 to 198 ............................................. 0.5 a Do
Greater than 198 to 234 ............................................. 0.6 not round to nearest integer.
168
TABLE 4–28—TOXICITY/MOBILITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A

Bioaccumlation potential factor value
Toxicity/mobility/persistence factor value
50,000 5,000 500 50 5 0.5
10,000 ........................................................................... 5×108 5×107 5×106 5×105 5×104 5,000

4,000 ............................................................................. 2×108 2×107 2×106 2×105 2×104 2,000

2,000 ............................................................................. 1×108 1×107 1×106 1×105 1×104 1,000
169
EC02AU92.010</GPH>
TABLE 4–28—TOXICITY/MOBILITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A—Continued

Bioaccumlation potential factor value
Toxicity/mobility/persistence factor value
50,000 5,000 500 50 5 0.5
1,000 ............................................................................. 5×107 5×106 5×105 5×104 5,000 500

800 ................................................................................ 4×107 4×106 4×105 4×104 4,000 400
700 ................................................................................ 3.5×107 3.5×106 3.5×105 3.5×104 3,500 350
400 ................................................................................ 2×107 2×106 2×105 2×104 2,000 200
200 ................................................................................ 1×107 1×106 1×105 1×104 1,000 100
140 ................................................................................ 7×106 7×105 7×104 7,000 700 70
100 ................................................................................ 5×106 5×105 5×104 5,000 500 50
80 .................................................................................. 4×106 4×105 4×104 4,000 400 40
70 .................................................................................. 3.5×106 3.5×105 3.5×104 3,500 350 35
40 .................................................................................. 2×106 2×105 2×104 2,000 200 20
20 .................................................................................. 1×106 1×105 1×104 1,000 100 10
14 .................................................................................. 7×105 7×104 7,000 700 70 7
10 .................................................................................. 5×105 5×104 5,000 500 50 5
8 .................................................................................... 4×105 4×104 4,000 400 40 4
7 .................................................................................... 3.5×105 3.5×104 3,500 350 35 3.5
4 .................................................................................... 2×105 2×104 2,000 200 20 2
2 .................................................................................... 1×105 1×104 1,000 100 10 1
1.4 ................................................................................. 7×104 7,000 700 70 7 0.7
1.0 ................................................................................. 5×104 5,000 500 50 5 0.5
0.8 ................................................................................. 4×104 4,000 400 40 4 0.4
0.7 ................................................................................. 3.5×104 3,500 350 35 3.5 0.35
0.4 ................................................................................. 2×104 2,000 200 20 2 0.2
0.2 ................................................................................. 1×104 1,000 100 10 1 0.1
0.14 ............................................................................... 7,000 700 70 7 0.7 0.07
0.1 ................................................................................. 5,000 500 50 5 0.5 0.05
0.08 ............................................................................... 4,000 400 40 4 0.4 0.04
0.07 ............................................................................... 3,500 350 35 3.5 0.35 0.035
0.04 ............................................................................... 2,000 200 20 2 0.2 0.02
0.02 ............................................................................... 1,000 100 10 1 0.1 0.01
0.014 ............................................................................. 700 70 7 0.7 0.07 0.007
0.01 ............................................................................... 500 50 5 0.5 0.05 0.005
0.008 ............................................................................. 400 40 4 0.4 0.04 0.004
0.007 ............................................................................. 350 35 3.5 0.35 0.035 0.0035
0.004 ............................................................................. 200 20 2 0.2 0.02 0.002
0.002 ............................................................................. 100 10 1 0.1 0.01 0.001
0.0014 ........................................................................... 70 7 0.7 0.07 0.007 7×10¥4
0.001 ............................................................................. 50 5 0.5 0.05 0.005 5×10¥4
8×10¥4 .......................................................................... 40 4 0.4 0.04 0.004 4×10¥4
7×10¥4 .......................................................................... 35 3.5 0.035 0.035 0.0035 3.5×10¥4
4×10¥4 .......................................................................... 20 2 0.2 0.02 0.002 2×10¥4
2×10¥4 .......................................................................... 10 1 0.1 0.01 0.001 1×10¥4
1.4×10¥4 ....................................................................... 7 0.7 0.07 0.007 7×10¥4 7×10¥5
1×10¥4 .......................................................................... 5 0.5 0.05 0.005 5×10¥4 5×10¥5
8×10¥5 .......................................................................... 4 0.4 0.04 0.004 4×10¥4 4×10¥5
7×10¥5 .......................................................................... 3.5 0.35 0.035 0.0035 3.5×10¥4 3.5×10¥5
4×10¥5 .......................................................................... 2 0.2 0.02 0.002 2×10¥4 2×10¥5
2×10¥5 .......................................................................... 1 0.1 0.01 0.001 1×10¥4 1×10¥5
1.4×10¥5 ....................................................................... 0.7 0.07 0.007 7×10¥4 7×10¥5 7×10¥6
8×10¥6 .......................................................................... 0.4 0.04 0.004 4×10¥4 4×10¥5 4×10¥6
7×10¥6 .......................................................................... 0.35 0.035 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6
2×10¥6 .......................................................................... 0.1 0.01 0.001 1×10¥4 1×10¥5 1×10¥6
1.4×10¥6 ....................................................................... 0.07 0.007 7×10¥4 7×10¥5 7×10¥6 7×10¥7
8×10¥7 .......................................................................... 0.04 0.004 4×10¥4 4×10¥5 4×10¥6 4×10¥7
7×10¥7 .......................................................................... 0.035 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6 3.5×10¥7
2×10¥7 .......................................................................... 0.01 0.001 1×10¥4 1×10¥5 1×10¥6 1×10¥7
1.4×10¥7 ....................................................................... 0.007 7×10¥4 7×10¥5 7×10¥6 7×10¥7 7×10¥8
8×10¥8 .......................................................................... 0.004 4×10¥4 4×10¥5 4×10¥6 4×10¥7 4×10¥8
7×10¥8 .......................................................................... 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6 3.5×10¥7 3.5×10¥8
2×10¥8 .......................................................................... 0.001 1×10¥4 1×10¥5 1×10¥6 1×10¥7 1×10¥8
1.4×10¥8 ....................................................................... 7×10¥4 7×10¥5 7×10¥6 7×10¥7 7×10¥8 7×10¥9
8×10¥9 .......................................................................... 4×10¥4 4×10¥5 4×10¥6 4×10¥7 4×10¥8 4×10¥9
2×10¥9 .......................................................................... 1×10¥4 1×10¥5 1×10¥6 1×10¥7 1×10¥8 1×10¥9
1.4×10¥9 ....................................................................... 7×10¥5 7×10¥6 7×10¥7 7×10¥8 7×10¥9 7×10¥10
8×10¥10 ......................................................................... 4×10¥5 4×10¥6 4×10¥7 4×10¥8 4×10¥9 4×10¥10
1.4×10¥10 ...................................................................... 7×10¥6 7×10¥7 7×10¥8 7×10¥9 7×10¥10 4×10¥11
1.4×10¥11 ...................................................................... 7×10¥7 7×10¥8 7×10¥9 7×10¥10 7×10¥11 7×10¥12
1.4×10¥12 ...................................................................... 7×10¥8 7×10¥9 7×10¥10 7×10¥11 7×10¥12 7×10¥13
0 .................................................................................... 0 0 0 0 0 0
170
4.2.2.3.2 Population. Evaluate the popu- by 82,500. Assign the resulting value, subject
lation factor for the watershed based on to a maximum of 100, as the drinking water
three factors: Level I concentrations, Level threat score for the watershed. Enter this
II concentrations, and potential contamina- score in table 4–25.
tion. Determine which factor applies to an 4.2.3 Human food chain threat. Evaluate
intake as specified in section 4.2.2.3. Deter- the human food chain threat for a watershed
mine the population to be counted for that based on three factor categories: likelihood
intake as specified in section 4.1.2.3.2, using of release, waste characteristics, and targets.
the target distance limits in section 4.2.1.4 4.2.3.1 Human food chain threat-likelihood
and the hazardous substance migration path of release. Assign the same likelihood of re-
in section 4.2.1.2. lease factor category value for the human
4.2.2.3.2.1 Level I concentrations. Assign a food chain threat for the watershed as would
value to this factor as specified in section be assigned in section 4.2.2.1.3 for the drink-
4.1.2.3.2.2. ing water threat. Enter this value in table 4–
4.2.2.3.2.2 Level II concentrations. Assign a 25.
value to this factor as specified in section 4.2.3.2 Human food chain threat-waste char-
4.1.2.3.2.3. acteristics. Evaluate the waste characteristics
4.2.2.3.2.3 Potential contamination. For each factor category for each watershed based on
applicable type of surface water body in two factors: toxicity/mobility/persistence/
table 4–14, determine the dilution-weighted bioaccumulation and hazardous waste quan-
population value as specified in section tity.
4.1.2.3.2.4. Select the appropriate dilution
4.2.3.2.1 Toxicity/mobility/persistence/bio-
weight adjustment value from table 4–27 as
accumulation. Evaluate all those hazardous
specified in section 4.2.2.3.1.
substances eligible to be evaluated for tox-
Calculate the value for the potential con-
icity/mobility/persistence in the drinking
tamination factor (PC) for the watershed as
water threat for the watershed (see section
follows:
4.2.2.2.1).
4.2.3.2.1.1 Toxicity. Assign a toxicity factor
A n
PC = ∑ Wi
10 i =1
value to each hazardous substance as speci-
fied in section 2.4.1.1.
4.2.3.2.1.2 Mobility. Assign a ground water
where: mobility factor value to each hazardous sub-
A=Dilution weight adjustment value from stance as specified for the drinking water
table 4–27. threat (see section 4.2.2.2.1.2).
Wi=Dilution-weighted population from table 4.2.3.2.1.3 Persistence. Assign a surface
4–14 for surface water body type i. water persistence factor value to each haz-
n=Number of different surface water body ardous substance as specified for the drink-
types in the watershed. ing water threat (see section 4.2.2.2.1.3), ex-
If PC is less than 1, do not round it to the cept: use the predominant water category
nearest integer; if PC is 1 or more, round to (that is, lakes; or rivers, oceans, coastal
the nearest integer. Enter the value in table tidal waters, or Great Lakes) between the
4–25. probable point of entry and the nearest fish-
4.2.2.3.2.4 Calculation of population factor ery (not the nearest drinking water or re-
value. Sum the factor values for Level I con- sources intake) along the hazardous sub-
centrations, Level II concentrations, and po- stance migration path for the watershed to
tential contamination. Do not round this determine which portion of table 4–10 to use.
sum to the nearest integer. Assign this sum Determine the predominant water category
as the population factor value for the water- based on distance as specified in section
shed. Enter this value in table 4–25. 4.1.2.2.1.2.
4.2.2.3.3 Resources. Assign a value to the 4.2.3.2.1.4 Bioaccumulation potential. Assign
resources factor as specified in section a bioaccumulation potential factor value to
4.1.2.3.3. each hazardous substance as specified in sec-
4.2.2.3.4 Calculation of drinking water tion 4.1.3.2.1.3.
threat-targets factor category value. Sum the 4.2.3.2.1.5 Calculation of toxicity/mobility/
nearest intake, population, and resources persistence/ bioaccumulation factor value. As-
factor values for the watershed. Do not sign each hazardous substance a toxicity/mo-
round this sum to the nearest integer. Assign bility factor value from table 3–9 (section
this sum as the drinking water threat-tar- 3.2.1.3), based on the values assigned to the
gets factor category value for the watershed. hazardous substance for the toxicity and mo-
Enter this value in table 4–25. bility factors. Then assign each hazardous
4.2.2.4 Calculation of drinking water threat substance a toxicity/mobility/persistence
score for a watershed. Multiply the drinking factor value from table 4–26, based on the
water threat factor category values for like- values assigned for the toxicity/mobility and
lihood of release, waste characteristics, and persistence factors. Then assign each haz-
targets for the watershed, and round the ardous substance a toxicity/mobility/persist-
product to the nearest integer. Then divide ence/bioaccumulation factor value from
171
EC15NO91.157</MATH>
table 4–28. Use the substance with the high- 4.2.3.3.2.3 Potential human food chain con-
est toxicity/mobility/persistence/bioaccumu- tamination. Assign a value to this factor as
lation factor value for the watershed to as- specified in section 4.1.3.3.2.3 with the fol-
sign the value to this factor for the water- lowing modification. For each fishery being
shed. Enter this value in table 4–25. evaluated, multiply the appropriate dilution
4.2.3.2.2 Hazardous waste quantity. Assign weight for that fishery from table 4–13 by the
the same factor value for hazardous waste adjustment value selected from table 4–27, as
quantity for the watershed as would be as- specified in section 4.2.2.3.1. Use the result-
signed in section 4.2.2.2.2 for the drinking ing product, not the value from table 4–13, as
water threat. Enter this value in table 4–25. the dilution weight for the fishery. Do not
4.2.3.2.3 Calculation of human food chain round this product to the nearest integer.
threat-waste characteristics factor category Enter the value assigned in table 4–25.
value. For the hazardous substance selected 4.2.3.3.2.4 Calculation of population factor
for the watershed in section 4.2.3.2.1.5, use its value. Sum the factor values for Level I con-
toxicity/mobility/ persistence factor value centrations, Level II concentrations, and po-
and bioaccumulation potential factor value tential human food chain contamination for
as follows to assign a value to the waste the watershed. Do not round this sum to the
characteristics factor category. First, mul- nearest integer. Assign this sum as the popu-
tiply the toxicity/mobility/persistence factor lation factor value for the watershed. Enter
value and the hazardous waste quantity fac-
tor value for the watershed, subject to a
maximum product of 1×108. Then multiply
this product by the bioaccumulation poten- threat-targets factor category value. Sum the
tial factor value for this hazardous sub- food chain individual and population factor
stance, subject to a maximum product of values for the watershed. Do not round this
1×1012. Based on this second product, assign a sum to the nearest integer. Assign this sum
value from table 2–7 (section 2.4.3.1) to the as the human food chain threat-targets fac-
human food chain threat-waste characteris- tor category value for the watershed. Enter
tics factor category for the watershed. Enter this value in table 4–25.
this value in table 4–25. 4.2.3.4 Calculation of human food chain
4.2.3.3 Human food chain threat-targets. threat score for a watershed. Multiply the
Evaluate two target factors for the water- human food chain threat factor category val-
shed: food chain individual and population. ues for likelihood of release, waste charac-
For both factors, determine whether the teristics, and targets for the watershed, and
target fisheries are subject to Level I con- round the product to the nearest integer.
centrations, Level II concentrations, or po- Then divide by 82,500. Assign the resulting
tential human food chain contamination. De- value, subject to a maximum of 100, as the
termine which applies to each fishery (or human food chain threat score for the water-
portion of a fishery) as specified in section shed. Enter this score in table 4–25.
4.1.3.3, subject to the restrictions specified in 4.2.4 Environmental threat. Evaluate the
sections 4.2.1.3 and 4.2.1.4. environmental threat for the watershed
4.2.3.3.1 Food chain individual. Assign a based on three factor categories: likelihood
value to the food chain individual factor as of release, waste characteristics, and targets.
specified in section 4.1.3.3.1 with the fol- 4.2.4.1 Environmental threat-likelihood of re-
lowing modification. When a dilution weight lease. Assign the same likelihood of release
is used, multiply the appropriate dilution factor category value for the environmental
weight from table 4–13 by the adjustment threat for the watershed as would be as-
value selected from table 4–27, as specified in signed in section 4.2.2.1.3 for the drinking
section 4.2.2.3.1. Use the resulting product, water threat. Enter this value in table 4–25.
not the value from table 4–13, as the dilution
4.2.4.2 Environmental threat-waste charac-
weight in assigning the factor value. Do not
teristics. Evaluate the waste characteristics
round this product to the nearest integer.
factor category for each watershed based on
Enter the value assigned in table 4–25.
4.2.3.3.2 Population. Evaluate the popu- two factors: ecosystem toxicity/mobility/per-
lation factor for the watershed based on sistence/bioaccumulation and hazardous
three factors: Level I concentrations, Level waste quantity.
II concentrations, and potential human food 4.2.4.2.1 Ecosystem toxicity/mobility/persist-
chain contamination. Determine which of ence/bioaccumulation. Evaluate all those haz-
these factors is to be applied to each fishery ardous substances eligible to be evaluated
as specified in section 4.2.3.3. for toxicity/mobility/persistence in the
4.2.3.3.2.1 Level I concentrations. Assign a drinking water threat for the watershed (see
value to this factor as specified in section section 4.2.2.2.1).
4.1.3.3.2.1. Enter this value in table 4–25. 4.2.4.2.1.1 Ecosystem toxicity. Assign an eco-
4.2.3.3.2.2 Level II concentrations. Assign a system toxicity factor value to each haz-
value to this factor as specified in section ardous substance as specified in section

4.1.3.3.2.2. Enter this value in table 4–25. 4.1.4.2.1.1.
172
4.2.4.2.1.2 Mobility. Assign a ground water 4.2.4.2.1.5 Calculation of ecosystem toxicity/
mobility factor value to each hazardous sub- mobility/persistence/ bioaccumulation factor
stance as specified in section 4.2.2.2.1.2 for value. Assign each hazardous substance an
the drinking water threat. ecosystem toxicity/mobility factor value
4.2.4.2.1.3 Persistence. Assign a surface from table 3–9 (section 3.2.1.3), based on the
water persistence factor value to each haz- values assigned to the hazardous substance
ardous substance as specified in section for the ecosystem toxicity and mobility fac-
4.2.2.2.1.3 for the drinking water threat, ex- tors. Then assign each hazardous substance
cept: use the predominant water category an ecosystem toxicity/mobility/persistence
(that is, lakes; or rivers, oceans, coastal factor value from table 4–29, based on the
tidal waters, or Great Lakes) between the values assigned for the ecosystem toxicity/
probable point of entry and the nearest sen- mobility and persistence factors. Then as-
sitive environment (not the nearest drinking sign each hazardous substance an ecosystem
water or resources intake) along the haz- toxicity/mobility/persistence/bioaccumula-
ardous substance migration path for the wa- tion factor value from table 4–30, based on
tershed to determine which portion of table the values assigned for the ecosystem tox-
4–10 to use. Determine the predominant icity/mobility/persistence and ecosystem bio-
water category based on distance as specified accumulation potential factors. Select the
in section 4.1.2.2.1.2. substance with the highest ecosystem tox-
4.2.4.2.1.4 Ecosystem bioaccumulation poten- icity/mobility/persistence/bioaccumulation
tial. Assign an ecosystem bioaccumulation factor value for the watershed and use it to
potential factor value to each hazardous sub- assign the value to this factor for the water-
stance as specified in section 4.1.4.2.1.3. shed. Enter this value in table 4–25.
TABLE 4–29—ECOSYSTEM TOXICITY/MOBILITY/PERSISTENCE FACTOR VALUES A
Ecosystem toxicity/mobility factor value
1.0 0.4 0.07 0.0007
10,000 ........................................................................................................... 10,000 4,000 700 7

2,000 ............................................................................................................. 2,000 800 140 1.41,000
1,000 ............................................................................................................. 1,000 400 70 0.7
200 ................................................................................................................ 200 80 14 0.14
100 ................................................................................................................ 100 40 7 0.07
20 .................................................................................................................. 20 8 1.4 0.014
10 .................................................................................................................. 10 4 0.7 0.007
2 .................................................................................................................... 2 0.8 0.14 0.0014
1 .................................................................................................................... 1 0.4 0.07 7×10¥4
0.2 ................................................................................................................. 0.2 0.08 0.014 1.4×10¥4
0.1 ................................................................................................................. 0.1 0.04 0.007 7×10¥5
0.2 ................................................................................................................. 0.2 0.008 0.0014 1.4×10¥5
0.01 ............................................................................................................... 0.01 0.004 7×10¥4 7×10¥6
0.002 ............................................................................................................. 0.002 8×10¥4 1.4×10¥4 1.4×10¥6
0.001 ............................................................................................................. 0.001 4×10¥4 7×10¥5 7×10¥7
2×10¥4 .......................................................................................................... 2×10¥4 8×10¥5 1.4×10¥5 1.4×10¥7
1×10¥4 .......................................................................................................... 1×10¥4 4×10¥5 7×10¥6 7×10¥8
2×10¥5 .......................................................................................................... 2×10¥5 8×10¥6 1.4×10¥6 1.4×10¥8
2×10¥6 .......................................................................................................... 2×10¥6 8×10¥7 1.4×10¥7 1.4×10¥9
2×10¥7 .......................................................................................................... 2×10¥7 8×10¥8 1.4×10¥8 1.4×10¥10
2×10¥8 .......................................................................................................... 2×10¥8 8×10¥9 1.4×10¥9 1.4×10¥11
2×10¥9 .......................................................................................................... 2×10¥9 8×10¥10 1.4×10¥10 1.4×10¥12
0 .................................................................................................................... 0 0 0 0
TABLE 4–30—ECOSYSTEM TOXICITY/MOBILITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A

Ecosystem toxicity/mobility/persistence factor value
50,000 5,000 500 50 5 0.5
10,000 ........................................................................... 5×108 5×107 5×106 5×105 5×104 5,000

4,000 ............................................................................. 2×108 2×107 2×106 2×105 2×104 2,000
2,000 ............................................................................. 1,×108 1×107 1×106 1×105 1×104 1,000
1,000 ............................................................................. 5×107 5×106 5×105 5×104 5,000 500
800 ................................................................................ 4×107 4×106 4×105 4×104 4,000 400
700 ................................................................................ 3.5×107 3.5×106 3.5×105 3.5×104 3,500 350
400 ................................................................................ 2×107 2×106 2×105 2×104 2,000 200
200 ................................................................................ 1×107 1×106 1×105 1×104 1,000 100
140 ................................................................................ 7×106 7×105 7×104 7,000 700 70
100 ................................................................................ 5×106 5×105 5×104 5,000 500 50

80 .................................................................................. 4×106 4×105 4×104 4,000 400 40
70 .................................................................................. 3.5×106 3.5×105 3.5×104 3,500 350 35
173
TABLE 4–30—ECOSYSTEM TOXICITY/MOBILITY/PERSISTENCE/BIOACCUMULATION FACTOR VALUES A—

Continued
Ecosystem toxicity/mobility/persistence factor value
50,000 5,000 500 50 5 0.5
40 .................................................................................. 2×106 2×105 2×104 2,000 200 20

20 .................................................................................. 1×106 1×105 1×104 1,000 100 10
14 .................................................................................. 7×105 7×104 7,000 700 70 7
10 .................................................................................. 5×105 5×104 5,000 500 50 5
8 .................................................................................... 4×105 4×104 4,000 400 40 4
7 .................................................................................... 3.5×105 3.5×104 3,500 350 35 3.5
4 .................................................................................... 2×105 2×104 2,000 200 20 2
2 .................................................................................... 1×105 1×104 1,000 100 10 1
1.4 ................................................................................. 7×104 7,000 700 70 7 0.7
1.0 ................................................................................. 5×104 5,000 500 50 5 0.5
0.8 ................................................................................. 4×104 4,000 400 40 4 0.4
0.7 ................................................................................. 3.5×104 3,500 350 35 3.5 0.35
0.4 ................................................................................. 2×104 2,000 200 20 2 0.2
0.2 ................................................................................. 1×104 1,000 100 10 1 0.1
0.14 ............................................................................... 7,000 700 70 7 0.7 0.07
0.1 ................................................................................. 5,000 500 50 5 0.5 0.05
0.08 ............................................................................... 4,000 400 40 4 0.4 0.04
0.07 ............................................................................... 3,500 350 35 3.5 0.35 0.035
0.04 ............................................................................... 2,000 200 20 2 0.2 0.02
0.02 ............................................................................... 1,000 100 10 1 0.1 0.01
0.014 ............................................................................. 700 70 7 0.7 0.07 0.007
0.01 ............................................................................... 500 50 5 0.5 0.05 0.005
0.008 ............................................................................. 400 40 4 0.4 0.04 0.004
0.007 ............................................................................. 350 35 3.5 0.35 0.035 0.0035
0.004 ............................................................................. 200 20 2 0.2 0.02 0.002
0.002 ............................................................................. 100 10 1 0.1 0.01 0.001
0.0014 ........................................................................... 70 7 0.7 0.07 0.007 7×10¥4
0.001 ............................................................................. 50 5 0.5 0.05 0.005 5×10¥4
8×10¥4 .......................................................................... 40 4 0.4 0.04 0.004 4×10¥4
7×10¥4 .......................................................................... 35 3.5 0.35 0.035 0.0035 3.5×10¥4
4×10¥4 .......................................................................... 20 2 0.2 0.02 0.002 2×10¥4
2×10¥4 .......................................................................... 10 1 0.1 0.01 0.001 1×10¥4
1.4×10¥4 ....................................................................... 7 0.7 0.07 0.007 7×10¥4 7×10¥5
1×10¥4 .......................................................................... 5 0.5 0.05 0.005 5×10¥4 5×10¥5
8×10¥5 .......................................................................... 4 0.4 0.04 0.004 4×10¥4 4×10¥5
7×10¥5 .......................................................................... 3.5 0.35 0.035 0.0035 3.5×10¥4 3.5×10¥5
4×10¥5 .......................................................................... 2 0.2 0.02 0.002 2×10¥4 2×10¥5
2×10¥5 .......................................................................... 1 0.1 0.01 0.001 1×10¥4 1×10¥5
1.4×10¥5 ....................................................................... 0.7 0.07 0.007 7×10¥4 7×10¥5 7×10¥6
8×10¥6 .......................................................................... 0.4 0.04 0.004 4×10¥4 4×10¥5 4×10¥6
7×10¥6 .......................................................................... 0.35 0.035 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6
2×10¥6 .......................................................................... 0.1 0.01 0.001 1×10¥4 1×10¥5 1×10¥6
1.4×10¥6 ....................................................................... 0.07 0.007 7×10¥4 7×10¥5 7×10¥6 7×10¥7
8×10¥7 .......................................................................... 0.04 0.004 4×10¥4 4×10¥5 4×10¥6 4×10¥7
7×10¥7 .......................................................................... 0.035 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6 3.5×10¥7
2×10¥7 .......................................................................... 0.01 0.001 1×10¥4 1×10¥5 1×10¥6 1×10¥7
1.4×10¥7 ....................................................................... 0.007 7×10¥4 7×10¥5 7×10¥6 7×10¥7 7×10¥8
8×10¥8 .......................................................................... 0.004 4×10¥4 4×10¥5 4×10¥6 4×10¥7 4×10¥8
7×10¥8 .......................................................................... 0.0035 3.5×10¥4 3.5×10¥5 3.5×10¥6 3.5×10¥7 3.5×10¥8
2×10¥8 .......................................................................... 0.001 1×10¥4 1×10¥5 1×10¥6 1×10¥7 1×10¥8
1.4×10¥8 ....................................................................... 7×10¥4 7×10¥5 7×10¥6 7×10¥7 7×10¥8 7×10¥9
8×10¥9 .......................................................................... 4×10¥4 4×10¥5 4×10¥6 4×10¥7 4×10¥8 4×10¥9
2×10¥9 .......................................................................... 1×10¥4 1×10¥5 1×10¥6 1×10¥7 1×10¥8 1×10¥9
1.4×10¥9 ....................................................................... 7×10¥5 7×10¥6 7×10¥7 7×10¥8 7×10¥9 7×10¥10
8×10¥10 ......................................................................... 4×10¥5 4×10¥6 4×10¥7 4×10¥8 4×10¥9 4×10¥10
1.4×10¥10 ...................................................................... 7×10¥6 7×10¥7 7×10¥8 7×10¥9 7×10¥10 7×10¥11
1.4×10¥11 ...................................................................... 7×10¥7 7×10¥8 7×10¥9 7×10¥10 7×10¥11 7×10¥12
1.4×10¥12 ...................................................................... 7×10¥8 7×10¥9 7×10¥10 7×10¥11 7×10¥12 7×10¥13
0 .................................................................................... 0 0 0 0 0 0
4.2.4.2.2 Hazardous waste quantity. Assign signed in section 4.2.2.2.2 for the drinking
the same factor value for hazardous waste water threat. Enter this value in table 4–25.
quantity for the watershed as would be as- 4.2.4.2.3 Calculation of environmental

174
value. For the hazardous substance selected and targets for the watershed, and round the
for the watershed in section 4.2.4.2.1.5, use its product to the nearest integer. Then divide
ecosystem toxicity/mobility/persistence fac- by 82,500. Assign the resulting value, subject
tor value and ecosystem bioaccumulation to a maximum of 60, as the environmental
potential factor value as follows to assign a threat score for the watershed. Enter this
value to the waste characteristics factor cat- score in table 4–25.
egory. First, multiply the ecosystem tox- 4.2.5 Calculation of ground water to surface
icity/mobility/persistence factor value and water migration component score for a water-
the hazardous waste quantity factor value shed. Sum the scores for the three threats for
for the watershed, subject to a maximum the watershed (that is, drinking water,
product of 1×108. Then multiply this product human food chain, and environmental
by the ecosystem bioaccumulation potential threats). Assign the resulting score, subject
factor value for this hazardous substance, to a maximum value of 100, as the ground
subject to a maximum product of 1×1012. water to surface water migration component
Based on this product, assign a value from score for the watershed. Enter this score in
table 2–7 (section 2.4.3.1) to the environ- table 4–25.
mental threat-waste characteristics cat- 4.2.6 Calculation of ground water to surface
egory for the watershed. Enter the value in water migration component score. Select the
table 4–25. highest ground water to surface water mi-
4.2.4.3 Environmental threat-targets. Evalu- gration component score from the water-
ate the environmental threat-targets factor sheds evaluated. Assign this score as the
category for a watershed using one factor: ground water to surface water migration
sensitive environments. component score for the site, subject to a
4.2.4.3.1 Sensitive environments. Evaluate maximum score of 100. Enter this score in
sensitive environments for the watershed table 4–25.
based on three factors: Level I concentra- 4.3 Calculation of surface water migration
tions, Level II concentrations, and potential pathway score. Determine the surface water
contamination. Determine which applies to migration pathway score as follows:
each sensitive environment as specified in • If only one of the two surface water mi-
section 4.1.4.3.1, except: use only those sam- gration components (overland/flood or
ples from the surface water in-water segment ground water to surface water) is scored, as-
and only those hazardous substances in such sign the score of that component as the sur-
samples that meet the conditions in sections face water migration pathway score.
4.2.1.3 and 4.2.1.4. • If both components are scored, select the
4.2.4.3.1.1 Level I concentrations. Assign a higher of the two component scores from sec-
value to this factor as specified in section tions 4.1.6 and 4.2.6. Assign that score as the
4.1.4.3.1.1. Enter this value in table 4–25. surface water migration pathway score.
4.2.4.3.1.2 Level II concentrations. Assign a
value to this factor as specified in section 5.0 Soil Exposure Pathway
4.1.4.3.1.2. Enter this value in table 4–25.
4.2.4.3.1.3 Potential contamination. Assign a Evaluate the soil exposure pathway based
value to this factor as specified in section on two threats: Resident population threat
4.1.4.3.1.3 with the following modification. and nearby population threat. Evaluate both
Multiply the appropriate dilution weight threats based on three factor categories:
from table 4–13 for the sensitive environ- Likelihood of exposure, waste characteris-
ments in each type of surface water body by tics, and targets. Figure 5–1 indicates the
the adjustment value selected from table 4– factors included within each factor category
27, as specified in section 4.2.2.3.1. Use the re- for each type of threat.
sulting product, not the value from table 4– Determine the soil exposure pathway score
13, as the dilution weight for the sensitive (Ss)in terms of the factor category values as
environments in that type of surface water follows:
body. Do not round this product to the near-
2
∑ (LE i )(WC i )(Ti )
est integer. Enter the value assigned in table
4–25.
4.2.4.3.1.4 Calculation of environmental i =1
threat-targets factor category value. Sum the Ss =
values for Level I concentrations, Level II SF
concentrations, and potential contamination where:
for the watershed. Do not round this sum to LEi=Likelihood of exposure factor category
the nearest integer. Assign this sum as the value for threat i (that is, resident popu-
environmental threat targets factor cat- lation threat or nearby population threat).
egory value for the watershed. Enter this WCi=Waste characteristics factor category
value in table 4–25. value for threat i.
4.2.4.4 Calculation of environmental threat Ti=Targets factor category value for threat i.
score for a watershed. Multiply the environ- SF=Scaling factor.
mental threat factor category values for Table 5–1 outlines the specific calculation
likelihood of release, waste characteristics, procedure.
175
EC15NO91.158</MATH>
TABLE 5–1—SOIL EXPOSURE PATHWAY SCORESHEET

Maximum Value as-
Resident Population Threat

Likelihood of Exposure
1. Likelihood of Exposure ....................................................................................... 550 ll
176
EC02AU92.011</GPH>
TABLE 5–1—SOIL EXPOSURE PATHWAY SCORESHEET—Continued

Maximum Value as-
Waste Characteristics
2. Toxicity ............................................................................................................... (a) ll
3. Hazardous Waste Quantity ................................................................................ (a) ll
4. Waste Characteristics ........................................................................................ 100 ll
Targets
5. Resident Individual ............................................................................................. 50 ll
6. Resident Population:
6a. Level I Concentrations ......................................................................... (b) ll
6b. Level II Concentrations ........................................................................ (b) ll
6c. Resident Population (lines 6a + 6b) .................................................... (b) ll
7. Workers .............................................................................................................. 15 ll
8. Resources .......................................................................................................... 5 ll
9. Terrestrial Sensitive Environments .................................................................... (c) ll
10. Targets (lines 5 + 6c + 7 + 8 + 9) ..................................................................... (b) ll
Resident Population Threat Score
11. Resident Population Threat (lines 1×4× 10) ...................................................... (b) ll
Nearby Population Threat
Likelihood of Exposure
12. Attractiveness/Accessibility ................................................................................ 100 ll
13. Area of Contamination ....................................................................................... 100 ll
14. Likelihood of Exposure ....................................................................................... 500 ll
15. Toxicity ............................................................................................................... (a) ll
16. Hazardous Waste Quantity ................................................................................ (a) ll
17. Waste Characteristics ........................................................................................ 100 ll
Targets
18. Nearby Individual ................................................................................................ 1 ll
19. Population Within 1 Mile .................................................................................... (b) ll
20. Targets (lines 18 + 19) ....................................................................................... (b) ll
Nearby Population Threat Score
21. Nearby Population Threat (lines 14×17× 20) ..................................................... (b) ll
Soil Exposure Pathway Score
22. Soil Exposure Pathway Score d (Ss), (lines [11+21] / 82,500, subject to a
maximum of 100) .................................................................................................. 100 ll
c No specific maximum value applies to factor. However, pathway score based solely on terrestrial sensitive environments is
limited to maximum of 60.
d Do not round to nearest integer.
5.0.1 General considerations. Evaluate the tamination from the site and the area
soil exposure pathway based on areas of ob- lying between such locations to be an area
served contamination: of observed contamination, unless avail-
• Consider observed contamination to be able information indicates otherwise.
present at sampling locations where analytic • If an area of observed contamination (or
evidence indicates that: portion of such an area) is covered by a per-
–A hazardous substance attributable to the manent, or otherwise maintained, essen-
site is present at a concentration signifi- tially impenetrable material (for example,
cantly above background levels for the site asphalt) that is not more than 2 feet thick,
(see table 2–3 in section 2.3 for the criteria exclude that area (or portion of the area) in
for determining analytical significance), evaluating the soil exposure pathway.
and • For an area of observed contamination,
–This hazardous substance, if not present consider only those hazardous substances
at the surface, is covered by 2 feet or less that meet the criteria for observed contami-
of cover material (for example, soil). nation for that area to be associated with
• Establish areas of observed contamina- that area in evaluating the soil exposure
tion based on sampling locations at which pathway (see section 2.2.2).
there is observed contamination as follows: If there is observed contamination, assign
–For all sources except contaminated soil, scores for the resident population threat and
if observed contamination from the site is the nearby population threat, as specified in
present at any sampling location within sections 5.1 and 5.2. If there is no observed
the source, consider that entire source to contamination, assign the soil exposure
be an area of observed contamination. pathway a score of 0.
–For contaminated soil, consider both the 5.1 Resident Population Threat. Evaluate
sampling location(s) with observed con- the resident population threat only if there
177
is an area of observed contamination in one TABLE 5–2—HAZARDOUS WASTE QUANTITY
or more of the following locations: EVALUATION EQUATIONS FOR SOIL EXPOSURE
• Within the property boundary of a resi- PATHWAY—Continued
dence, school, or day care center and within
200 feet of the respective residence, school, or Equation
day care center, or Tier Measure Units for assign-
ing value a
• Within a workplace property boundary
and within 200 feet of a workplace area, or Bb Hazardous Wastestream lb W/5,000
• Within the boundaries of a resource spec- Quantity (W)
ified in section 5.1.3.4, or Cb Volume (V)
• Within the boundaries of a terrestrial Surface Impoundment c yd3 V/2.5
sensitive environment specified in section Drums d gallon V/500
5.1.3.5. Tanks and Containers yd3 V/2.5
Other Than Drums
If not, assign the resident population Db Area (A)
threat a value of 0, enter this value in table Landfill ft2 A/34,000
5–1, and proceed to the nearby population Surface Impoundment ft2 A/13
threat (section 5.2). Surface Impoundment ft2 A/13
5.1.1 Likelihood of exposure. Assign a value (Buried/backfilled)
of 550 to the likelihood of exposure factor Land treatment ft2 A/270
category for the resident population threat if Pile e ft2 A/34
Contaminated Soil ft2 A/34,000
there is an area of observed contamination
in one or more locations listed in section 5.1. a Do not round nearest integer.
b Convert volume to mass when necessary: 1 ton=2,000
Enter this value in table 5–1.
pounds=1 cubic yard=4 drums=200 gallons.
5.1.2 Waste characteristics. Evaluate waste c Use volume measure only for surface impoundments con-
characteristics based on two factors: toxicity taining hazardous substances present as liquids. Use area
and hazardous waste quantity. Evaluate only measures in Tier D for dry surface impoundments and for bur-
ied/backfilled surface impoundments.
those hazardous substances that meet the d If actual volume of drums is unavailable, assume 1
criteria for observed contamination at the drum=50 gallons.
site (see section 5.0.1). e Use land surface area under pile, not surface area of pile.
5.1.2.1 Toxicity. Assign a toxicity factor 5.1.2.3 Calculation of waste characteristics

value to each hazardous substance as speci- factor category value. Multiply the toxicity
fied in section 2.4.1.1. Use the hazardous sub- and hazardous waste quantity factor values,
stance with the highest toxicity factor value subject to a maximum product of 1×108.
to assign the value to the toxicity factor for Based on this product, assign a value from
the resident population threat. Enter this table 2–7 (section 2.4.3.1) to the waste charac-
value in table 5–1. teristics factor category. Enter this value in
5.1.2.2 Hazardous waste quantity. Assign a table 5–1.
hazardous waste quantity factor value as 5.1.3 Targets. Evaluate the targets factor
specified in section 2.4.2. In estimating the category for the resident population threat
hazardous waste quantity, use table 5–2 and: based on five factors: resident individual,
• Consider only the first 2 feet of depth of resident population, workers, resources, and
an area of observed contamination, except as terrestrial sensitive environments.
specified for the volume measure. In evaluating the targets factor category
• Use the volume measure (see section for the resident population threat, count
2.4.2.1.3) only for those types of areas of ob- only the following as targets:
served contamination listed in Tier C of • Resident individual—a person living or
table 5–2. In evaluating the volume measure attending school or day care on a property
for these listed areas of observed contamina- with an area of observed contamination and
tion, use the full volume, not just the vol- whose residence, school, or day care center,
ume within the top 2 feet. respectively, is on or within 200 feet of the
• Use the area measure (see section area of observed contamination.
2.4.2.1.4), not the volume measure, for all • Worker—a person working on a property
other types of areas of observed contamina- with an area of observed contamination and
tion, even if their volume is known. whose workplace area is on or within 200 feet
Enter the value assigned in table 5–1. of the area of observed contamination.
• Resources located on an area of observed
TABLE 5–2—HAZARDOUS WASTE QUANTITY contamination, as specified in section 5.1.
EVALUATION EQUATIONS FOR SOIL EXPOSURE • Terrestrial sensitive environments lo-
PATHWAY cated on an area of observed contamination,
as specified in section 5.1.
Equation 5.1.3.1 Resident individual. Evaluate this
Tier Measure Units for assign- factor based on whether there is a resident
ing value a
individual, as specified in section 5.1.3, who
A Hazardous Constituent lb C is subject to Level I or Level II concentra-

Quantity (C) tions.
178
First, determine those areas of observed 5.1.3.3 Workers. Evaluate this factor based
contamination subject to Level I concentra- on the number of workers that meet the sec-
tions and those subject to Level II con- tion 5.1.3 criteria. Assign a value for these
centrations as specified in sections 2.5.1 and workers using table 5–4. Enter this value in
2.5.2. Use the health-based benchmarks from table 5–1.
table 5–3 in determining the level of con-
tamination. Then assign a value to the resi- TABLE 5–4—FACTOR VALUES FOR WORKERS
dent individual factor as follows:
• Assign a value of 50 if there is at least Assigned
Number of workers value
one resident individual for one or more areas
subject to Level I concentrations. 0 ........................................................................... 0
• Assign a value of 45 if there is no such 1 to 100 ............................................................... 5
resident individuals, but there is at least one 101 to 1,000 ........................................................ 10
Greater than 1,000 .............................................. 15
resident individual for one or more areas
subject to Level II concentrations.
5.1.3.4 Resources. Evaluate the resources
• Assign a value of 0 if there is no resident
factor as follows:
individual.
• Assign a value of 5 to the resources fac-
Enter the value assigned in table 5–1. tor if one or more of the following is present
5.1.3.2 Resident population. Evaluate resi- on an area of observed contamination at the
dent population based on two factors: Level site:
I concentrations and Level II concentrations. –Commercial agriculture.
Determine which factor applies as specified –Commercial silviculture.
in sections 2.5.1 and 2.5.2, using the health- –Commercial livestock production or com-
based benchmarks from table 5–3. Evaluate mercial livestock grazing.
populations subject to Level I concentra- • Assign a value of 0 if none of the above
tions as specified in section 5.1.3.2.1 and pop- are present.
ulations subject to Level II concentrations Enter the value assigned in table 5–1.
as specified in section 5.1.3.2.2. 5.1.3.5 Terrestrial sensitive environments.
Assign value(s) from table 5–5 to each terres-
TABLE 5–3—HEALTH-BASED BENCHMARKS FOR
trial sensitive environment that meets the
HAZARDOUS SUBSTANCES IN SOILS
eligibility criteria of section 5.1.3.
• Screening concentration for cancer cor- Calculate a value (ES) for terrestrial sen-
responding to that concentration that cor- sitive environments as follows:
responds to the 10¥6 individual cancer risk
for oral exposures. n
• Screening concentration for noncancer ES = ∑ S i
toxicological responses corresponding to the i =1
Reference Dose (RfD) for oral exposures.
where:
Count only those persons meeting the cri- Si=Value(s) assigned from table 5–5 to terres-
teria for resident individual as specified in trial sensitive environment i.
section 5.1.3. In estimating the number of n=Number of terrestrial sensitive environ-
people living on property with an area of ob- ments meeting section 5.1.3 criteria.
served contamination, when the estimate in Because the pathway score based solely on
based on the number of residences, multiply terrestrial sensitive environments is limited
each residence by the average number of per- to a maximum of 60, determine the value for
sons per residence for the county in which the terrestrial sensitive environments factor
the residence is located. as follows:
5.1.3.2.1 Level I concentrations. Sum the
number of resident individuals subject to TABLE 5–5—TERRESTRIAL SENSITIVE
Level I concentrations and multiply this
ENVIRONMENTS RATING VALUES
sum by 10. Assign the resulting product as
the value for this factor. Enter this value in Assigned
Terrestrial sensitive environments
table 5–1. value
5.1.3.2.2 Level II concentrations. Sum the
Terrestrial critical habitat a for Federal des-
number of resident individuals subject to ignated endangered or threatened species ..... 100
Level II concentrations. Do not include those National Park
people already counted under the Level I Designated Federal Wilderness Area
concentrations factor. Assign this sum as National Monument
the value for this factor. Enter this value in Terrestrial habitat known to be used by Federal
table 5–1. designated or proposed threatened or endan-
gered species ................................................... 75
5.1.3.2.3 Calculation of resident population
National Preserve (terrestrial)
factor value. Sum the factor values for Level National or State Terrestrial Wildlife
I concentrations and Level II concentrations.
Refuge
Assign this sum as the resident population Federal land designated for protection
factor value. Enter this value in table 5–1. of natural ecosystems
179
EC15NO91.159</MATH>
TABLE 5–5—TERRESTRIAL SENSITIVE Do not consider areas of observed contami-

ENVIRONMENTS RATING VALUES—Continued nation that have an attractiveness/accessi-
bility factor value of 0 (see section 5.2.1.1) in
Terrestrial sensitive environments Assigned evaluating the nearby population threat.
value 5.2.1 Likelihood of exposure. Evaluate two
Administratively proposed Federal Wil-
factors for the likelihood of exposure factor
derness Area category for the nearby population threat:
Terrestrial areas utilized for breeding attractiveness/accessibility and area of con-
by large or dense aggregations of tamination.
animals b 5.2.1.1. Attractiveness/accessibility. Assign a
Terrestrial habitat known to be used by State value for attractiveness/accessibility from
designated endangered or threatened species 50 table 5–6 to each area of observed contamina-
Terrestrial habitat known to be used by
tion, excluding any land used for residences.
species under review as to its Fed-
eral designated endangered or Select the highest value assigned to the
threatened status areas evaluated and use it as the value for
State lands designated for wildlife or game man- the attractiveness/accessibility factor. Enter
agement ........................................................... 25 this value in table 5–1.
State designated Natural Areas 5.2.1.2 Area of contamination. Evaluate
Particular areas, relatively small in size, area of contamination based on the total
important to maintenance of unique area of the areas of observed contamination
biotic communities
at the site. Count only the area(s) that meet
a Critical habitat as defined in 50 CFR 424.02. the criteria in section 5.0.1 and that receive
b Limit to vertebrate species. an attractiveness/accessibility value greater
• Multiply the values assigned to the resi- than 0. Assign a value to this factor from
dent population threat for likelihood of ex- table 5–7. Enter this value in table 5–1.
posure (LE), waste characteristics (WC), and
ES. Divide the product by 82,500. TABLE 5–6—ATTRACTIVENESS/ACCESSIBILITY
–If the result is 60 or less, assign the value
VALUES
ES as the terrestrial sensitive environ- Assigned
ments factor value. Area of observed contamination value
–If the result exceeds 60, calculate a value
EC as follows: Designated recreational area ................................ 100
Regularly used for public recreation (for example,
fishing, hiking, softball) ...................................... 75
(60)(82,500)
EC = Accessible and unique recreational area (for ex-
( LE )( WC) ample, vacant lots in urban area) ...................... 75
Moderately accessible (may have some access
Assign the value EC as the terrestrial sen- improvements—for example, gravel road), with
sitive environments factor value. Do not some public recreation use ................................ 50
round this value to the nearest interger. Slightly accessible (for example, extremely rural
Enter the value assigned for the terrestrial area with no road improvement), with some
public recreation use .......................................... 25
sensitive environments factor in table 5–1.
Accessible, with no public recreation use ............. 10
5.1.3.6 Calculation of resident population Surrounded by maintained fence or combination
targets factor category value. Sum the values of maintained fence and natural barriers ........... 5
for the resident individual, resident popu- Physically inaccessible to public, with no evi-
lation, workers, resources, and terrestrial dence of public recreation use .......................... 0
sensitive environments factors. Do not round
to the nearest integer. Assign this sum as
the targets factor category value for the TABLE 5–7—AREA OF CONTAMINATION FACTOR
resident population threat. Enter this value VALUES
in table 5–1.
5.1.4 Calculation of resident population Total area of the areas of observed contamina- Assigned
tion (square feet) value
threat score. Multiply the values for likeli-
hood of exposure, waste characteristics, and Less than or equal to 5,000 .................................. 5
targets for the resident population threat, Greater than 5,000 to 125,000 .............................. 20
and round the product to the nearest integer. Greater than 125,000 to 250,000 .......................... 40
Assign this product as the resident popu- Greater than 250,000 to 375,000 .......................... 60
lation threat score. Enter this score in table Greater than 375,000 to 500,000 .......................... 80
5–1. Greater than 500,000 ............................................ 100
5.2 Nearby population threat. Include in the
nearby population only those individuals 5.2.1.3 Likelihood of exposure factor category
who live or attend school within a 1-mile value. Assign a value from Table 5–8 to the
travel distance of an area of observed con- likelihood of exposure factor category, based
tamination at the site and who do not meet on the values assigned to the attractiveness/
the criteria for resident individual as speci- accessibility and area of contamination fac-
fied in section 5.1.3. tors. Enter this value in table 5–1.
180
EC15NO91.160</MATH>
TABLE 5–8—NEARBY POPULATION LIKELIHOOD riers to travel, measure the travel distance
OF EXPOSURE FACTOR VALUES as the shortest straight-line distance from
the residence or school to the area of ob-
Attractiveness/accessibility fac- served contamination. If natural barriers
Area of contamination factor value exist (for example, a river), measure the
tor value
100 75 50 25 10 5 0 travel distance as the shortest straight-line
distance from the residence or school to the
100 .................................... 500 500 375 250 125 50 0 nearest crossing point and from there as the
80 .................................... 500 375 250 125 50 25 0 shortest straight-line distance to the area of
60 .................................... 375 250 125 50 25 5 0
40 .................................... 250 125 50 25 5 5 0
observed contamination. Based on the short-
20 .................................... 125 50 25 5 5 5 0 est travel distance, assign a value from table
5 ..................................... 50 25 5 5 5 5 0 5–9 to the nearest individual factor. Enter
5.2.2 Waste characteristics. Evaluate waste
characteristics based on two factors: toxicity TABLE 5–9—NEARBY INDIVIDUAL FACTOR
and hazardous waste quantity. Evaluate only VALUES
those hazardous substances that meet the
criteria for observed contamination (see sec- Travel distance for nearby individual (miles) Assigned
tion 5.0.1) at areas that can be assigned an value
attractiveness/accessibility factor value
Greater than 0 to 1⁄4 ............................................ 1a
greater than 0. Greater than 1⁄4 to 1 ............................................ 0
5.2.2.1 Toxicity. Assign a toxicity factor
a Assign a value of 0 if one or more persons meet the sec-
value as specified in section 2.4.1.1 to each
hazardous substance meeting the criteria in tion 5.1.3 criteria for resident individual.
section 5.2.2. Use the hazardous substance 5.2.3.2 Population within 1 mile. Determine
with the highest toxicity factor value to as- the population within each travel distance
sign the value to the toxicity factor for the category of table 5–10. Count residents and
nearby population threat. Enter this value in students who attend school within this trav-
table 5–1. el distance. Do not include those people al-
5.2.2.2 Hazardous waste quantity. Assign a ready counted in the resident population
value to the hazardous waste quantity factor threat. Determine travel distances as speci-
as specified in section 5.1.2.2, except: con- fied in section 5.2.3.1.
sider only those areas of observed contami- In estimating residential population, when
nation that can be assigned an the estimate is based on the number of resi-
attractiveness/accessibility factor value dences, multiply each residence by the aver-
greater than 0. Enter the value assigned in
age number of persons per residence for the
table 5–1.
county in which the residence is located.
5.2.2.3 Calculation of waste characteristics
Based on the number of people included
factor category value. Multiply the toxicity
and hazardous waste quantity factor values, within a travel distance category, assign a
subject to a maximum product of 1×108. distance-weighted population value for that
Based on this product, assign a value from travel distance from table 5–10.
table 2–7 (section 2.4.3.1) to the waste charac- Calculate the value for the population
teristics factor category. Enter this value in within 1 mile factor (PN) as follows:
table 5–1.
1 3
∑ Wi
5.2.3 Targets. Evaluate the targets factory
category for the nearby population threat PN =
based on two factors: nearby individual and 10 i =1
population within a 1-mile travel distance
where:
from the site.
5.2.3.1 Nearby individual. If one or more Wi=Distance-weighted population value from
persons meet the section 5.1.3 criteria for a table 5–10 for travel distance category i.
resident individual, assign this factor a value If PN is less than 1, do not round it to the
of 0. Enter this value in table 5–1. nearest integer; if PN is 1 or more, round to
If no person meets the criteria for a resi- the nearest integer. Enter this value in table
dent individual, determine the shortest trav- 5–1.
el distance from the site to any residence or 5.2.3.3 Calculation of nearby population tar-
school. In determining the travel distance, gets factor category value. Sum the values for
measure the shortest overland distance an the nearby individual factor and the popu-
individual would travel from a residence or lation within 1 mile factor. Do not round
school to the nearest area of observed con- this sum to the nearest integer. Assign this
tamination for the site with an sum as the targets factor category value for
attractiveness/accessibility factor value the nearby population threat. Enter this
greater than 0. If there are no natural bar- value in table 5–1.
181
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TABLE 5–10—DISTANCE-WEIGHTED POPULATION VALUES FOR NEARBY POPULATION THREAT A

Number of people within the travel distance category
Travel distance category 11 31 101 301 1,001 3,001 10,001 30,001 100,001 300,001
(miles) 1 to
0 to to to to to to to to to to
10 30 100 300 1,000 3,000 10,000 30,000 100,000 300,000 1,000,000
Greater than 0 to 1⁄4 ............. 0 0.1 0.4 1.0 4 13 41 130 408 1,303 4,081 13,034
Greater than 1⁄4 to 1⁄2 ........... 0 0.05 0.2 0.7 2 7 20 65 204 652 2,041 6,517
Greater than 1⁄2 to 1 ............. 0 0.02 0.1 0.3 1 3 10 33 102 326 1,020 3,258
a Round the number of people present within a travel distance category to nearest integer. Do not round the assigned dis-
tance-weighted population value to nearest integer.
5.2.4 Calculation of nearby population threat Figure 6–1 indicates the factors included
score. Multiply the values for likelihood of within each factor category.
exposure, waste characteristics, and targets Determine the air migration pathway
for the nearby population threat, and round score (Sa) in terms of the factor category val-
the product to the nearest integer. Assign ues as follows:
this product as the nearby population threat
score. Enter this score in table 5–1. ( LR )( WC)(T )
5.3 Calculation of soil exposure pathway Sa =
score. Sum the resident population threat SF
score and the nearby population threat where:
score, and divide the sum by 82,500. Assign
the resulting value, subject to a maximum of LR=Likelihood of release factor category
100, as the soil exposure pathway score (Ss). value.
Enter this score in table 5–1. WC=Waste characteristics factor category
value.
6.0 Air Migration Pathway T=Targets factor category value.
Evaluate the air migration pathway based SF=Scaling factor.
on three factor categories: likelihood of re- Table 6–1 outlines the specific calculation
lease, waste characteristics, and targets. procedure.
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TABLE 6–1—AIR MIGRATION PATHWAY SCORESHEET

Maximum Value as-
Likelihood of Release
1. Observed Release ............................................................................................................ 550 ll
ll
2a. Gas Potential to Release ................................................................................... 500

2b. Particulate Potential to Release ......................................................................... 500 ll
2c. Potential to Release (higher of lines 2a and 2b) ............................................... 500 ll
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TABLE 6–1—AIR MIGRATION PATHWAY SCORESHEET—Continued

Maximum Value as-
3. Likelihood of Release (higher of lines 1 and 2c) ............................................................. 550 ll

4. Toxicity/Mobility ................................................................................................................. (a) ll
5. Hazardous Waste Quantity ............................................................................................... (a) ll
6. Waste Characteristics ....................................................................................................... 100 ll
Targets
7. Nearest Individual ............................................................................................................. 50 ll
8. Population:
8a. Level I Concentrations ....................................................................................... (b) ll
8b. Level II Concentrations ...................................................................................... (b) ll
8c. Potential Contamination ..................................................................................... (b) ll
8d. Population (lines 8a+8b+8c) .............................................................................. (b) ll
9. Resources ......................................................................................................................... 5 ll
10. Sensitive Environments
10a. Actual Contamination ....................................................................................... (c) ll
10b. Potential Contamination ................................................................................... (c) ll
10c. Sensitive Environments (lines 10a+10b) .......................................................... (c) ll
11. Targets (lines 7+8d+9+10c) ............................................................................................. (b) ll
Air Migration Pathway Score
12. Pathway Score (Sa) [(lines 3×6×11)/82,500] d .................................................................. 100 ll
c No specific maximum value applies to factor. However, pathway score based solely on sensitive environments is limited to
maximum of 60.
d Do not round to nearest integer.
6.1 Likelihood of Release. Evaluate the like- to section 6.1.3. If an observed release cannot
lihood of release factor category in terms of be established, assign an observed release
an observed release factor or a potential to factor value of 0, enter this value in table 6–
release factor. 1, and proceed to section 6.1.2.
6.1.1 Observed release. Establish an ob- 6.1.2 Potential to release. Evaluate poten-
served release to the atmosphere by dem- tial to release only if an observed release
onstrating that the site has released a haz- cannot be established. Determine the poten-
ardous substance to the atmosphere. Base tial to release factor value for the site by
this demonstration on either: separately evaluating the gas potential to
• Direct observation—a material (for ex- release and the particulate potential to re-
ample, particulate matter) that contains one lease for each source at the site. Select the
or more hazardous substances has been seen highest potential to release value (either gas
entering the atmosphere directly. When evi- or particulate) calculated for the sources
dence supports the inference of a release of a evaluated and assign that value as the site
material that contains one or more haz- potential to release factor value as specified
ardous substances by the site to the atmos- below.
phere, demonstrated adverse effects accumu- 6.1.2.1 Gas potential to release. Evaluate
lated with that release may be used to estab- gas potential to release for those sources
lish an observed release. that contain gaseous hazardous substances—
• Chemical analysis—an analysis of air that is, those hazardous substances with a
samples indicates that the concentration of vapor pressure greater than or equal to 10¥9
ambient hazardous substance(s) has in- torr.
creased significantly above the background Evaluate gas potential to release for each
concentration for the site (see section 2.3). source based on three factors: gas contain-
Some portion of the significant increase ment, gas source type, and gas migration po-
must be attributable to the site to establish tential. Calculate the gas potential to re-
the observed release. lease value as illustrated in table 6–2. Com-
If an observed release can be established, bine sources with similar characteristics
assign an observed release factor value of into a single source in evaluating the gas po-
550, enter this value in table 6–1, and proceed tential to release factors.
184
TABLE 6–2—GAS POTENTIAL TO RELEASE EVALUATION

Gas con- Gas migra-
Gas source
Source tainment tion poten- Gas source
Source type factor Sum
type a factor tial factor value
value c
value b value d
A B C (B+C) A(B+C)
1. ........................................................... .................... .................... .................... .................... .................... ....................
2. ........................................................... .................... .................... .................... .................... .................... ....................
3. ........................................................... .................... .................... .................... .................... .................... ....................
4. ........................................................... .................... .................... .................... .................... .................... ....................
5. ........................................................... .................... .................... .................... .................... .................... ....................
6. ........................................................... .................... .................... .................... .................... .................... ....................
7. ........................................................... .................... .................... .................... .................... .................... ....................
8. ........................................................... .................... .................... .................... .................... .................... ....................
Gas Potential to Release Factor (Select the Highest Gas Source Value)
a Enter a Source Type listed in table 6–4.

b Enter Gas Containment Factor Value from section 6.1.2.1.1.
c Enter Gas Source Type Factor Value from section 6.1.2.1.2.
d Enter Gas Migration Potential Factor Value from section 6.1.2.1.3.
6.1.2.1.1 Gas containment. Assign each value of 10 if there is evidence of biogas re-
source a value from table 6–3 for gas contain- lease or if there is an active fire within the
ment. Use the lowest value from table 6–3 source.
that applies to the source, except: assign a
TABLE 6–3—GAS CONTAINMENT FACTOR VALUES
Assigned
Gas containment description value
All situations except those specifically listed below ........................................................................................................ 10

Evidence of biogas release ............................................................................................................................................. 10 a
Active fire within source .................................................................................................................................................. 10 a
Gas collection/treatment system functioning, regularly inspected, maintained, and completely covering source ......... 0
Source substantially surrounded by engineering windbreak and no other containment specifically described in this
table applies ................................................................................................................................................................. 7
Source covered with essentially impermeable, regularly inspected, maintained cover ................................................. 0
Uncontaminated soil cover >3 feet:
• Source substantially vegetated with little exposed soil ........................................................................................ 0
• Source lightly vegetated with much exposed soil ................................................................................................ 3
• Source substantially devoid of vegetation ............................................................................................................ 7
Uncontaminated soil cover ≥1 foot and ≥3 feet:
• Source heavily vegetated with essentially no exposed soil.
—Cover soil type resistant to gas migration b .................................................................................................. 3
—Cover soil type not resistant to gas migration b or unknown ........................................................................ 7
• Source substantially vegetated with little exposed soil and cover soil type resistant to gas migration b ............ 7
• Other ..................................................................................................................................................................... 10
Uncontaminated soil cover <1 foot:
• Source heavily vegetated with essentially no exposed soil and cover soil type resistant to gas migration b ..... 7
• Other ..................................................................................................................................................................... 10
Totally or partially enclosed within structurally intact building and no other containment specifically described in this
table applies ................................................................................................................................................................. 7
Source consists solely of intact, sealed containers:
• Totally protected from weather by regularly inspected, maintained cover .......................................................... 0
• Other ..................................................................................................................................................................... 3
a This value must be used if applicable.
b Consider moist fine-grained and saturated coarse-grained soils resistant to gas migration. Consider all other soils
nonresistant.
6.1.2.1.2 Gas source type. Assign a value for • If the source meets the minimum size re-
gas source type to each source as follows: quirement, assign it a value from table 6–4
• Determine if the source meets the min- for gas source type.
imum size requirement based on the source • If the source does not meet the minimum
hazardous waste quantity value (see section size requirement, assign it a value of 0 for
2.4.2.1.5). If the source receives a source haz-
gas source type.
ardous waste quantity value of 0.5 or more,
consider the source to meet the minimum If no source at the site meets the minimum
size requirement. size requirement, assign each source at the
185
site a value from table 6–4 for gas source –Based on this average value, assign the
type. source a gas migration potential value
from table 6–7.
TABLE 6–4—SOURCE TYPE FACTOR VALUES
TABLE 6–5—VALUES FOR VAPOR PRESSURE
Assigned AND HENRY’S CONSTANT
value
Source type Assigned
Par- Vapor pressure (Torr)
Gas ticu- value
late
Greater than 10 ................................................... 3
Active fire area ................................................ 14 30 Greater than 10¥3 to 10 ...................................... 2
Burn pit ............................................................ 19 22 10¥5 to 10¥3 ....................................................... 1
Containers or tanks (buried/below-ground): Less than 10¥5 .................................................... 0
• Evidence of biogas release .................. 33 22
• No evidence of biogas release ............. 11 22 Assigned
Containers or tanks, not elsewhere specified 28 14 Henry’s constant (atm-m3/mol) value
Contaminated soil (excluding land treatment) 19 22
Landfarm/land treatment ................................. 28 22 Greater than 10¥3 ............................................... 3
Landfill: Greater than 10¥5 to 10¥3 ................................. 2
• Evidence of biogas release .................. 33 22 10¥7 to 10¥5 ....................................................... 1
• No evidence of biogas release ............. 11 22 Less than 10¥7 .................................................... 0
Pile:
• Tailings pile ........................................... 6 28
• Scrap metal or junk pile ....................... 6 17 TABLE 6–6—GAS MIGRATION POTENTIAL
• Trash pile .............................................. 6 6 VALUES FOR A HAZARDOUS SUBSTANCE
• Chemical waste pile ............................. 11 28
• Other waste piles .................................. 17 28 Sum of values for vapor pressure and Henry’s Assigned
Surface impoundments (buried/backfilled): constant value
• Evidence of biogas release .................. 33 22
• No evidence of biogas release ............. 11 22 0 ........................................................................... 0
Surface impoundment (not buried/backfilled): 1 or 2 ................................................................... 6
• Dry ........................................................ 19 22 3 or 4 ................................................................... 11
• Other ..................................................... 28 0 5 or 6 ................................................................... 17
Other types of sources, not elsewhere speci-
fied ............................................................... 0 0
TABLE 6–7—GAS MIGRATION POTENTIAL
6.1.2.1.3 Gas migration potential. Evaluate VALUES FOR THE SOURCE
this factor for each source as follows:
• Assign a value for gas migration poten- Average of gas migration potential values for Assigned
three hazardous substances a value
tial to each of the gaseous hazardous sub-
stances associated with the source (see sec- 0 to < 3 ................................................................ 0
tion 2.2.2) as follows: 3 to < 8 ................................................................ 6
–Assign values from table 6–5 for vapor 8 to < 14 .............................................................. 11
pressure and Henry’s constant to each haz- 14 to 17 ............................................................... 17
ardous substance. If Henry’s constant can- a If fewer than three hazardous substances can be associ-
not be determined for a hazardous sub- ated with the source, compute the average based only on
those hazardous substances that can be associated.
stance, assign that hazardous substance a
value of 2 for the Henry’s constant compo- 6.1.2.1.4 Calculation of gas potential to re-
nent. lease value. Determine the gas potential to
–Sum the two values assigned to the haz- release value for each source as illustrated in
ardous substance. table 6–2. For each source, sum the gas
–Based on this sum, assign the hazardous source type factor value and gas migration
substance a value from table 6–6 for gas potential factor value and multiply this sum
migration potential. by the gas containment factor value. Select
• Assign a value for gas migration poten- the highest product calculated for the
tial to each source as follows: sources evaluated and assign it as the gas po-
–Select three hazardous substances associ- tential to release value for the site. Enter
ated with the source: this value in table 6–1.
–If more than three gaseous hazardous 6.1.2.2 Particulate potential to release.
substances can be associated with the Evaluate particulate potential to release for
source, select three that have the highest those sources that contain particulate haz-
gas migration potential values. ardous substances—that is, those hazardous
–If fewer than three gaseous hazardous substances with a vapor pressure less than or
substances can be associated with a equal to 10¥1 torr.
source, select all of them. Evaluate particulate potential to release
–Average the gas migration potential val- for each source based on three factors: par-
ues assigned to the selected hazardous sub- ticulate containment, particulate source
stances. type, and particulate migration potential.
186
Calculate the particulate potential to re- 6.1.2.2.2 Particulate source type. Assign a
lease value as illustrated in table 6–8. Com- value for particulate source type to each
bine sources with similar characteristics source in the same manner as specified for
into a single source in evaluating the partic- gas sources in section 6.1.2.1.2.
ulate potential to release factors. 6.1.2.2.3 Particulate migration potential.
6.1.2.2.1 Particulate containment. Assign Based on the site location, assign a value
each source a value from table 6–9 for partic- from Figure 6–2 for particulate migration po-
ulate containment. Use the lowest value tential. Assign this same value to each
from table 6–9 that applies to the source. source at the site.
TABLE 6–8—PARTICULATE POTENTIAL TO RELEASE EVALUATION
Particulate
Particulate Particulate migration Particulate
Source containment
Source type factor potential Sum source
type a factor value c factor value
value b value d
A B C (B+C) A (B+C)
1. ........................................................... .................... .................... .................... .................... .................... ....................
2. ........................................................... .................... .................... .................... .................... .................... ....................
3. ........................................................... .................... .................... .................... .................... .................... ....................
4. ........................................................... .................... .................... .................... .................... .................... ....................
5. ........................................................... .................... .................... .................... .................... .................... ....................
6. ........................................................... .................... .................... .................... .................... .................... ....................
7. ........................................................... .................... .................... .................... .................... .................... ....................
8. ........................................................... .................... .................... .................... .................... .................... ....................
Particulate Potential to Release Factor Value (Select Highest Particulate Source Value)
a Enter a Source Type listed in table 6–4.

b Enter Particulate Containment Factor Value from section 6.1.2.2.1.
c Enter Particulate Source Type Factor Value from section 6.1.2.2.2.
d Enter Particulate Migration Potential Factor Value from section 6.1.2.2.3.
TABLE 6–9—PARTICULATE CONTAINMENT FACTOR VALUES

Assigned
Particulate containment description value
All situations except those specifically listed below ........................................................................................................ 10

Source contains only particulate hazardous substances totally covered by liquids ....................................................... 0
Source substantially surrounded by engineered windbreak and no other containment specifically described in this
table applies ................................................................................................................................................................. 7
Source covered with essentially impermeable, regularly inspected, maintained cover ................................................. 0
Uncontaminated soil cover > 3 feet:
• Source substantially vegetated with little or no exposed soil .............................................................................. 0
• Source lightly vegetated with much exposed soil ................................................................................................ 3
• Source substantially devoid of vegetation ............................................................................................................ 7
Uncontaminated soil cover ≥ 1 foot and ≤ 3 feet:
• Source heavily vegetated with essentially no exposed soil:
—Cover soil type resistant to gas migration a .................................................................................................. 3
—Cover soil type not resistant to gas migration a or unknown ........................................................................ 7
• Source substantially vegetated with little exposed soil and cover soil type resistant to gas migration a ............ 7
• Other ..................................................................................................................................................................... 10
Uncontaminated soil cover < 1 foot:
• Source heavily vegetated with essentially no exposed soil and cover soil type resistant to gas migration a ..... 7
• Other ..................................................................................................................................................................... 10
Totally or partially enclosed within structurally intact building and no other containment specifically described in this
table applies ................................................................................................................................................................. 7
Source consists solely of containers:
• All containers contain only liquids ........................................................................................................................ 0
• All containers intact, sealed, and totally protected from weather by regularly inspected, maintained cover ...... 0
• All containers intact and sealed ........................................................................................................................... 3
• Other ..................................................................................................................................................................... 10
a Consider moist fine-grained and saturated coarse-grained soils resistant to gas migration. Consider all other soils
nonresistant.
187
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FIGURE 6–2—PARTICULATE MIGRATION Pi=Mean monthly precipitation for month i,

POTENTIAL FACTOR VALUES—CONCLUDED in inches.
Ti=Mean monthly temperature for month i,
Particulate in degrees Fahrenheit; for any month hav-
migration ing a mean monthly temperature less than
Location potential as-
signed 28.4 °F, use 28.4 °F.
value Based on the calculated Thornthwaite P-E
index, assign a source particulate migration
Hawaiian Islands
Hilo, Hawaii ................................................ 0
potential value to the site from table 6–10.
Honolulu, Oahu .......................................... 17 Assign this same value to each source at the
Kahului, Maui .............................................. 17 site.
Lanai ........................................................... 17
Lihue, Kauai ............................................... 11 TABLE 6–10—PARTICULATE MIGRATION
Molokai ....................................................... 17
Pacific Islands
POTENTIAL VALUES
Guam .......................................................... 6
Assigned
Johnston Island .......................................... 17 Thornthwaite P-E Index value
Koror Island ................................................ 0
Kwajalein Island ......................................... 6 Greater than 150 ................................................... 0
Mujuro, Marshall Islands ............................ 0 85 to 150 ............................................................... 6
Pago Pago, American Samoa .................... 0
50 to less than 85 .................................................. 11
Ponape Island ............................................ 0
Less than 50 .......................................................... 17
Truk, Caroline Islands ................................ 0
Wake Island ................................................ 17
Yap Island .................................................. 0 6.1.2.2.4 Calculation of particulate potential
Alaska to release value. Determine the particulate
Anchorage .................................................. 17 potential to release value for each source as
Annette ....................................................... 0 illustrated in table 6–8. For each source, sum
Barrow ........................................................ 17
Barter Island ............................................... 17
its particulate source type factor value and
Bethel ......................................................... 17 particulate migration potential factor value
Bettles ......................................................... 17 and multiply this sum by its particulate con-
Big Delta ..................................................... 17 tainment factor value. Select the highest
Cold Bay ..................................................... 6 product calculated for the sources evaluated
Fairbanks .................................................... 17 and assign it as the particulate potential to
Gulkana ...................................................... 17
Homer ......................................................... 11
release value for the site. Enter the value in
Juneau ........................................................ 0 table 6–1.
King Salmon ............................................... 11 6.1.2.3 Calculation of potential to release fac-
Kodiak ......................................................... 0 tor value for the site. Select the higher of the
Kutzebue .................................................... 17 gas potential to release value assigned in
McGrath ...................................................... 17 section 6.1.2.1.4 and the particulate potential
Nome .......................................................... 11
to release value assigned in section 6.1.2.2.4.
St. Paul Island ............................................ 11
Talkeetna .................................................... 6 Assign the value selected as the site poten-
Unalakleet ................................................... 17 tial to release factor value. Enter this value
Valdez ......................................................... 0 in table 6–1.
Yakutat ....................................................... 0 6.1.3 Calculation of likelihood of release fac-
American Virgin Islands tor category value. If an observed release is
St. Croix ...................................................... 17
established, assign the observed release fac-
St. John ...................................................... 11
St. Thomas ................................................. 11 tor value of 550 as the likelihood of release
Puerto Rico factor category value. Otherwise, assign the
Arecibo ....................................................... 6 site potential to release factor value as the
Coloso ........................................................ 6 likelihood of release factor category value.
Fajardo ....................................................... 11 Enter the value in table 6–1.
Humacao .................................................... 6
6.2 Waste characteristics. Evaluate the
Isabela Station ............................................ 11
Ponce ......................................................... 17 waste characteristics factor category based
San Juan .................................................... 11 on two factors: toxicity/mobility and haz-
ardous waste quantity. Evaluate only those
For site locations not on Figure 6–2, and hazardous substances available to migrate
for site locations near the boundary points from the sources at the site to the atmos-
on Figure 6–2, assign a value as follows. phere. Such hazardous substances include:
First, calculate a Thornthwaite P-E index • Hazardous substances that meet the cri-
using the following equation: teria for an observed release to the atmos-
phere.
12 • All gaseous hazardous substances associ-
PE = ∑ 115 Pi /(Ti − 10) [ ]
10/9
ated with a source that has a gas contain-
ment factor value greater than 0 (see section
i =1 2.2.2, 2.2.3, and 6.1.2.1.1).
where: • All particulate hazardous substances as-

PE=Thornthwaite P-E index. sociated with a source that has a particulate
189
EC15NO91.163</MATH>
containment factor value greater than 0 (see –Calculate a value M:
section 2.2.2, 2.2.3, and 6.1.2.2.1). M=0.0182 (U3/[PE]2)
6.2.1 Toxicity/mobility. For each hazardous where:
substance, assign a toxicity factor value, a
mobility factor value, and a combined tox- U=Mean average annual wind speed (meters
icity/mobility factor value as specified per second).
below. Select the toxicity/mobility factor PE=Thornthwaite P-E index from section
value for the air migration pathway as speci- 6.1.2.2.3.
fied in section 6.2.1.3. –Based on the value M, assign a mobility
6.2.1.1 Toxicity. Assign a toxicity factor factor value from table 6–12 to each par-
value to each hazardous substance as speci- ticulate hazardous substance.
fied in section 2.4.1.1. • Gaseous and particulate hazardous sub-
6.2.1.2 Mobility. Assign a mobility factor stances.
value to each hazardous substance as fol- –For a hazardous substance potentially
lows: present in both gaseous and particulate
• Gaseous hazardous substance. forms, select the higher of the factor val-
–Assign a mobility factor value of 1 to each ues for gas mobility and particulate mobil-
gaseous hazardous substance that meets ity for that substance and assign that
the criteria for an observed release to the value as the mobility factor value for the
atmosphere. hazardous substance.
–Assign a mobility factor value from table 6.2.1.3 Calculation of toxicity/mobility factor
6–11, based on vapor pressure, to each gas- value. Assign each hazardous substance a
eous hazardous substance that does not toxicity/mobility factor value from table 6–
meet the criteria for an observed release. 13, based on the values assigned to the haz-
• Particulate hazardous substance. ardous substance for the toxicity and mobil-
–Assign a mobility factor value of 0.02 to ity factors. Use the hazardous substance
each particulate hazardous substance that with the highest toxicity/mobility factor
meets the criteria for an observed release value to assign the value to the toxicity/mo-
to the atmosphere. bility factor for the air migration pathway.
–Assign a mobility factor value from Fig- Enter this value in table 6–1.
ure 6–3, based on the site’s location, to
each particulate hazardous substance that TABLE 6–11—GAS MOBILITY FACTOR VALUES
does not meet the criteria for an observed
release. (Assign all such particulate haz- Assigned
Vapor pressure (Torr) value a
ardous substances this same value.)
–For site locations not on Figure 6–3 and Greater than 10¥1 ............................................. 1.0
for site locations near the boundary points Greater than 10¥3 to 10¥1 ............................... 0.2
on Figure 6–3, assign a mobility factor Greater than 10¥5 to 10¥3 ............................... 0.02
value to each particulate hazardous sub- Greater than 10¥7 to 10¥5 ............................... 0.002
Less than or equal to 10¥7 ............................... 0.0002
stance that does not meet the criteria for
an observed release as follows: a Do not round to nearest integer.
190
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193
EC02AU92.016</GPH>
FIGURE 6–3—PARTICULATE MOBILITY FACTOR TABLE 6–12—PARTICULATE MOBILITY FACTOR

VALUES—CONCLUDED VALUES
Particulated Assigned
mobility as- M
Location value a
signed
value
Greater than 1.4×10¥2 ........................................ 0.02
Pacific Islands Greater than 4.4×10¥3 to 1.4×10¥2 ................... 0.008
Guam ........................................................... 0.0002 Greater than 1.4×10¥3 to 4.4×10¥3 ................... 0.002
Johnston Island ........................................... 0.002 Greater than 4.4×10¥4 to 1.4×10¥3 ................... 0.0008
Koror Island ................................................. 0.00008 Greater than 1.4×10¥4 to 4.4×10¥4 ................... 0.0002
Kwajalein Island .......................................... 0.0002 Greater than 4.4×10¥5 to 1.4×10¥4 ................... 0.00008
Mujuro, Marshall Islands ............................. 0.00008 Less than or equal to 4.4×10¥5 .......................... 0.00002
Pago Pago, American Samoa ..................... 0.00008
Ponape Island ............................................. 0.00002 a Do not round to nearest integer.
Truk, Caroline Islands ................................. 0.00008
Wake Island ................................................. 0.002
Yap Island ................................................... 0.00008
American Virgin Islands
St. Croix ....................................................... 0.0008
St. John ....................................................... 0.0002
St. Thomas .................................................. 0.0002
TABLE 6–13—TOXICITY/MOBILITY FACTOR VALUES A

Mobility factor value
10,000 1,000 100 10 1 0
1.0 ......................................................................................................... 10,000 1,000 100 10 1 0

0.2 ......................................................................................................... 2,000 200 20 2 0.2 0
0.02 ....................................................................................................... 200 20 2 0.2 0.02 0
0.008 ..................................................................................................... 80 8 0.8 0.08 0.008 0
0.002 ..................................................................................................... 20 2 0.2 0.02 0.002 0
0.0008 ................................................................................................... 8 0.8 0.08 0.008 0.0008 0
0.0002 ................................................................................................... 2 0.2 0.02 0.002 0.0002 0
0.00008 ................................................................................................. 0.8 0.08 0.008 0.0008 0.00008 0
0.00002 ................................................................................................. 0.2 0.02 0.002 0.0002 0.00002 0
6.2.2 Hazardous waste quantity. Assign a contamination. Determine which applies to a

hazardous waste quantity factor value for target population as follows.
the air migration pathway as specified in If no samples meet the criteria for an ob-
section 2.4.2. Enter this value in table 6–1. served release to air and if there is no ob-
6.2.3 Calculation of waste characteristics served release by direct observation, con-
factor category value. Multiply the toxicity/ sider the entire population within the 4-mile
mobility factor value and the hazardous target distance limit to be subject to poten-
waste quantity factor value, subject to a tial contamination.
maximum product of 1×108. Based on this If one or more samples meet the criteria
product, assign a value from table 2–7 (sec- for an observed release to air or if there is an
tion 2.4.3.1) to the waste characteristics fac- observed release by direct observation,
tor category. Enter this value in table 6–1. evaluate the population as follows:
• Determine the most distant sample loca-
6.3 Targets.
tion that meets the criteria for Level I con-
Evaluate the targets factor category based centrations as specified in sections 2.5.1 and
on four factors: nearest individual, popu- 2.5.2 and the most distant location (that is,
lation, resources, and sensitive environ- sample location or direct observation loca-
ments. Include only those targets (for exam- tion) that meets the criteria for Level II con-
ple, individuals, sensitive environments) lo- centrations. Use the health-based bench-
cated within the 4-mile target distance marks from table 6–14 in determining the
limit, except: if an observed release is estab- level of contamination for sample locations.
lished beyond the 4-mile target distance If the most distant Level II location is closer
limit, include those additional targets that to a source than the most distant Level I
are specified below in this section and in sec- sample location, do not consider the Level II
tion 6.3.4. location.
Evaluate the nearest individual and popu- • Determine the single most distant loca-
lation factors based on whether the target tion (sample location or direct observation
populations are subject to Level I concentra- location) that meets the criteria for Level I
tions, Level II concentrations, or potential or Level II concentrations.
194
• If this single most distant location is TABLE 6–15—AIR MIGRATION PATHWAY
within the 4-mile target distance limit, iden- DISTANCE WEIGHTS
tify the distance categories from table 6–15
in which the selected Level I concentrations Assigned
Distance category (miles) distance
sample and Level II concentrations sample weight a
(or direct observation location) are located:
0 ......................................................................... 1.0
–Consider the target population anywhere Greater than 0 to 1⁄4 .......................................... 0.25
within this furthest Level I distance cat- Greater than 1⁄4 to 1⁄2 ........................................ 0.054
egory, or anywhere within a distance cat- Greater than 1⁄2 to 1 .......................................... 0.016
egory closer to a source at the site, as sub- Greater than 1 to 2 ............................................ 0.0051
ject to Level I concentrations. Greater than 2 to 3 ............................................ 0.0023
Greater than 3 to 4 ............................................ 0.0014
–Consider the target population located be- Greater than 4 ................................................... 0
yond any Level I distance categories, up to a Do not round to nearest integer.
and including the population anywhere
within the furthest Level II distance cat- 6.3.1 Nearest individual. Assign the nearest
egory, as subject to Level II concentra- individual factor a value as follows:
tions. • If one or more residences or regularly oc-
–Consider the remainder of the target pop- cupied buildings or areas is subject to Level
ulation within the 4-mile target distance I concentrations as specified in section 6.3,
limit as subject to potential contamina- assign a value of 50.
tion. • If not, but if one or more a residences or
regularly occupied buildings or areas is sub-
• If the single most distant location is be-
ject to Level II concentrations, assign a
yond the 4-mile target distance limit, iden-
value of 45.
tify the distance at which the selected Level • If none of the residences and regularly
I concentrations sample and Level II con- occupied buildings and areas is subject to
centrations sample (or direct observation lo- Level I or Level II concentrations, assign a
cation) are located: value to this factor based on the shortest
–If the Level I sample location is within distance to any residence or regularly occu-
the 4-mile target distance limit, identify pied building or area, as measured from any
the target population subject to Level I source at the site with an air migration con-
concentrations as specified above. tainment factor value greater than 0. Based
–If the Level I sample location is beyond on this shortest distance, assign a value
the 4-mile target distance limit, consider from table 6–16 to the nearest individual fac-
the target population located anywhere tor.
Enter the value assigned in table 6–1.
within a distance from the sources at the
site equal to the distance to this sample lo-
TABLE 6–16—NEAREST INDIVIDUAL FACTOR
cation to be subject to Level I concentra-
VALUES
tions and include them in the evaluation.
–Consider the target population located be- Assigned
Distance to nearest individual (miles)
yond the Level I target population, but lo- value
cated anywhere within a distance from the Level I concentrations a ..................................... 50
sources at the site equal to the distance to Level II concentrations a .................................... 45
the selected Level II location, to be subject 0 to 1⁄8 ................................................................ 20
to Level II concentrations and include Greater than 1⁄8 to 1⁄4 ........................................ 7
them in the evaluation. Greater than 1⁄4 to 1/2 ....................................... 2
Greater than 1⁄2 to 1 .......................................... 1
–Do not include any target population as Greater than 1 ................................................... 0
subject to potential contamination. a Distance does not apply.
TABLE 6–14—HEALTH-BASED BENCHMARKS FOR 6.3.2 Population. In evaluating the popu-
HAZARDOUS SUBSTANCES IN AIR lation factor, count residents, students, and
workers regularly present within the target
• Concentration corresponding to National Ambient Air Qual- distance limit. Do not count transient popu-
ity Standard (NAAQS). lations such as customers and travelers pass-
• Concentration corresponding to National Emission Stand- ing through the area.
ards for Hazardous Air Pollutants (NESHAPs).
In estimating residential population, when
• Screening concentration for cancer corresponding to that
concentration that corresponds to the 10¥6 individual can-
the estimate is based on the number of resi-
cer risk for inhalation exposures. dences, multiply each residence by the aver-
• Screening concentration for noncancer toxicological re- age number of persons per residence for the
sponses corresponding to the Reference Dose (RfD) for county in which the residence is located.
inhalation exposures. 6.3.2.1 Level of contamination. Evaluate the
population factor based on three factors:
Level I concentrations, Level II concentra-

tions, and potential contamination.
195
Evaluate the population subject to Level I Based on the number of people present
concentrations (see section 6.3) as specified within a distance category, assign a dis-
in section 6.3.2.2, the population subject to tance-weighted population value for that dis-
Level II concentrations as specified in sec- tance category from table 6–17. (Note that
tion 6.3.2.3, and the population subject to po- the distance-weighted population values in
tential contamination as specified in section table 6–17 incorporate the distance weights
6.3.2.4. from table 6–15. Do not multiply the values
For the potential contamination factor, from table 6–17 by these distance weights.)
use population ranges in evaluating the fac- Calculate the potential contamination fac-
tor as specified in section 6.3.2.4. For the tor value (PI) as follows:
Level I and Level II concentrations factors,
use the population estimate, not population
1 n
ranges, in evaluating both factors.
6.3.2.2 Level I concentrations. Sum the PI = ∑ Wi
10 i =1
number of people subject to Level I con-
centrations. Multiply this sum by 10. Assign where:
the product as the value for this factor. Wi=Distance-weighted population from table
Enter this value in table 6–1. 6–17 for distance category i.
6.3.2.3 Level II concentrations. Sum the
n=Number of distance categories.
number of people subject to Level II con-
centrations. Do not include those people al- If PI is less than 1, do not round it to the
ready counted under the Level I concentra- nearest integer; if PI is 1 or more, round to
tions factor. Assign this sum as the value for the nearest integer. Enter this value in table
this factor. Enter this value in table 6–1. 6–1.
6.3.2.4 Potential contamination. Determine 6.3.2.5 Calculation of population factor
the number of people within each distance value. Sum the factor values for Level I con-
category of the target distance limit (see centrations, Level II concentrations, and po-
table 6–15) who are subject to potential con- tential contamination. Do not round this
tamination. Do not include those people al- sum to the nearest integer. Assign this sum
ready counted under the Level I and Level II as the population factor value. Enter this
concentrations factors. value in table 6–1.
196
EC15NO91.164</MATH>
VerDate Aug<31>2005
TABLE 6–17—DISTANCE-WEIGHTED POPULATION VALUES FOR POTENTIAL CONTAMINATION FACTOR FOR AIR PATHWAY A
Number of people within the distance category
11:11 Aug 12, 2008

Distance category (miles) 1,001 10,001 100,001
1 to 11 to 31 to 101 to 301 to 3,001 to 30,001 to 300,001 to 1,000,001 to
0 to to to
10 30 100 300 1,000 10,000 100,000 1,000,000 3,000,000
3,000 30,000 300,000
On a source ............................................................... 0 4 17 53 164 522 1,633 5,214 16,325 52,137 163,246 521,360 1,632,455
Jkt 214168
Greater than 0 to 1⁄4 .................................................. 0 1 4 13 41 131 408 1,304 4,081 13,034 40,812 130,340 408,114
Greater than 1⁄4 to 1⁄2 ................................................ 0 0.2 0.9 3 9 28 88 282 882 2,815 8,815 28,153 88,153
Greater than 1⁄2 to 1 .................................................. 0 0.06 0.3 0.9 3 8 26 83 261 834 2,612 8,342 26,119
Greater than 1 to 2 .................................................... 0 0.02 0.09 0.3 0.8 3 8 27 83 266 833 2,659 8,326
PO 00000
Greater than 2 to 3 .................................................... 0 0.009 0.04 0.1 0.4 1 4 12 38 120 375 1,199 3,755
Greater than 3 to 4 .................................................... 0 0.005 0.02 0.07 0.2 0.7 2 7 23 73 229 730 2,285
a Round the number of people present within a distance category to nearest integer. Do not round the assigned distance-weighted population value to nearest integer.
Frm 00207
Environmental Protection Agency
Fmt 8010
197
Sfmt 8002
Y:\SGML\214168.XXX
214168
Pt. 300, App. A
6.3.3 Resources. Evaluate the resources each sensitive environment subject to actual
factor as follows: contamination.
• Assign a value of 5 if one or more of the For those sensitive environments that are
following resources are present within one- wetlands, assign an additional value from
half mile of a source at the site having an air table 6–18. In assigning a value from table 6–
migration containment factor value greater 18, include only those portions of wetlands
than 0: located within distance categories subject to
–Commercial agriculture. actual contamination. If a wetland is located
–Commercial silviculture. partially in a distance category subject to
–Major or designated recreation area. actual contamination and partially in one
• Assign a value of 0 if none of these re- subject to potential contamination, then
sources is present. solely for purposes of table 6–18, count the
Enter the value assigned in table 6–1. portion in the distance category subject to
6.3.4 Sensitive environments. Evaluate sen- potential contamination under the potential
sitive environments based on two factors: ac- contamination factor in section 6.3.4.2. De-
tual contamination and potential contami- termine the total acreage of wetlands within
nation. Determine which factor applies as those distance categories subject to actual
follows. contamination and assign a value from table
If no samples meet the criteria for an ob- 6–18 based on this total acreage.
Calculate the actual contamination factor
served release to air and if there is no ob-
value (EA) as follows:
served release by direct observation, con-
sider all sensitive environments located, par- n
EA = WA + ∑ S i
tially or wholly, within the target distance
limit to be subject to potential contamina-
tion. i =1
If one or more samples meet the criteria where:
for an observed release to air or if there is an WA=Value assigned from table 6–18 for wet-
observed release by direct observation, de- lands in distance categories subject to ac-
termine the most distant location (that is, tual contamination.
sample location or direct observation loca- Si=Value(s) assigned from table 4–23 to sen-
tion) that meets the criteria for an observed sitive environment i.
release: n=Number of sensitive environments subject
• If the most distant location meeting the to actual contamination.
criteria for an observed release is within the Enter the value assigned in table 6–1.
4-mile target distance limit, identify the dis-
tance category from table 6–15 in which it is TABLE 6–18—WETLANDS RATING VALUES FOR
located: AIR MIGRATION PATHWAY A
–Consider sensitive environments located,
partially or wholly, anywhere within this Wetland area (acres) Assigned
distance category or anywhere within a value
distance category closer to a source at the
Less than 1 .......................................................... 0
site as subject to actual contamination. 1 to 50 ................................................................. 25
–Consider all other sensitive environments Greater than 50 to 100 ........................................ 75
located, partially or wholly, within the Greater than 100 to 150 ...................................... 125
target distance limit as subject to poten- Greater than 150 to 200 ...................................... 175
tial contamination. Greater than 200 to 300 ...................................... 250
Greater than 300 to 400 ...................................... 350
• If the most distant location meeting the Greater than 400 to 500 ...................................... 450
criteria for an observed release is beyond the Greater than 500 ................................................. 500
4-mile target distance limit, identify the dis- a Wetlands as defined in 40 CFR section 230.3.
tance at which it is located:
–Consider sensitive environments located, 6.3.4.2 Potential contamination. Determine
partially or wholly, anywhere within a dis- those sensitive environments located, par-
tance from the sources at the site equal to tially or wholly, within the target distance
the distance to this location to be subject limit that are subject to potential contami-
to actual contamination and include all nation. Assign value(s) from table 4–23 to
such sensitive environments in the evalua- each sensitive environment subject to poten-
tion. tial contamination. Do not include those
–Do not include any sensitive environ- sensitive environments already counted for
ments as subject to potential contamina- table 4–23 under the actual contamination
tion. factor.
6.3.4.1 Actual contamination. Determine For each distance category subject to po-
those sensitive environments subject to ac- tential contamination, sum the value(s) as-
tual contamination (i.e., those located par- signed from table 4–23 to the sensitive envi-
tially or wholly within a distance category ronments in that distance category. If a sen-
subject to actual contamination). Assign sitive environment is located in more than

value(s) from table 4–23 (section 4.1.4.3.1.1) to one distance category, assign the sensitive
198
EC15NO91.165</MATH>
environment only to that distance category • Multiply the values assigned to likeli-
having the highest distance weighting value hood of release (LR), waste characteristics
from table 6–15. (WC), and EB. Divide the product by 82,500.
For those sensitive environments that are –If the result is 60 or less, assign the value
wetlands, assign an additional value from EB as the sensitive environments factor
table 6–18. In assigning a value from table 6– value.
18, include only those portions of wetlands –If the result exceeds 60, calculate a value
located within distance categories subject to EC as follows:
potential contamination, as specified in sec-
tion 6.3.4.1. Treat the wetlands in each sepa- (60)(82,500)
rate distance category as separate sensitive EC =
environments solely for purposes of applying ( LR )( WC)
table 6–18. Determine the total acreage of Assign the value EC as the sensitive envi-
wetlands within each of these distance cat- ronments factor value. Do not round this
egories and assign a separate value from value to the nearest integer.
table 6–18 for each distance category. Enter the value assigned for the sensitive
Calculate the potential contamination fac- environments factor in table 6–1.
tor value (EP) as follows: 6.3.5 Calculation of targets factor category
value. Sum the nearest individual, popu-
1 m
([ ] )
lation, resources, and sensitive environments
EP = ∑ Wj + S j D j
10 j=1
factor values. Do not round this sum to the
nearest integer. Assign this sum as the tar-
gets factor category value. Enter this value
n in table 6–1.
S j = ∑ S ij 6.4 Calculation of air migration pathway
score. Multiply the values for likelihood of
i =1 release, waste characteristics, and targets,
Sij=Value(s) assigned from table 4–23 to sen- and round the product to the nearest integer.
sitive environment in distance category j. Then divide by 82,500. Assign the resulting
n=Number of sensitive environments subject value, subject to a maximum value of 100, as
to potential contamination. the air migration pathway score (Sa). Enter
Wj=Value assigned from table 6–18 for wet- this score in table 6–1.
land area in distance category j. 7.0 Sites Containing Radioactive Substances.
Dj=Distance weight from table 6–15 for dis-
tance category j. In general, radioactive substances are haz-
m=Number of distance categories subject to ardous substances under CERCLA and should
potential contamination. be considered in HRS scoring. Releases of
certain radioactive substances are, however,
If EP is less than 1, do not round it to the
excluded from the definition of ‘‘release’’ in
nearest integer; if EP is 1 or more, round to
section 101(22) of CERCLA, as amended, and
the nearest integer. Enter the value assigned should not be considered in HRS scoring.
in table 6–1. Evaluate sites containing radioactive sub-
6.3.4.3 Calculation of sensitive environments stances using the instructions specified in
factor value. Sum the factor values for actual sections 2 through 6, supplemented by the in-
contamination and potential contamination. structions in this section. Those factors de-
Do not round this sum, designated as EB, to noted with a ‘‘yes’’ in table 7–1 are evaluated
the nearest integer. differently for sites containing radioactive
Because the pathway score based solely on substances than for sites containing only
sensitive environments is limited to a max- nonradioactive hazardous substances, while
imum of 60, use the value EB to determine those denoted with a ‘‘no’’ are not evaluated
the value for the sensitive environments fac- differently and are not addressed in this sec-
tor as follows: tion.
EC15NO91.167</MATH>
199
EC15NO91.166</MATH>
VerDate Aug<31>2005
TABLE 7–1—HRS FACTORS EVALUATED DIFFERENTLY FOR RADIONUCLIDES
Ground water pathway Status a Surface water pathway Status a Soil exposure pathway Status a Air pathway Status a
11:11 Aug 12, 2008

Likelihood of Release Likelihood of Release ................ Likelihood of Exposure ............. Likelihood of Release.
Observed Release ............................... Yes ..... Observed Release ........................ Yes ..... Observed Contamination .............. Yes ..... Observed Release ........................ Yes
Potential to Release ............................. No ...... Potential to Release ..................... No ...... Attractiveness/Accessibility .......... No ...... Gas Potential to Release ............. No
Containment .................................. No ...... Overland Flow Containment ..... No ...... to Nearby Residents ................. ....... Gas Containment ...................... No
Jkt 214168
Pt. 300, App. A
Net Precipitation ............................ No ...... Runoff ....................................... No ...... Area of Contamination ................. No ...... Gas Source Type ...................... No
Depth to Aquifer ............................ No ...... Distance to Surface Water ....... No ...... .................................................. ....... Gas Migration Potential ............ No
Travel Time ................................... No ...... Flood Frequency ....................... No ...... .................................................. ....... Particulate Potential to No
....... Flood Containment ................... No ...... .................................................. ....... Release.
PO 00000
Particulate Containment ........... No
Particulate Source Type ........... No
Particulate Migration Potential .. No
Waste Characteristics Waste Characteristics ................ Waste Characteristics ................ Waste Characteristics.
Toxicity ................................................. Yes ..... Toxicity/Ecotoxicity ....................... Yes/ Toxicity ......................................... Yes ..... Toxicity ......................................... Yes
Frm 00210
Yes.
Mobility ................................................. No ...... Persistence/Mobility ...................... Yes/No Hazardous Waste Quantity .......... Yes ..... Mobility ......................................... No
Hazardous Waste Quantity .................. Yes ..... Bioaccumulation Potential ............ No ...... .................................................. ....... Hazardous Waste Quantity .......... Yes
....... Hazardous Waste Quantity .......... Yes.
Fmt 8010
Targets Targets ......................................... Targets ......................................... Targets.
200
Nearest Well ......................................... Yes b .. Nearest Intake .............................. Yes b .. Resident Individual ....................... Yes b .. Nearest Individual ......................... Yes b
Population ............................................ Yes b .. Drinking Water Population ........... Yes b .. Resident Population ..................... Yes b .. Population ..................................... Yes b
Resources ............................................ No ...... Resources .................................... No ...... Workers ........................................ No ...... Resources .................................... No
Wellhead Protection Area .................... No ...... Sensitive Environments ................ Yes b .. Resources .................................... No ...... Sensitive Environments ................ No
Sfmt 8002
....... Human Food Chain Individual ...... Yes b .. Terrestrial Sensitive Environments No ......
Human Food Chain Population .... Yes b .. .................................................. .
Nearby Individual .......................... No.
Population Within 1 Mile .............. No.
a Factors evaluated differently are denoted by ‘‘yes’’; factors not evaluated differently are denoted by ‘‘no.’’
b Difference is in the determination of Level I and Level II concentrations.
Y:\SGML\214168.XXX
214168
40 CFR Ch. I (7–1–08 Edition)
In general, sites containing mixed radio- –For radionuclides that occur naturally
active and other hazardous substances in- and for radionuclides that are ubiquitous
volve more evaluation than sites containing in the environment:
only radionuclides. For sites containing –Measured concentration (in units of ac-
mixed radioactive and other hazardous sub- tivity, for example, pCi per kilogram
stances, HRS factors are evaluated based on [pCi/kg], pCi per liter [pCi/1], pCi per
considerations of both the radioactive sub- cubic meter [pCi/m3]) of a given radio-
stances and the other hazardous substances nuclide in the sample are at a level that:
in order to derive a single set of factor val- –Equals or exceeds a value 2 standard de-
ues for each factor category in each of the viations above the mean site-specific
four pathways. Thus, the HRS score for these background concentration for that radio-
sites reflects the combined potential hazards nuclide in that type of sample, or
posed by both the radioactive and other haz- –Exceeds the upper-limit value of the
ardous substances. range of regional background concentra-
tion values for that specific radionuclide
Section 7 is organized by factor category,
in that type of sample.
similar to sections 3 through 6. Pathway-spe-
–Some portion of the increase must be
cific differences in evaluation criteria are
attributable to the site to establish the
specified under each factor category, as ap- observed release (or observed contamina-
propriate. These differences apply largely to tion), and
the soil exposure pathway and to sites con- –For the soil exposure pathway only, the
taining mixed radioactive and other haz- radionuclide must also be present at the
ardous substances. All evaluation criteria surface or covered by 2 feet or less of
specified in sections 2 through 6 must be cover material (for example, soil) to es-
met, except where modified in section 7. tablish observed contamination.
7.1 Likelihood of release/likelihood of expo- –For man-made radionuclides without
sure. Evaluate likelihood of release for the ubiquitous background concentrations in
three migration pathways and likelihood of the environment:
exposure for the soil exposure pathway as –Measured concentration (in units of ac-
specified in sections 2 through 6, except: es- tivity) of a given radionuclide in a sam-
tablish an observed release and observed con- ple equals or exceeds the sample quan-
tamination as specified in section 7.1.1. When titation limit for that specific radio-
an observed release cannot be established for nuclide in that type of media and is at-
a migration pathway, evaluate potential to tributable to the site.
release as specified in section 7.1.2. When ob- –However, if the radionuclide concentra-
served contamination cannot be established, tion equals or exceeds its sample quan-
do not evaluate the soil exposure pathway. titation limit, but its release can also be
7.1.1 Observed release/observed contamina- attributed to one or more neighboring
tion. For radioactive substances, establish an sites, then the measured concentration
observed release for each migration pathway of that radionuclide must also equal or
by demonstrating that the site has released exceed a value either 2 standard devi-
a radioactive substance to the pathway (or ations above the mean concentration of
watershed or aquifer, as appropriate); estab- that radionuclide contributed by those
lish observed contamination for the soil ex- neighboring sites or 3 times its back-
posure pathway as indicated below. Base ground concentration, whichever is
these demonstrations on one or more of the lower.
following, as appropriate to the pathway –If the sample quantitation limit cannot
being evaluated: be established:
• Direct observation: –If the sample analysis was performed
under the EPA Contract Laboratory Pro-
–For each migration pathway, a material gram, use the EPA contract-required
that contains one or more radionuclides quantitation limit (CRQL) in place of the
has been seen entering the atmosphere, sample quantitation limit in establishing
surface water, or ground water, as appro- an observed release (or observed con-
priate, or is known to have entered ground tamination).
water or surface water through direct dep- –If the sample analysis is not performed
osition, or under the EPA Contract Labatory Pro-
–For the surface water migration pathway, gram, use the detection limit in place of
a source area containing radioactive sub- the sample quantitation limit.
stances has been flooded at a time that ra- –For the soil exposure pathway only, the
dioactive substances were present and one radionuclide must also be present at the
or more radioactive substances were in surface or covered by 2 feet or less of
contact with the flood waters. cover material (for example, soil) to es-
• Analysis of radionuclide concentrations tablish observed contamination.
in samples appropriate to the pathway (that • Gamma radiation measurements (applies
is, ground water, soil, air, surface water, only to observed contamination for the soil
benthic, or sediment samples): exposure pathway):
201
–The gamma radiation exposure rate, as taining other hazardous substances. Base the
measured in microroentgens per hour (μR/ evaluation on the physical and chemical
hr) using a survey instrument held 1 meter properties of the radionuclides, not on their
above the ground surface (or 1 meter away level of radioactivity.
from an aboveground source), equals or ex- For sites containing mixed radioactive and
ceeds 2 times the site-specific background other hazardous substances, evaluate poten-
gamma radiation exposure rate. tial to release considering radionuclides and
–Some portion of the increase must be at- other hazardous substances together. Evalu-
tributable to the site to establish observed ate potential to release for each migration
contamination. The gamma-emitting pathway as specified in sections 3, 4, or 6, as
radionuclides do not have to be within 2 appropriate.
feet of the surface of the source. 7.2 Waste characteristics. For radioactive
For the three migration pathways, if an substances, evaluate the human toxicity fac-
observed release can be established for the tor, the ecosystem toxicity factor, the sur-
pathway (or aquifer or watershed, as appro- face water persistence factor, and the haz-
priate), assign the pathway (or aquifer or wa- ardous waste quantity factor as specified in
tershed) an observed release factor value of the following sections. Evaluate all other
550 and proceed to section 7.2. If an observed waste characteristic factors as specified in
release cannot be established, assign an ob- sections 2 through 6.
served release factor value of 0 and proceed 7.2.1 Human toxicity. For radioactive sub-
to section 7.1.2. stances, evaluate the human toxicity factor
For the soil exposure pathway, if observed as specified below, not as specified in section
contamination can be established, assign the 2.4.1.1.
likelihood of exposure factor for resident Assign human toxicity factor values to
population a value of 550 if there is an area those radionuclides available to the pathway
of observed contamination in one or more lo- based on quantitative dose-response param-
cations listed in section 5.1; evaluate the eters for cancer risks as follows:
likelihood of exposure factor for nearby pop- • Evaluate radionuclides only on the basis
ulation as specified in section 5.2.1; and pro- of carcinogenicity and assign all radio-
ceed to section 7.2. If observed contamina- nuclides to weight-of-evidence category A.
tion cannot be established, do not evaluate • Assign a human toxicity factor value
the soil exposure pathway. from table 7–2 to each radionuclide based on
At sites containing mixed radioactive and its slope factor (also referred to as cancer po-
other hazardous substances, evaluate ob- tency factor).
served release (or observed contamination) –For each radionuclide, use the higher of
separately for radionuclides as described in the slope factors for inhalation and inges-
this section and for other hazardous sub- tion to assign the factor value.
stances as described in sections 2 through 6. –If only one slope factor is available for the
For the three migration pathways, if an radionuclide, use it to assign the toxicity
observed release can be established based on factor value.
either radionuclides or other hazardous sub- –If no slope factor is available for the
stances, or both, assign the pathway (or aq- radionuclide, assign that radionuclide a
uifer or watershed) an observed release fac- toxicity factor value of 0 and use other
tor value of 550 and proceed to section 7.2. If radionuclides for which a slope factor is
an observed release cannot be established available to evaluate the pathway.
based on either radionuclides or other haz- • If all radionuclides available to a par-
ardous substances, assign an observed re- ticular pathway are assigned a human tox-
lease factor value of 0 and proceed to section icity factor value of 0 (that is, no slope fac-
7.1.2. tor is available for all the radionuclides), use
For the soil exposure pathway, if observed a default human toxicity factor value of 1,000
contamination can be established based on as the human toxicity factor value for all
either radionuclides or other hazardous sub- radionuclides available to the pathway.
stances, or both, assign the likelihood of ex- At sites containing mixed radioactive and
posure factor for resident population a value other hazardous substances, evaluate the
of 550 if there is an area of observed contami- toxicity factor separately for the radioactive
nation in one or more locations listed in sec- and other hazardous substances and assign
tion 5.1; evaluate the likelihood of exposure each a separate toxicity factor value. This
factor for nearby population as specified in applies regardless of whether the radioactive
section 5.2.1; and proceed to section 7.2. If ob- and other hazardous substances are phys-
served contamination cannot be established ically separated, combined chemically, or
based on either radionuclides or other haz- simply mixed together. Assign toxicity fac-
ardous substances, do not evaluate the soil tor values to the radionuclides as specified
exposure pathway. above and to the other hazardous substances
7.1.2 Potential to release. For the three mi- as specified in section 2.4.1.1.
gration pathways, evaluate potential to re- At sites containing mixed radioactive and
lease for sites containing radionuclides in other hazardous substances, if all radio-
the same manner as specified for sites con- nuclides available to a particular pathway
202
are assigned a human toxicity factor value of assigned ecosystem toxicity factor values
0, use a default human toxicity factor value greater than 0.
of 1,000 for all those radionuclides even if 7.2.3 Persistence. For radionuclides, evalu-
nonradioactive hazardous substances avail- ate the surface water persistence factor
able to the pathway are assigned human tox- based solely on half-life; do not include sorp-
icity factor values greater than 0. Similarly, tion to sediments in the evaluation as is
if all nonradioactive hazardous substances done for nonradioactive hazardous sub-
available to the pathway are assigned a stances. Assign a persistence factor value
human toxicity factor value of 0, use a de- from table 4–10 (section 4.1.2.2.1.2) to each
fault human toxicity factor value of 100 for radionuclide based on half-life (t1/2) cal-
all these nonradioactive hazardous sub- culated as follows:
stances even if radionuclides available to the
pathway are assigned human toxicity factor 1
values greater than 0. t1 2 =
7.2.2 Ecosystem toxicity. For the surface 1/r + 1/v
water environmental threat (see sections where:
4.1.4 and 4.2.4). assign an ecosystem toxicity
factor value to radionuclides (alone or com- r=Radioactive half-life.
bined chemically or mixed with other haz- v=Volatilization half-life.
ardous substances) using the same slope fac- If the volatilization half-life cannot be es-
tors and procedures specified for the human timated for a radionuclide from available
toxicity factor in section 7.2.1, except: use a data, delete it from the equation. Select the
default of 100, not 1,000, if all radionuclides portion of table 4–10 to use in assigning the
eligible to be evaluated for ecosystem tox- persistence factor value as specified in sec-
icity receive an ecosystem toxicity factor tion 4.1.2.2.1.2.
value of 0. At sites containing mixed radioactive and
other hazardous substances, evaluate the
TABLE 7–2—TOXICITY FACTOR VALUES FOR persistence factor separately for each radio-
RADIONUCLIDES nuclide and for each nonradioactive haz-
ardous substance, even if the available data
Assigned indicate that they are combined chemically.
Cancer slope factor a (SF) (pCi)¥1 value Assign a persistence factor value to each
3×10¥11≤ SF ......................................................... 10,000 radionuclide as specified in this section and
3×10¥12≤ SF<3×10¥11 .......................................... 1,000 to each nonradioactive hazardous substance
SF<3×10¥12 ....................... 100 as specified in section 4.1.2.2.1.2. When com-
SF not available for the radionuclide .................... 0 bined chemically, assign a single persistence
a Radionuclide slope factors are estimates of age-averaged, factor value based on the higher of the two
individual lifetime total excess cancer risk per picocurie of values assigned (individually) to the radio-
radionuclide inhaled or ingested. active and nonradioactive components.
At sites containing mixed radioactive and 7.2.4 Selection of substance potentially pos-
other hazardous substances, evaluate the ing greatest hazard. For each migration path-
ecosystem toxicity factor separately for the way (threat, aquifer, or watershed, as appro-
radioactive and other hazardous substances priate), select the radioactive substance or
and assign each a separate ecosystem tox- nonradioactive hazardous substance that po-
icity factor value. This applies regardless of tentially poses the greatest hazard based on
whether the radioactive and other hazardous its toxicity factor value, combined with the
substances are physically separated, com- applicable mobility, persistence, and/or bio-
bined chemically, or simply mixed together. accumulation (or ecosystem bioaccumula-
Assign ecosystem toxicity factor values to tion) potential factor values. Combine these
the radionuclides as specified above and to factor values as specified in sections 2, 3, 4,
the other hazardous substances as specified and 6. For the soil exposure pathway, base
in sections 4.1.4.2.1.1 and 4.2.4.2.1.1. If all the selection on the toxicity factor alone
radionuclides available to a particular path- (see sections 2 and 5).
way are assigned an ecosystem toxicity fac- 7.2.5 Hazardous waste quantity. To cal-
tor value of 0, use a default ecosystem tox- culate the hazardous waste quantity factor
icity factor value of 100 for all these radio- value for sites containing radioactive sub-
nuclides even if nonradioactive hazardous stances, evaluate source hazardous waste
substances available to the pathway are as- quantity (see section 2.4.2.1) using only the
signed ecosystem toxicity factor values following two measures in the following hi-
greater than 0. Similarly, if all nonradio- erarchy (these measures are consistent with
active hazardous substances available to the Tiers A and B for nonradioactive hazardous
pathway are assigned an ecosystem toxicity substances in sections 2.4.2.1.1 and 2.4.2.1.2):
factor value of 0, use a default ecosystem • Radionuclide constituent quantity (Tier
toxicity factor value of 100 for all these non- A).
radioactive hazardous substances even if • Radionuclide wastestream quantity (Tier

radionuclides available to the pathway are B).
203
EC15NO91.168</MATH>
7.2.5.1 Source hazardous waste quantity for –Estimate volume for the source (or volume
radionuclides. For each migration pathway, for the area of observed contamination)
assign a source hazardous waste quantity based on records or measurements.
value to each source having a containment –For the soil exposure pathway, in esti-
factor value greater than 0 for the pathway mating the volume for areas of observed
being evaluated. For the soil exposure path- contamination, do not include more than
way, assign a source hazardous waste quan- the first 2 feet of depth, except: for those
tity value to each area of observed contami- types of areas of observed contamination
nation, as applicable to the threat being listed in Tier C of table 5–2 (section 5.1.2.2).
evaluated. Allocate hazardous substances Include the entire depth, not just that with-
and hazardous wastestreams to specific in 2 feet of the surface.
sources (or areas of observed contamination) • Convert from curies of radionuclides to
as specified in section 2.4.2. equivalent pounds of nonradioactive haz-
7.2.5.1.1 Radionuclide constituent quantity ardous substances by multiplying the activ-
(Tier A). Evaluate radionuclide constituent ity estimate for the source (or area of ob-
quantity for each source (or area of observed served contamination) by 1,000.
contamination) based on the activity con- • Assign this resulting product as the
tent of the radionuclides allocated to the radionuclide constituent quantity value for
source (or area of observed contamination) the source (or area of observed contamina-
as follows: tion).
• Estimate the net activity content (in cu- If the radionuclide constituent quantity
ries) for the source (or area of observed con- for the source (or area of observed contami-
tamination) based on: nation) is adequately determined (that is,
–Manifests, or the total activity of all radionuclides in the
–Either of the following equations, as ap- source and releases from the source [or in
plicable: the area of observed contamination] is
known or is estimated with reasonable con-
n fidence), do not evaluate the radionuclide
N = 9.1 × 10 −7 (V)∑ AC i wastestream quantity measure in section
7.2.5.1.2. Instead, assign radionuclide
i =1 wastestream quantity a value of 0 and pro-
where: ceed to section 7.2.5.1.3. If the radionuclide
N=Estimated net activity content (in curies) constituent quantity is not adequately de-
for the source (or area of observed con- termined, assign the source (or area of ob-
tamination). served contamination) a value for radio-
V=Total volume of material (in cubic yards) nuclide constituent quantity based on the
in a source (or area of observed contamina- available data and proceed to section
tion) containing radionuclides. 7.2.5.1.2.
ACi=Activity concentration above the re- 7.2.5.1.2 Radionuclide wastestream quantity
spective background concentration (in pCi/ (Tier B). Evaluate radionuclide wastestream
g) for each radionuclide i allocated to the quantity for the source (or area of observed
source (or area of observed contamination). contamination) based on the activity con-
n=Number of radionuclides allocated to the tent of radionuclide wastestreams allocated
source (or area of observed contamination) to the source (or area of observed contamina-
above the respective background con- tion) as follows:
centrations. • Estimate the total volume (in cubic
or, yards or in gallons) of wastestreams con-
taining radionuclides allocated to the source
n (or area of observed contamination).
N = 3.8 × 10 −12 (V)∑ AC i • Divide the volume in cubic yards by 0.55
(or the volume in gallons by 110) to convert
i =1 to the activity content expressed in terms of
where: equivalent pounds of nonradioactive haz-
N=Estimated net activity content (in curies) ardous substances.
for the source (or area of observed con- • Assign the resulting value as the radio-
tamination). nuclide wastestream quantity value for the
V=Total volume of material (in gallons) in a source (or area of observed contamination).
source (or area of observed contamination) 7.2.5.1.3 Calculation of source hazardous
containing radionuclides. waste quantity value for radionuclides. Select
ACi=Activity concentration above the re- the higher of the values assigned to the
spective background concentration (in pCi/ source (or area of observed contamination)
1) for each radionuclide i allocated to the for radionuclide constituent quantity and
source (or area of observed contamination). radionuclide wastestream quantity. Assign
n=Number of radionuclides allocated to the this value as the source hazardous waste
EC15NO91.170</MATH>
source (or area of observed contamination) quantity value for the source (or area of ob-
above the respective background conserved contamination). Do not round to the
centrations. nearest integer.
204
EC15NO91.169</MATH>
7.2.5.2 Calculation of hazardous waste quan- 7.2.5.3 Calculation of hazardous waste quan-
tity factor value for radionuclides. Sum the tity factor value for sites containing mixed ra-
source hazardous waste quantity values as- dioactive and other hazardous substances. For
signed to all sources (or areas of observed each source (or area of observed contamina-
contamination) for the pathway being evalu- tion) containing mixed radioactive and other
ated and round this sum to the nearest inte- hazardous substances, calculate two source
ger, except: if the sum is greater than 0, but hazardous waste quantity values—one based
less than 1, round it to 1. Based on this on radionuclides as specified in sections
value, select a hazardous waste quantity fac- 7.2.5.1 through 7.2.5.1.3 and the other based
tor value for this pathway from table 2–6 on the nonradioactive hazardous substances
(section 2.4.2.2). as specified in sections 2.4.2.1 through
For a migration pathway, if the radio- 2.4.2.1.5 (that is, determine each value as if
nuclide constituent quantity is adequately the other type of substance was not present).
determined (see section 7.2.5.1.1) for all Sum the two values to determine a combined
sources (or all portions of sources and resource hazardous waste quantity value for
leases remaining after a removal action), as- the source (or area of observed contamina-
sign the value from table 2–6 as the haz- tion). Do not round this value to the nearest
ardous waste quantity factor value for the integer.
pathway. If the radionuclide constituent Use this combined source hazardous waste
quantity is not adequately determined for quantity value to calculate the hazardous
one or more sources (or one or more portions waste quantity factor value for the pathway
of sources or releases remaining after a re- as specified in section 2.4.2.2, except: if either
moval action), assign a factor value as fol- the hazardous constituent quantity or the
lows: radionuclide constituent quantity, or both,
• If any target for that migration path- are not adequately determined for one or
way is subject to Level I or Level II con- more sources (or one or more portions of
centrations (see section 7.3), assign either sources or releases remaining after a re-
the value from table 2–6 or a value of 100, moval action) or for one or more areas of ob-
whichever is greater, as the hazardous waste served contamination, as applicable, assign
quantity factor value for that pathway. the value from table 2–6 or the default value
• If none of the targets for that pathway applicable for the pathway, whichever is
greater, as the hazardous waste quantity fac-
is subject to Level I or Level II concentra-
tor value for the pathway.
tions, assign a factor value as follows:
7.3 Targets. For radioactive substances,
–If there has been no removal action, as- evaluate the targets factor category as speci-
sign either the value from table 2–6 or a fied in section 2.5 and sections 3 through 6,
value of 10, whichever is greater, as the except: establish Level I and Level II con-
hazardous waste quantity factor value for centrations at sampling locations as speci-
that pathway. fied in sections 7.3.1 and 7.3.2.
–If there has been a removal action: For all pathways (and threats), use the
–Determine values from table 2–6 with same target distance limits for sites con-
and without consideration of the removal taining radioactive substances as is specified
action. in sections 3 through 6 for sites containing
–If the value that would be assigned from nonradioactive hazardous substances. At
table 2–6 without consideration of the re- sites containing mixed radioactive and other
moval action would be 100 or greater, as- hazardous substances, include all sources (or
sign either the value from table 2–6 with areas of observed contamination) at the site
consideration of the removal action or a in identifying the applicable targets for the
value of 100, whichever is greater, as the pathway.
hazardous waste quantity factor value 7.3.1 Level of contamination at a sampling
for the pathway. location. Determine whether Level I or Level
–If the value that would be assigned from II concentrations apply at a sampling loca-
table 2–6 without consideration of the re- tion (and thus to the associated targets) as
moval action would be less than 100, as- follows:
sign a value of 10 as the hazardous waste • Select the benchmarks from section 7.3.2
quantity factor value for the pathway. applicable to the pathway (or threat) being
For the soil exposure pathway, if the radio- evaluated.
nuclide constituent quantity is adequately • Compare the concentrations of radio-
determined for all areas of observed con- nuclides in the sample (or comparable sam-
tamination, assign the value from table 2–6 ples) to their benchmark concentrations for
as the hazardous waste quantity factor the pathway (or threat) as specified in sec-
value. If the radionuclide constituent quan- tion 7.3.2. Treat comparable samples as spec-
tity is not adequately determined for one or ified in section 2.5.1.
more areas of observed contamination, as- • Determine which level applies based on
sign either the value from table 2–6 or a this comparison.
value of 10, whichever is greater, as the haz- • If none of the radionuclides eligible to be
ardous waste quantity factor value. evaluated for the sampling location have an
205
applicable benchmark, assign Level II to the Level I concentrations at the sampling loca-
actual contamination at that sampling location if measured gamma radiation exposure
tion for the pathway (or threat). rates equal or exceed 2 times the background
• In making the comparison, consider only level (see section 7.1.1).
those samples, and only those radionuclides If no radionuclide individually equals or
in the sample, that meet the criteria for an exceeds its benchmark concentration, but
observed release (or observed contamination) more than one radionuclide either meets the
for the pathway, except: tissue samples from criteria for an observed release (or observed
aquatic human food chain organisms may contamination) for the sample or is eligible
also be used for the human food chain threat to be evaluated for a tissue sample (see sec-
of the surface water pathway as specified in tions 4.1.3.3 and 4.2.3.3), calculate a value for
sections 4.1.3.3 and 4.2.3.3. index I for these radionuclides as specified in
7.3.2 Comparison to benchmarks. Use the section 2.5.2. If I equals or exceeds 1, assign
following media specific benchmarks (ex- Level I to the sampling location. If I is less
pressed in activity units, for example, pCi/l than 1, assign Level II.
for water, pCi/kg for soil and for aquatic At sites containing mixed radioactive and
human food chain organisms, and pCi/m3 for other hazardous substances, establish the
air) for making the comparisons for the indi-
level of contamination for each sampling lo-
cated pathway (or threat):
cation considering radioactive substances
• Maximum Contaminant Levels (MCLs)—
and nonradioactive hazardous substances
ground water migration pathway and drink-
separately. Compare the concentration of
ing water threat in surface water migration
each radionuclide and each nonradioactive
pathway.
hazardous substance from the sampling loca-
• Uranium Mill Tailings Radiation Control
tion to its respective benchmark concentra-
Act (UMTRCA) standards—soil exposure
tion(s). Use only those samples and only
pathway only.
those substances in the sample that meet the
• Screening concentration for cancer cor-
criteria for an observed release (or observed
responding to that concentration that cor-
contamination) for the pathway except: tis-
responds to the 10¥6 individual cancer risk
sue samples from aquatic human food chain
for inhalation exposures (air migration path-
organisms may be used as specified in sec-
way) or for oral exposures (ground water mi-
tions 4.1.3.3 and 4.2.3.3. If the concentration
gration pathway; drinking water or human
of one or more applicable radionuclides or
food chain threats in surface water migra-
other hazardous substances from any sample
tion pathway; and soil exposure pathway).
equals or exceeds its benchmark concentra-
–For the soil exposure pathway, include tion, consider the sampling location to be
two screening concentrations for cancer— subject to Level I concentrations. If more
one for ingestion of surface materials and than one benchmark applies to a radio-
one for external radiation exposures from nuclide or other hazardous substance, assign
gamma-emitting radionuclides in surface Level I if the concentration of the radio-
materials. nuclide or other hazardous substance equals
Select the benchmark(s) applicable to the or exceeds its lowest applicable benchmark
pathway (or threat) being evaluated. Com- concentration.
pare the concentration of each radionuclide If no radionuclide or other hazardous sub-
from the sampling location to its benchmark stance individually exceed a benchmark con-
concentration(s) for that pathway (or centration, but more than one radionuclide
threat). Use only those samples and only or other hazardous substance either meets
those radionuclides in the sample that meet the criteria for an observed release (or ob-
the criteria for an observed release (or observed contamination) for the sample or is
served contamination) for the pathway, ex- eligible to be evaluated for a tissue sample,
cept: tissue samples from aquatic human calculate an index I for both types of sub-
food chain organisms may be used as speci- stances as specified in section 2.5.2. Sum the
fied in sections 4.1.3.3 and 4.2.3.3. If the con- index I values for the two types of sub-
centration of any applicable radionuclide stances. If the value, individually or com-
from any sample equals or exceeds its bench- bined, equals or exceeds 1, assign Level I to
mark concentration, consider the sampling the sample location. If it is less than 1, cal-
location to be subject to Level I concentra- culate an index J for the nonradioactive haz-
tions for that pathway (or threat). If more ardous substances as specified in section
than one benchmark applies to the radio- 2.5.2. If J equals or exceeds 1, assign Level I
nuclide, assign Level I if the radionuclide to the sampling location. If J is less than 1,
concentration equals or exceeds the lowest assign Level II.
applicable benchmark concentration. In ad-
dition, for the soil exposure pathway, assign [55 FR 51583, Dec. 14, 1990]
206
Environmental Protection Agency Pt. 300, App. B
APPENDIX B TO PART 300—NATIONAL PRIORITIES LIST

TABLE 1—GENERAL SUPERFUND SECTION
State Site name City/County Notes(a)
AL ........................ American Brass ..................................................................... Headland.

AL ........................ Ciba-Geigy Corp. (McIntosh Plant) ....................................... McIntosh.
AL ........................ Interstate Lead Co. (ILCO) .................................................... Leeds.
AL ........................ Olin Corp. (McIntosh Plant) ................................................... McIntosh.
AL ........................ Perdido Ground Water Contamination .................................. Perdido .................................. C
AL ........................ Redwing Carriers, Inc. (Saraland) ......................................... Saraland.
AL ........................ Stauffer Chemical Co. (Cold Creek Plant) ............................ Bucks.
AL ........................ Stauffer Chemical Co. (LeMoyne Plant) ................................ Axis.
AL ........................ T.H. Agriculture & Nutrition (Montgomery) ............................ Montgomery.
AL ........................ Triana/Tennessee River ........................................................ Limestone/Morgan ................. C
AR ....................... Arkwood, Inc .......................................................................... Omaha ................................... C
AR ....................... Mid-South Wood Products ..................................................... Mena ...................................... C
AR ....................... Midland Products ................................................................... Ola/Birta ................................. C
AR ....................... Monroe Auto Equipment (Paragould Pit) .............................. Paragould.
AR ....................... Mountain Pine Pressure Treating, Inc ................................... Plainview.
AR ....................... Ouachita Nevada Wood Treater ............................................ Reader..
AR ....................... Popile, Inc .............................................................................. El Dorado.
AR ....................... Rogers Road Municipal Landfill ............................................. Jacksonville ........................... C
AR ....................... Vertac, Inc. ............................................................................. Jacksonville.
AZ ........................ Apache Powder Co. ............................................................... St. David.
AZ ........................ Hassayampa Landfill ............................................................. Hassayampa.
AZ ........................ Indian Bend Wash Area ........................................................ Scottsdale/Tempe/Phoenix .... P
AZ ........................ Litchfield Airport Area ............................................................ Goodyear/Avondale.
AZ ........................ Motorola, Inc. (52nd Street Plant) ......................................... Phoenix.
AZ ........................ Tucson International Airport Area .......................................... Tucson.
CA ....................... Advanced Micro Devices, Inc ................................................ Sunnyvale .............................. C
CA ....................... Advanced Micro Devices, Inc. (Bldg. 915) ............................ Sunnyvale .............................. C
CA ....................... Aerojet General Corp ............................................................. Rancho Cordova.
CA ....................... Alark Hard Chrome ................................................................ Riverside.
CA ....................... AMCO Chemical .................................................................... Oakland.
CA ....................... Applied Materials ................................................................... Santa Clara ............................ C
CA ....................... Atlas Asbestos Mine .............................................................. Fresno County.
CA ....................... Beckman Instruments (Porterville Plant) ............................... Porterville ............................... C
CA ....................... Brown & Bryant, Inc (Arvin Plant) ......................................... Arvin.
CA ....................... CTS Printex, Inc. ................................................................... Mountain View ....................... C
CA ....................... Casmalia Resources .............................................................. Casmalia.
CA ....................... Coast Wood Preserving ......................................................... Ukiah.
CA ....................... Cooper Drum Company ......................................................... South Gate..
CA ....................... Crazy Horse Sanitary Landfill ................................................ Salinas.
CA ....................... Del Amo ................................................................................. Los Angeles.
CA ....................... Fairchild Semiconductor Corp. (Mt View) .............................. Mountain View.
CA ....................... Fairchild Semiconductor Corp. (S San Jose) ........................ South San Jose ..................... C
CA ....................... Fresno Municipal Sanitary Landfill ........................................ Fresno.
CA ....................... Frontier Fertilizer .................................................................... Davis.
CA ....................... Halaco Engineering Company ............................................... Oxnard.
CA ....................... Hewlett-Packard (620–640 Page Mill Road) ......................... Palo Alto.
CA ....................... Industrial Waste Processing .................................................. Fresno.
CA ....................... Intel Corp. (Mountain View Plant) ......................................... Mountain View.
CA ....................... Intel Corp. (Santa Clara III) ................................................... Santa Clara ............................ C
CA ....................... Intel Magnetics ....................................................................... Santa Clara ............................ C
CA ....................... Intersil Inc./Siemens Components ......................................... Cupertino ............................... C
CA ....................... Iron Mountain Mine ................................................................ Redding.
CA ....................... J.H. Baxter & Co .................................................................... Weed.
CA ....................... Jasco Chemical Corp ............................................................ Mountain View.
CA ....................... Klau/Buena Vista Mine .......................................................... San Luis Obispo County.
CA ....................... Koppers Co., Inc. (Oroville Plant) .......................................... Oroville.
CA ....................... Lava Cap Mine ...................................................................... Nevada City.
CA ....................... Leviathan Mine ...................................................................... Alpine County..
CA ....................... Lorentz Barrel & Drum Co ..................................................... San Jose.
CA ....................... MGM Brakes .......................................................................... Cloverdale .............................. C
CA ....................... McColl .................................................................................... Fullerton.
CA ....................... McCormick & Baxter Creosoting Co ..................................... Stockton.
CA ....................... Modesto Ground Water Contamination ................................. Modesto.
CA ....................... Monolithic Memories .............................................................. Sunnyvale .............................. C
CA ....................... Montrose Chemical Corp ....................................................... Torrance.
CA ....................... National Semiconductor Corp ................................................ Santa Clara.
CA ....................... Newmark Ground Water Contamination ............................... San Bernardino.
CA ....................... Omega Chemical Corporation ............................................... Whittier.

CA ....................... Operating Industries, Inc., Landfill ......................................... Monterey Park.
CA ....................... Pacific Coast Pipe Lines ........................................................ Fillmore .................................. C
207
Pt. 300, App. B 40 CFR Ch. I (7–1–08 Edition)
TABLE 1—GENERAL SUPERFUND SECTION—Continued

CA ....................... Pemaco Maywood ................................................................. Maywood.

CA ....................... Purity Oil Sales, Inc ............................................................... Malaga.
CA ....................... Raytheon Corp ....................................................................... Mountain View.
CA ....................... San Fernando Valley (Area 1) ............................................... Los Angeles.
CA ....................... San Fernando Valley (Area 2) ............................................... Los Angeles/Glendale.
CA ....................... San Fernando Valley (Area 3) ............................................... Glendale.
CA ....................... San Fernando Valley (Area 4) ............................................... Los Angeles.
CA ....................... San Gabriel Valley (Area 1) .................................................. El Monte.
CA ....................... San Gabriel Valley (Area 2) .................................................. Baldwin Park Area.
CA ....................... San Gabriel Valley (Area 3) .................................................. Alhambra.
CA ....................... San Gabriel Valley (Area 4) .................................................. La Puente.
CA ....................... Selma Treating Co ................................................................. Selma.
CA ....................... Sola Optical USA, Inc ............................................................ Petaluma ................................ C
CA ....................... South Bay Asbestos Area ..................................................... Alviso.
CA ....................... Southern California Edison Co. (Visalia) ............................... Visalia.
CA ....................... Spectra-Physics, Inc .............................................................. Mountain View ....................... C
CA ....................... Stringfellow ............................................................................ Glen Avon Heights ................ S
CA ....................... Sulphur Bank Mercury Mine .................................................. Clear Lake.
CA ....................... Synertek, Inc. (Building 1) ..................................................... Santa Clara ............................ C
CA ....................... TRW Microwave, Inc (Building 825) ...................................... Sunnyvale .............................. C
CA ....................... Teledyne Semiconductor ....................................................... Mountain View ....................... C
CA ....................... United Heckathorn Co ........................................................... Richmond.
CA ....................... Valley Wood Preserving, Inc ................................................. Turlock.
CA ....................... Waste Disposal, Inc ............................................................... Santa Fe Springs.
CA ....................... Watkins-Johnson Co. (Stewart Division) ............................... Scotts Valley .......................... C
CA ....................... Westinghouse Elecetric Corp. (Sunnyvale) ........................... Sunnyvale.
CO ....................... Broderick Wood Products ...................................................... Denver ................................... C
CO ....................... California Gulch ..................................................................... Leadville ................................. P
CO ....................... Captain Jack Mill ................................................................... Ward.
CO ....................... Central City-Clear Creek ....................................................... Idaho Springs.
CO ....................... Chemical Sales Co ................................................................ Denver.
CO ....................... Denver Radium Site .............................................................. Denver.
CO ....................... Eagle Mine ............................................................................. Minturn/Redcliff.
CO ....................... Lincoln Park ........................................................................... Canon City.
CO ....................... Lowry Landfill ......................................................................... Arapahoe County.
CO ....................... Marshall Landfill ..................................................................... Boulder County ...................... C,S
CO ....................... Standard Mine ....................................................................... Gunnison National Forest.
CO ....................... Summitville Mine .................................................................... Rio Grande County.
CO ....................... Uravan Uranium Project (Union Carbide) ............................. (former town of) Uravan ........ P*
CO ....................... Vasquez Boulevard and I–70 ................................................ Denver.
CT ........................ Barkhamsted-New Hartford Landfill ....................................... Barkhamsted.
CT ........................ Beacon Heights Landfill ......................................................... Beacon Falls.
CT ........................ Durham Meadows .................................................................. Durham.
CT ........................ Gallup’s Quarry ...................................................................... Plainfield.
CT ........................ Kellogg-Deering Well Field .................................................... Norwalk .................................. C
CT ........................ Laurel Park, Inc ..................................................................... Naugatuck Borough ............... S
CT ........................ Linemaster Switch Corp ........................................................ Woodstock.
CT ........................ Old Southington Landfill ........................................................ Southington.
CT ........................ Precision Plating Corp ........................................................... Vernon.
CT ........................ Raymark Industries, Inc ......................................................... Stratford ................................. A
CT ........................ Scovill Industrial Landfill ........................................................ Waterbury.
CT ........................ Solvents Recovery Service New England ............................. Southington.
CT ........................ Yaworski Waste Lagoon ........................................................ Canterbury.
DE ....................... Army Creek Landfill ............................................................... New Castle County ................ C
DE ....................... Chem-Solv, Inc ...................................................................... Cheswold.
DE ....................... Coker’s Sanitation Service Landfills ...................................... Kent County ........................... C
DE ....................... Delaware City PVC Plant ...................................................... Delaware City.
DE ....................... Delaware Sand & Gravel Landfill .......................................... New Castle County.
DE ....................... Dover Gas Light Co ............................................................... Dover.
DE ....................... E.I.Du Pont de Nemours (Newport Landfill) .......................... Newport.
DE ....................... Halby Chemical Co ................................................................ New Castle.
DE ....................... Harvey & Knott Drum, Inc ..................................................... Kirkwood ................................ C
DE ....................... Koppers Co., Inc. (Newport Plant) ........................................ Newport.
DE ....................... NCR Corp. (Millsboro Plant) .................................................. Millsboro ................................ C
DE ....................... Standard Chlorine of Delaware, Inc ...................................... Delaware City.
DE ....................... Tybouts Corner Landfill ......................................................... New Castle County ................ C,S
FL ........................ Agrico Chemical Co ............................................................... Pensacola.
FL ........................ Airco Plating Co ..................................................................... Miami.
FL ........................ Alaric Area Ground Water Plume .......................................... Tampa.
FL ........................ American Creosote Works (Pensacola Plt) ........................... Pensacola.

FL ........................ Anodyne, Inc .......................................................................... North Miami Beach.
FL ........................ B&B Chemical Co., Inc .......................................................... Hialeah ................................... C
208

FL ........................ Cabot/Koppers ....................................................................... Gainesville.

FL ........................ Callaway & Son Drum Service .............................................. Lake Alfred..
FL ........................ Chevron Chemical Co. (Ortho Division) ................................ Orlando.
FL ........................ City Industries, Inc ................................................................. Orlando .................................. C
FL ........................ Coleman-Evans Wood Preserving Co ................................... Whitehouse.
FL ........................ Escambia Wood—Pensacola ................................................ Pensacola.
FL ........................ Florida Petroleum Reprocessors ........................................... Fort Lauderdale..
FL ........................ Florida Steel Corp .................................................................. Indiantown.
FL ........................ Harris Corp. (Palm Bay Plant) ............................................... Palm Bay.
FL ........................ Helena Chemical Co. (Tampa Plant) .................................... Tampa.
FL ........................ Hipps Road Landfill ............................................................... Duval County ......................... C
FL ........................ Hollingsworth Solderless Terminal ........................................ Fort Lauderdale ..................... C
FL ........................ Landia Chemical Company ................................................... Lakeland..
FL ........................ MRI Corp (Tampa) ................................................................. Tampa.
FL ........................ Madison County Sanitary Landfill .......................................... Madison ................................. C
FL ........................ Miami Drum Services ............................................................ Miami ..................................... C
FL ........................ Peak Oil Co./Bay Drum Co ................................................... Tampa.
FL ........................ Pepper Steel & Alloys, Inc ..................................................... Medley ................................... C
FL ........................ Petroleum Products Corp ...................................................... Pembroke Park.
FL ........................ Pickettville Road Landfill ........................................................ Jacksonville.
FL ........................ Piper Aircraft/Vero Beach Water & Sewer ............................ Vero Beach.
FL ........................ Reeves Southeast Galvanizing Corp .................................... Tampa.
FL ........................ Sapp Battery Salvage ............................................................ Cottondale.
FL ........................ Sherwood Medical Industries ................................................ Deland.
FL ........................ Solitron Microwave ................................................................ Port Salerno.
FL ........................ Southern Solvents, Inc .......................................................... Tampa.
FL ........................ Stauffer Chemical Co. (Tampa) ............................................. Tampa.
FL ........................ Stauffer Chemical Co. (Tarpon Springs) ............................... Tarpon Springs.
FL ........................ Sydney Mine Sludge Ponds .................................................. Brandon.
FL ........................ Taylor Road Landfill ............................................................... Seffner.
FL ........................ Tower Chemical Co ............................................................... Clermont.
FL ........................ Trans Circuit, Inc. .................................................................. Lake Park.
FL ........................ United Metals, Inc .................................................................. Marianna..
FL ........................ Whitehouse Oil Pits ............................................................... Whitehouse.
FL ........................ Wingate Road Municipal Incinerator Dump ........................... Fort Lauderdale.
FL ........................ Zellwood Ground Water Contamination ................................ Zellwood.
GA ....................... Alternate Energy Resources .................................................. Augusta.
GA ....................... Brunswick Wood Preserving .................................................. Brunswick.
GA ....................... Camilla Wood Preserving Company ..................................... Camilla.
GA ....................... Diamond Shamrock Corp. Landfill ......................................... Cedartown ............................. C
GA ....................... Firestone Tire & Rubber Co. (Albany Plant) ......................... Albany.
GA ....................... Hercules 009 Landfill ............................................................. Brunswick.
GA ....................... LCP Chemicals Georgia ........................................................ Brunswick .............................. S
GA ....................... Marzone Inc./Chevron Chemical Co ..................................... Tifton.
GA ....................... Mathis Brothers Landfill ......................................................... Kensington.
GA ....................... Peach Orchard Road PCE Ground Water Plume ................. Augusta.
GA ....................... Powersville Site ..................................................................... Peach County ........................ C
GA ....................... T.H. Agriculture & Nutrition (Albany) ..................................... Albany.
GA ....................... Woolfolk Chemical Works, Inc ............................................... Fort Valley.
GU ....................... Ordot Landfill ......................................................................... Guam ..................................... C,S
HI ......................... Del Monte Corp. (Oahu Plantation) ....................................... Honolulu County .................... P
IA ......................... Des Moines TCE ................................................................... Des Moines.
IA ......................... Electro-Coatings, Inc ............................................................. Cedar Rapids.
IA ......................... Fairfield Coal Gasification Plant ............................................ Fairfield .................................. C
IA ......................... Lawrence Todtz Farm ............................................................ Camanche ............................. C
IA ......................... Mason City Coal Gasification Plant ....................................... Mason City.
IA ......................... Midwest Manufacturing/North Farm ...................................... Kellogg ................................... C
IA ......................... Peoples Natural Gas Co ........................................................ Dubuque.
IA ......................... Railroad Avenue Groundwater Contamination ...................... Des Moines.
IA ......................... Shaw Avenue Dump .............................................................. Charles City.
IA ......................... Vogel Paint & Wax Co ........................................................... Orange City ........................... C
ID ......................... Bunker Hill Mining & Metallurgical ......................................... Smelterville.
ID ......................... Eastern Michaud Flats Contamination .................................. Pocatello.
ID ......................... Kerr-McGee Chemical Corp. (Soda Springs) ........................ Soda Springs.
ID ......................... Monsanto Chemical Co. (Soda Springs) ............................... Soda Springs.
IL ......................... A & F Material Reclaiming, Inc .............................................. Greenup ................................. C
IL ......................... Acme Solvent Reclaiming (Morristown Plant) ....................... Morristown.
IL ......................... Adams County Quincy Landfills 2&3 ..................................... Quincy.
IL ......................... Amoco Chemicals (Joliet Landfill) ......................................... Joliet.
IL ......................... ASARCO Taylor Springs ....................................................... Taylor Springs.

IL ......................... Beloit Corp ............................................................................. Rockton.
IL ......................... Belvidere Municipal Landfill ................................................... Belvidere ................................ C
209

IL ......................... Byron Salvage Yard ............................................................... Byron.

IL ......................... Central Illinois Public Service Co .......................................... Taylorville ............................... C
IL ......................... Cross Brothers Pail Recycling (Pembroke) ........................... Pembroke Township .............. C
IL ......................... DePue/New Jersey Zinc/Mobil ChemCorp ............................ DePue.
IL ......................... DuPage County Landfill/Blackwell Forest ............................. Warrenville.
IL ......................... Eagle Zinc Co Div T L Diamond ........................................... Hillsboro.
IL ......................... Galesburg/Koppers Co .......................................................... Galesburg.
IL ......................... H.O.D. Landfill ....................................................................... Antioch.
IL ......................... Hegeler Zinc .......................................................................... Danville.
IL ......................... Indian Refinery—Texaco Lawrenceville ................................ Lawrenceville.
IL ......................... Interstate Pollution Control, Inc ............................................. Rockford.
IL ......................... Jennison-Wright Corporation ................................................. Granite City.
IL ......................... Johns-Manville Corp .............................................................. Waukegan .............................. C
IL ......................... Kerr-McGee (Kress Creek/W Branch DuPage) ..................... DuPage County.
IL ......................... Kerr-McGee (Reed-Keppler Park) ......................................... West Chicago.
IL ......................... Kerr-McGee (Residential Areas) ........................................... West Chicago/DuPage Coun-
ty.
IL ......................... Kerr-McGee (Sewage Treatment Plant) ................................ West Chicago.
IL ......................... LaSalle Electric Utilities ......................................................... LaSalle ................................... C
IL ......................... Lenz Oil Service, Inc ............................................................. Lemont.
IL ......................... Matthiessen and Hegeler Zinc Company .............................. LaSalle.
IL ......................... MIG/Dewane Landfill ............................................................. Belvidere.
IL ......................... NL Industries/Taracorp Lead Smelter ................................... Granite City.
IL ......................... Ottawa Radiation Areas ......................................................... Ottawa.
IL ......................... Outboard Marine Corp ........................................................... Waukegan .............................. S
IL ......................... Pagel’s Pit .............................................................................. Rockford.
IL ......................... Parsons Casket Hardware Co ............................................... Belvidere.
IL ......................... Southeast Rockford Gd Wtr Contamination .......................... Rockford.
IL ......................... Tri-County Landfill/Waste Mgmt Illinois ................................. South Elgin.
IL ......................... Velsicol Chemical Corp. (Illinois) ........................................... Marshall ................................. C
IL ......................... Wauconda Sand & Gravel ..................................................... Wauconda .............................. C
IL ......................... Woodstock Municipal Landfill ................................................ Woodstock.
IL ......................... Yeoman Creek Landfill .......................................................... Waukegan.
IN ......................... American Chemical Service, Inc ........................................... Griffith.
IN ......................... Bennett Stone Quarry ............................................................ Bloomington.
IN ......................... Cam-Or Inc ............................................................................ Westville..
IN ......................... Columbus Old Municipal Landfill #1 ...................................... Columbus ............................... C
IN ......................... Conrail Rail Yard (Elkhart) ..................................................... Elkhart.
IN ......................... Continental Steel Corp .......................................................... Kokomo.
IN ......................... Douglass Road/Uniroyal, Inc., Landfill .................................. Mishawaka.
IN ......................... Elm Street Ground Water Contamination .............................. Terre Haute.
IN ......................... Envirochem Corp ................................................................... Zionsville.
IN ......................... Fisher-Calo ............................................................................ LaPorte.
IN ......................... Fort Wayne Reduction Dump ................................................ Fort Wayne ............................ C
IN ......................... Galen Myers Dump/Drum Salvage ........................................ Osceola.
IN ......................... Himco Dump .......................................................................... Elkhart.
IN ......................... Jacobsville Neighborhood Soil Contamination ...................... Evansville.
IN ......................... Lake Sandy Jo (M&M Landfill) .............................................. Gary ....................................... C
IN ......................... Lakeland Disposal Service, Inc ............................................. Claypool.
IN ......................... Lemon Lane Landfill .............................................................. Bloomington.
IN ......................... Lusher Street Ground Water Contamination ......................... Elkhart.
IN ......................... MIDCO I ................................................................................. Gary.
IN ......................... MIDCO II ................................................................................ Gary.
IN ......................... Main Street Well Field ........................................................... Elkhart .................................... C
IN ......................... Marion (Bragg) Dump ............................................................ Marion.
IN ......................... Neal’s Landfill (Bloomington) ................................................. Bloomington.
IN ......................... Ninth Avenue Dump .............................................................. Gary ....................................... C
IN ......................... Northside Sanitary Landfill, Inc .............................................. Zionsville ................................ C
IN ......................... Prestolite Battery Division ...................................................... Vincennes.
IN ......................... Reilly Tar & Chemical (Indianapolis Plant) ............................ Indianapolis.
IN ......................... Seymour Recycling Corp ....................................................... Seymour ................................ C,S
IN ......................... Tippecanoe Sanitary Landfill, Inc .......................................... Lafayette.
IN ......................... Waste, Inc., Landfill ............................................................... Michigan City.
IN ......................... Wayne Waste Oil ................................................................... Columbia City ........................ C
KS ........................ 57th and North Broadway Streets Site .................................. Wichita Heights.
KS ........................ Ace Services .......................................................................... Colby.
KS ........................ Chemical Commodities, Inc ................................................... Olathe.
KS ........................ Cherokee County ................................................................... Cherokee County.
KS ........................ Doepke Disposal (Holliday) ................................................... Johnson County.
KS ........................ Obee Road ............................................................................ Hutchinson.

KS ........................ Pester Refinery Co ................................................................ El Dorado.
KS ........................ Plating, Inc ............................................................................. Great Bend.
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KS ........................ Strother Field Industrial Park ................................................. Cowley County.

KS ........................ Wright Ground Water Contamination .................................... Wright.
KY ........................ Airco ....................................................................................... Calvert City.
KY ........................ B.F. Goodrich ......................................................................... Calvert City.
KY ........................ Brantley Landfill ..................................................................... Island.
KY ........................ Caldwell Lace Leather Co., Inc ............................................. Auburn ................................... C
KY ........................ Distler Brickyard ..................................................................... West Point ............................. C
KY ........................ Distler Farm ........................................................................... Jefferson County ................... C
KY ........................ Fort Hartford Coal Co. Stone Quarry .................................... Olaton.
KY ........................ Green River Disposal, Inc ..................................................... Maceo.
KY ........................ Maxey Flats Nuclear Disposal ............................................... Hillsboro.
KY ........................ National Electric Coil/Cooper Industries ................................ Dayhoit.
KY ........................ National Southwire Aluminum Co .......................................... Hawesville.
KY ........................ Smith’s Farm .......................................................................... Brooks.
KY ........................ Tri-City Disposal Co ............................................................... Shepherdsville ....................... C
LA ........................ Agriculture Street Landfill ...................................................... New Orleans .......................... P
LA ........................ American Creosote Works, Inc (Winnfield) ........................... Winnfield.
LA ........................ Bayou Bonfouca .................................................................... Slidell.
LA ........................ Central Wood Preserving Co ................................................. Slaughter.
LA ........................ Combustion, Inc ..................................................................... Denham Springs.
LA ........................ Madisonville Creosote Works ................................................ Madisonville.
LA ........................ Marion Pressure Treating ...................................................... Marion.
LA ........................ Old Inger Oil Refinery ............................................................ Darrow ................................... S
LA ........................ Petro-Processors of Louisiana Inc ........................................ Scotlandville.
LA ........................ Ruston Foundry ..................................................................... Alexandria.
MA ....................... Atlas Tack Corp ..................................................................... Fairhaven.
MA ....................... Baird & McGuire .................................................................... Holbrook.
MA ....................... Blackburn & Union Privileges ................................................ Walpole.
MA ....................... Cannon Engineering Corp. (CEC) ......................................... Bridgewater ............................ C
MA ....................... Charles-George Reclamation Landfill .................................... Tyngsborough.
MA ....................... Groveland Wells .................................................................... Groveland.
MA ....................... Hatheway and Patterson Company ....................................... Mansfield.
MA ....................... Haverhill Municipal Landfill .................................................... Haverhill.
MA ....................... Hocomonco Pond .................................................................. Westborough.
MA ....................... Industri-Plex ........................................................................... Woburn.
MA ....................... Iron Horse Park ..................................................................... Billerica.
MA ....................... New Bedford Site ................................................................... New Bedford .......................... S
MA ....................... Norwood PCBs ...................................................................... Norwood.
MA ....................... Nuclear Metals, Inc ................................................................ Concord..
MA ....................... Nyanza Chemical Waste Dump ............................................ Ashland.
MA ....................... Olin Chemical ........................................................................ Wilmington.
MA ....................... PSC Resources ..................................................................... Palmer.
MA ....................... Re-Solve, Inc ......................................................................... Dartmouth.
MA ....................... Rose Disposal Pit .................................................................. Lanesboro .............................. C
MA ....................... Shpack Landfill ...................................................................... Norton/Attleboro.
MA ....................... Silresim Chemical Corp ......................................................... Lowell.
MA ....................... Sullivan’s Ledge ..................................................................... New Bedford.
MA ....................... Sutton Brook Disposal Area .................................................. Tewksbury..
MA ....................... W.R. Grace & Co Inc (Acton Plant) ...................................... Acton.
MA ....................... Wells G&H ............................................................................. Woburn.
MD ....................... Bush Valley Landfill ............................................................... Abingdon.
MD ....................... Central Chemical ................................................................... Hagerstown.
MD ....................... Kane & Lombard Street Drums ............................................. Baltimore.
MD ....................... Limestone Road ..................................................................... Cumberland.
MD ....................... Ordnance Products, Inc. ........................................................ Cecil County.
MD ....................... Sand, Gravel & Stone ............................................................ Elkton.
MD ....................... Spectron, Inc .......................................................................... Elkton.
MD ....................... Woodlawn County Landfill ..................................................... Woodlawn.
ME ....................... Callahan Mine ........................................................................ Brooksville.
ME ....................... Eastern Surplus ..................................................................... Meddybemps.
ME ....................... Eastland Woolen Mill ............................................................. Corinna.
ME ....................... McKin Co ............................................................................... Gray ....................................... C
ME ....................... O’Connor Co .......................................................................... Augusta.
ME ....................... Saco Municipal Landfill .......................................................... Saco.
ME ....................... Union Chemical Co., Inc ........................................................ South Hope.
ME ....................... West Site/Hows Corners ....................................................... Plymouth.
ME ....................... Winthrop Landfill .................................................................... Winthrop.
MI ........................ Adam’s Plating ....................................................................... Lansing .................................. C
MI ........................ Aircraft Components (D & L Sales) ....................................... Benton Harbor ....................... A
MI ........................ Albion-Sheridan Township Landfill ........................................ Albion.

MI ........................ Allied Paper/Portage Ck/Kalamazoo River ............................ Kalamazoo.
MI ........................ American Anodco, Inc ........................................................... Ionia ....................................... C
211

MI ........................ Auto Ion Chemicals, Inc ........................................................ Kalamazoo ............................. C

MI ........................ Barrels, Inc ............................................................................. Lansing.
MI ........................ Bendix Corp./Allied Automotive ............................................. St. Joseph.
MI ........................ Bofors Nobel, Inc ................................................................... Muskegon.
MI ........................ Burrows Sanitation ................................................................. Hartford .................................. C
MI ........................ Butterworth #2 Landfill ........................................................... Grand Rapids.
MI ........................ Cannelton Industries, Inc ....................................................... Saulte Saint Marie.
MI ........................ Chem Central ......................................................................... Wyoming Township ............... C
MI ........................ Clare Water Supply ............................................................... Clare.
MI ........................ Duell & Gardner Landfill ........................................................ Dalton Township.
MI ........................ Electrovoice ........................................................................... Buchanan.
MI ........................ Forest Waste Products .......................................................... Otisville.
MI ........................ G&H Landfill ........................................................................... Utica.
MI ........................ Grand Traverse Overall Supply Co ....................................... Greilickville ............................. C
MI ........................ Gratiot County Landfill ........................................................... St. Louis ................................. C,S
MI ........................ H. Brown Co., Inc .................................................................. Grand Rapids.
MI ........................ Hedblum Industries ................................................................ Oscoda .................................. C
MI ........................ Hi-Mill Manufacturing Co ....................................................... Highland ................................. C
MI ........................ Ionia City Landfill ................................................................... Ionia.
MI ........................ J & L Landfill .......................................................................... Rochester Hills.
MI ........................ K&L Avenue Landfill .............................................................. Oshtemo Township.
MI ........................ Kaydon Corp .......................................................................... Muskegon.
MI ........................ Kentwood Landfill .................................................................. Kentwood ............................... C
MI ........................ Kysor Industrial Corp ............................................................. Cadillac .................................. C
MI ........................ Liquid Disposal, Inc ............................................................... Utica.
MI ........................ McGraw Edison Corp ............................................................ Albion.
MI ........................ Metamora Landfill .................................................................. Metamora.
MI ........................ Michigan Disposal (Cork Street Landfill) ............................... Kalamazoo.
MI ........................ Motor Wheel .......................................................................... Lansing .................................. P
MI ........................ Muskegon Chemical Co ........................................................ Whitehall.
MI ........................ North Bronson Industrial Area ............................................... Bronson.
MI ........................ Northernaire Plating ............................................................... Cadillac .................................. C
MI ........................ Organic Chemicals, Inc ......................................................... Grandville.
MI ........................ Ott/Story/Cordova Chemical Co ............................................ Dalton Township.
MI ........................ Packaging Corp. of America .................................................. Filer City.
MI ........................ Parsons Chemical Works, Inc ............................................... Grand Ledge.
MI ........................ Peerless Plating Co ............................................................... Muskegon.
MI ........................ Petoskey Municipal Well Field ............................................... Petoskey.
MI ........................ Rasmussen’s Dump ............................................................... Green Oak Township ............ C
MI ........................ Rockwell International Corp. (Allegan) .................................. Allegan.
MI ........................ Rose Township Dump ........................................................... Rose Township ...................... C
MI ........................ Roto-Finish Co., Inc ............................................................... Kalamazoo.
MI ........................ SCA Independent Landfill ...................................................... Muskegon Heights.
MI ........................ Shiawassee River .................................................................. Howell.
MI ........................ South Macomb Disposal (Landfills 9 & 9A) .......................... Macomb Township.
MI ........................ Southwest Ottawa County Landfill ........................................ Park Township ....................... C
MI ........................ Sparta Landfill ........................................................................ Sparta Township.
MI ........................ Spartan Chemical Co ............................................................ Wyoming.
MI ........................ Spiegelberg Landfill ............................................................... Green Oak Township ............ C
MI ........................ Springfield Township Dump ................................................... Davisburg.
MI ........................ State Disposal Landfill, Inc .................................................... Grand Rapids.
MI ........................ Sturgis Municipal Wells ......................................................... Sturgis.
MI ........................ Tar Lake ................................................................................. Antrim .................................... P
MI ........................ Thermo-Chem, Inc ................................................................. Muskegon.
MI ........................ Torch Lake ............................................................................. Houghton ............................... P
MI ........................ U.S. Aviex .............................................................................. Howard Township .................. C
MI ........................ Velsicol Chemical Corp. (Michigan) ...................................... St. Louis ................................. C
MI ........................ Verona Well Field .................................................................. Battle Creek.
MI ........................ Wash King Laundry ............................................................... Pleasant Plains Twp.
MI ........................ Waste Management of Michigan (Holland) ........................... Holland.
MN ....................... Arrowhead Refinery Co ......................................................... Hermantown .......................... C
MN ....................... Baytown Township Ground Water Plume ............................. Baytown Township.
MN ....................... Burlington Northern (Brainerd/Baxter) ................................... Brainerd/Baxter ...................... C
MN ....................... FMC Corp. (Fridley Plant) ..................................................... Fridley .................................... C
MN ....................... Freeway Sanitary Landfill ...................................................... Burnsville.
MN ....................... Fridley Commons Park Well Field ......................................... Fridley.
MN ....................... General Mills/Henkel Corp ..................................................... Minneapolis ............................ C
MN ....................... Joslyn Manufacturing and Supply Co .................................... Brooklyn Center ..................... P
MN ....................... Koppers Coke ........................................................................ St. Paul.
MN ....................... Kurt Manufacturing Co ........................................................... Fridley .................................... C

MN ....................... Lehillier/Mankato Site ............................................................ Lehillier/Mankato .................... C
MN ....................... Long Prairie Ground Water Contamination ........................... Long Prairie.
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MN ....................... MacGillis & Gibbs/Bell Lumber & Pole C .............................. New Brighton.
MN ....................... Nutting Truck & Caster Co .................................................... Faribault ................................. C
MN ....................... Oakdale Dump ....................................................................... Oakdale ................................. C
MN ....................... Perham Arsenic Site .............................................................. Perham.
MN ....................... Reilly Tar&Chem (St. Louis Park Plant) ................................ St. Louis Park ........................ S
MN ....................... Ritari Post & Pole .................................................................. Sebeka.
MN ....................... South Andover Site ................................................................ Andover ................................. P
MN ....................... South Minneapolis Residential Soil Contamination ............... Minneapolis.
MN ....................... St. Louis River Site ................................................................ St. Louis County.
MN ....................... St. Regis Paper Co ................................................................ Cass Lake.
MN ....................... Waite Park Wells ................................................................... Waite Park.
MO ....................... Annapolis Lead Mine ............................................................. Annapolis.
MO ....................... Armour Road ......................................................................... North Kansas City.
MO ....................... Bee Cee Manufacturing Co ................................................... Malden.
MO ....................... Big River Mine Tailings/St. Joe Minerals .............................. Desloge.
MO ....................... Conservation Chemical Co .................................................... Kansas City ........................... C
MO ....................... Ellisville Site ........................................................................... Ellisville .................................. S
MO ....................... Fulbright Landfill .................................................................... Springfield .............................. C
MO ....................... Lee Chemical ......................................................................... Liberty .................................... C
MO ....................... Madison County Mines .......................................................... Fredericktown.
MO ....................... Minker/Stout/Romaine Creek ................................................. Imperial.
MO ....................... Missouri Electric Works ......................................................... Cape Girardeau.
MO ....................... Newton County Mine Tailings ................................................ Newton County.
MO ....................... Newton County Wells ............................................................ Newton County.
MO ....................... Oak Grove Village Well ......................................................... Oak Grove Village.
MO ....................... Oronogo-Duenweg Mining Belt ............................................. Jasper County.
MO ....................... Pools Prairie .......................................................................... Neosho.
MO ....................... Quality Plating ........................................................................ Sikeston.
MO ....................... Riverfront ............................................................................... New Haven.
MO ....................... Solid State Circuits, Inc ......................................................... Republic ................................. C
MO ....................... St. Louis Airport/HIS/Futura Coatings Co ............................. St. Louis County.
MO ....................... Syntex Facility ........................................................................ Verona.
MO ....................... Valley Park TCE .................................................................... Valley Park.
MO ....................... Washington County Lead District—Old Mines ...................... Old Mines.
MO ....................... Washington County Lead District—Potosi ............................ Potosi.
MO ....................... Washington County Lead District—Richwoods ..................... Richwoods.
MO ....................... Westlake Landfill .................................................................... Bridgeton.
MS ....................... American Creosote Works, Inc .............................................. Louisville.
MS ....................... Davis Timber Company ......................................................... Hattiesburg.
MS ....................... Picayune Wood Treating ....................................................... Picayune.
MS ....................... Sonford Products ................................................................... Flowood.
MT ....................... Anaconda Co. Smelter .......................................................... Anaconda.
MT ....................... Barker Hughesville Mining District ......................................... Barker.
MT ....................... Basin Mining Area ................................................................. Basin.
MT ....................... Carpenter Snow Creek Mining District .................................. Neihart.
MT ....................... East Helena Site .................................................................... East Helena.
MT ....................... Idaho Pole Co ........................................................................ Bozeman.
MT ....................... Libby Asbestos ...................................................................... Libby ...................................... S
MT ....................... Libby Ground Water Contamination ...................................... Libby ...................................... C
MT ....................... Lockwood Solvent Ground Water Plume .............................. Billings.
MT ....................... Milltown Reservoir Sediments ............................................... Milltown.
MT ....................... Montana Pole and Treating ................................................... Butte.
MT ....................... Mouat Industries .................................................................... Columbus ............................... C
MT ....................... Silver Bow Creek/Butte Area ................................................. Sil Bow/Deer Lodge.
MT ....................... Upper Tenmile Creek Mining Area ........................................ Lewis and Clark.
NC ....................... ABC One Hour Cleaners ....................................................... Jacksonville.
NC ....................... Aberdeen Pesticide Dumps ................................................... Aberdeen.
NC ....................... Barber Orchard ...................................................................... Waynesville.
NC ....................... Benfield Industries, Inc. ......................................................... Hazelwood.
NC ....................... Blue Ridge Plating ................................................................. Arden.
NC ....................... Bypass 601 Ground Water Contamination ............................ Concord ................................. P
NC ....................... Cape Fear Wood Preserving ................................................. Fayetteville.
NC ....................... Carolina Transformer Co ....................................................... Fayetteville.
NC ....................... Celanese Corp. (Shelby Fiber Operations) ........................... Shelby/Cleveland ................... P
NC ....................... Charles Macon Lagoon & Drum Storage .............................. Cordova ................................. C
NC ....................... Chemtronics, Inc .................................................................... Swannanoa ............................ C
NC ....................... Davis Park Road TCE ........................................................... Gastonia.
NC ....................... FCX, Inc. (Statesville Plant) .................................................. Statesville.
NC ....................... FCX, Inc. (Washington Plant) ................................................ Washington.
NC ....................... Geigy Chemical Corp. (Aberdeen Plant) ............................... Aberdeen.

NC ....................... General Electric Co/Shepherd Farm ..................................... East Flat Rock ....................... P
NC ....................... JFD Electronics/Channel Master ........................................... Oxford.
213

NC ....................... Jadco-Hughes Facility ........................................................... Belmont .................................. C

NC ....................... Koppers Co., Inc. (Morrisville Plant) ...................................... Morrisville ............................... P
NC ....................... Martin-Marietta, Sodyeco, Inc ................................................ Charlotte.
NC ....................... NC State University (Lot 86,Farm Unit #1) ........................... Raleigh.
NC ....................... National Starch & Chemical Corp ......................................... Salisbury.
NC ....................... New Hanover Cnty Airport Burn Pit ...................................... Wilmington.
NC ....................... North Belmont PCE ............................................................... North Belmont.
NC ....................... Potter’s Septic Tank Service Pits .......................................... Maco.
NC ....................... Ram Leather Care ................................................................. Charlotte.
NC ....................... Reasor Chemical Company ................................................... Castle Hayne.
NC ....................... Sigmon’s Septic Tank ............................................................ Statesville.
NC ....................... Ward Transformer .................................................................. Raleigh..
NE ....................... 10th Street Site ...................................................................... Columbus.
NE ....................... Bruno Co-op Association/Associated Prop ........................... Bruno.
NE ....................... Cleburn Street Well ............................................................... Grand Island.
NE ....................... Garvey Elevator ..................................................................... Hastings.
NE ....................... Hastings Ground Water Contamination ................................. Hastings.
NE ....................... Lindsay Manufacturing Co ..................................................... Lindsay .................................. C
NE ....................... Nebraska Ordnance Plant (Former) ...................................... Mead.
NE ....................... Ogallala Ground Water Contamination ................................. Ogallala.
NE ....................... Omaha Lead .......................................................................... Omaha..
NE ....................... Parkview Well ........................................................................ Grand Island.
NE ....................... Sherwood Medical Co ........................................................... Norfolk.
NE ....................... West Highway 6 & Highway 281 ........................................... Hastings.
NH ....................... Auburn Road Landfill ............................................................. Londonderry.
NH ....................... Beede Waste Oil .................................................................... Plaistow.
NH ....................... Chlor-Alkali Facility (Former) ................................................. Berlin.
NH ....................... Coakley Landfill ..................................................................... North Hampton.
NH ....................... Dover Municipal Landfill ........................................................ Dover.
NH ....................... Fletcher’s Paint Works & Storage ......................................... Milford.
NH ....................... Kearsarge Metallurgical Corp ................................................ Conway .................................. C
NH ....................... Keefe Environmental Services .............................................. Epping .................................... C
NH ....................... Mottolo Pig Farm ................................................................... Raymond ............................... C
NH ....................... New Hampshire Plating Co ................................................... Merrimack.
NH ....................... Ottati & Goss/Kingston Steel Drum ....................................... Kingston.
NH ....................... Savage Municipal Water Supply ........................................... Milford.
NH ....................... Somersworth Sanitary Landfill ............................................... Somersworth.
NH ....................... South Municipal Water Supply Well ...................................... Peterborough ......................... C
NH ....................... Sylvester ................................................................................ Nashua .................................. C,S
NH ....................... Tibbetts Road ........................................................................ Barrington.
NH ....................... Tinkham Garage .................................................................... Londonderry ........................... C
NH ....................... Town Garage/Radio Beacon ................................................. Londonderry ........................... C
NH ....................... Troy Mills Landfill ................................................................... Troy.
NJ ........................ A. O. Polymer ........................................................................ Sparta/Sussex ....................... P
NJ ........................ American Cyanamid Co. ........................................................ Bound Brook .......................... P
NJ ........................ Asbestos Dump ..................................................................... Millington ................................ P
NJ ........................ Atlantic Resources Corporation ............................................. Sayreville.
NJ ........................ Bog Creek Farm .................................................................... Howell Township ................... C
NJ ........................ Brick Township Landfill .......................................................... Brick Township.
NJ ........................ Bridgeport Rental & Oil Services ........................................... Bridgeport.
NJ ........................ Brook Industrial Park ............................................................. Bound Brook.
NJ ........................ Burnt Fly Bog ......................................................................... Marlboro Township.
NJ ........................ CPS/Madison Industries ........................................................ Old Bridge Township.
NJ ........................ Caldwell Trucking Co ............................................................. Fairfield.
NJ ........................ Chemical Control ................................................................... Elizabeth ................................ C
NJ ........................ Chemical Insecticide Corp ..................................................... Edison Township.
NJ ........................ Chemical Leaman Tank Lines, Inc ........................................ Bridgeport.
NJ ........................ Chemsol, Inc .......................................................................... Piscataway.
NJ ........................ Ciba-Geigy Corp .................................................................... Toms River.
NJ ........................ Cinnaminson Ground Water Contamination .......................... Cinnaminson Township.
NJ ........................ Combe Fill South Landfill ...................................................... Chester Township.
NJ ........................ Cornell Dubilier Electronics Inc ............................................. South Plainfield.
NJ ........................ Cosden Chemical Coatings Corp .......................................... Beverly.
NJ ........................ Crown Vantage Landfill ......................................................... Alexandria Township.
NJ ........................ Curcio Scrap Metal, Inc ......................................................... Saddle Brook Township.
NJ ........................ D’Imperio Property ................................................................. Hamilton Township.
NJ ........................ Dayco Corp./L.E Carpenter Co ............................................. Wharton Borough.
NJ ........................ De Rewal Chemical Co ......................................................... Kingwood Township.
NJ ........................ Delilah Road .......................................................................... Egg Harbor Township.
NJ ........................ Diamond Alkali Co ................................................................. Newark.

NJ ........................ Diamond Head Oil Refinery Div ............................................ Kearny.
NJ ........................ Dover Municipal Well 4 .......................................................... Dover Township.
214

NJ ........................ Ellis Property .......................................................................... Evesham Township.

NJ ........................ Emmell’s Septic Landfill ......................................................... Galloway Township.
NJ ........................ Evor Phillips Leasing ............................................................. Old Bridge Township.
NJ ........................ Ewan Property ....................................................................... Shamong Township.
NJ ........................ Fair Lawn Well Field .............................................................. Fair Lawn.
NJ ........................ Federal Creosote ................................................................... Manville Borough.
NJ ........................ Franklin Burn ......................................................................... Franklin Township.
NJ ........................ Fried Industries ...................................................................... East Brunswick Township.
NJ ........................ GEMS Landfill ........................................................................ Gloucester Township.
NJ ........................ Garden State Cleaners Co .................................................... Minotola.
NJ ........................ Glen Ridge Radium Site ........................................................ Glen Ridge.
NJ ........................ Global Sanitary Landfill .......................................................... Old Bridge Township.
NJ ........................ Goose Farm ........................................................................... Plumstead Township ............. C
NJ ........................ Helen Kramer Landfill ............................................................ Mantua Township .................. C
NJ ........................ Hercules, Inc. (Gibbstown Plant) ........................................... Gibbstown.
NJ ........................ Higgins Disposal .................................................................... Kingston.
NJ ........................ Higgins Farm ......................................................................... Franklin Township.
NJ ........................ Horseshoe Road .................................................................... Sayreville.
NJ ........................ Iceland Coin Laundry Area Ground Water Plume ................ Vineland.
NJ ........................ Imperial Oil Co., Inc./Champion Chemicals .......................... Morganville.
NJ ........................ JIS Landfill ............................................................................. Jamesburg/S. Brnswck.
NJ ........................ Kauffman & Minteer, Inc ........................................................ Jobstown.
NJ ........................ Kin-Buc Landfill ...................................................................... Edison Township.
NJ ........................ King of Prussia ...................................................................... Winslow Township ................. C
NJ ........................ LCP Chemicals Inc ................................................................ Linden.
NJ ........................ Landfill & Development Co .................................................... Mount Holly.
NJ ........................ Lang Property ........................................................................ Pemberton Township ............. C
NJ ........................ Lightman Drum Company ...................................................... Winslow Township.
NJ ........................ Lipari Landfill .......................................................................... Pitman.
NJ ........................ Lone Pine Landfill .................................................................. Freehold Township ................ C
NJ ........................ Martin Aaron, Inc ................................................................... Camden.
NJ ........................ Maywood Chemical Co .......................................................... Maywood/Rochelle Park.
NJ ........................ Matteo & Sons, Inc. ............................................................... Thorofare.
NJ ........................ Metaltec/Aerosystems ............................................................ Franklin Borough.
NJ ........................ Monitor Devices/Intercircuits Inc ............................................ Wall Township.
NJ ........................ Montclair/West Orange Radium Site ..................................... Montclair/W Orange.
NJ ........................ Montgomery Township Housing Development ...................... Montgomery Township.
NJ ........................ Myers Property ...................................................................... Franklin Township.
NJ ........................ NL Industries .......................................................................... Pedricktown.
NJ ........................ Nascolite Corp ....................................................................... Millville.
NJ ........................ PJP Landfill ............................................................................ Jersey City.
NJ ........................ Pohatcong Valley Ground Water Contaminat ....................... Warren County.
NJ ........................ Price Landfill .......................................................................... Pleasantville ........................... S
NJ ........................ Puchack Well Field ................................................................ Pennsauken Township..
NJ ........................ Quanta Resources ................................................................. Edgewater.
NJ ........................ Radiation Technology, Inc ..................................................... Rockaway Township.
NJ ........................ Reich Farms .......................................................................... Pleasant Plains.
NJ ........................ Ringwood Mines/Landfill ........................................................ Ringwood.
NJ ........................ Rockaway Borough Well Field .............................................. Rockaway Township.
NJ ........................ Rockaway Township Wells .................................................... Rockaway.
NJ ........................ Rocky Hill Municipal Well ...................................................... Rocky Hill Borough.
NJ ........................ Roebling Steel Co .................................................................. Florence.
NJ ........................ Rolling Knolls Landfill ............................................................ Chatham Township.
NJ ........................ Sayreville Landfill ................................................................... Sayreville.
NJ ........................ Scientific Chemical Processing ............................................. Carlstadt.
NJ ........................ Sharkey Landfill ..................................................................... Parsippany/Troy Hls.
NJ ........................ Sherwin-Williams/Hilliards Creek ........................................... Gibbsboro.
NJ ........................ Shieldalloy Corp ..................................................................... Newfield Borough.
NJ ........................ South Jersey Clothing Co ...................................................... Minotola.
NJ ........................ Standard Chlorine .................................................................. Kearny.
NJ ........................ Swope Oil & Chemical Co ..................................................... Pennsauken.
NJ ........................ Syncon Resins ....................................................................... South Kearny.
NJ ........................ U.S. Radium Corp ................................................................. Orange ................................... P
NJ ........................ United States Avenue Burn ................................................... Gibbsboro.
NJ ........................ Universal Oil Products (Chemical Division ............................ East Rutherford.
NJ ........................ Ventron/Velsicol ..................................................................... Wood Ridge Borough.
NJ ........................ Vineland Chemical Co., Inc ................................................... Vineland.
NJ ........................ Waldick Aerospace Devices, Inc ........................................... Wall Township.
NJ ........................ Welsbach & General Gas Mantle (Camden) ......................... Camden and Gloucester City.
NJ ........................ White Chemical Corp ............................................................. Newark ................................... A

NJ ........................ White Swan Cleaners/Sun Cleaners Area Ground Water Wall Township.
Contamination.
215

NJ ........................ Williams Property ................................................................... Swainton ................................ C

NJ ........................ Wilson Farm ........................................................................... Plumstead Township ............. C
NJ ........................ Woodbrook Road Dump ........................................................ South Plainfield..
NJ ........................ Woodland Route 532 Dump .................................................. Woodland Township.
NJ ........................ Woodland Route 72 Dump .................................................... Woodland Township.
NJ ........................ Zschiegner Refining ............................................................... Howell Township..
NM ....................... AT&SF (Albuquerque) ........................................................... Albuquerque.
NM ....................... Cimarron Mining Corp ........................................................... Carrizozo ............................... P
NM ....................... Eagle Picher Carefree Battery ............................................... Socorro.
NM ....................... Fruit Avenue Plume ............................................................... Albuquerque.
NM ....................... Grants Chlorinated Solvents Plume ...................................... Grants.
NM ....................... Griggs & Walnut Ground Water Plume ................................. Las Cruces..
NM ....................... Homestake Mining Co ........................................................... Milan ...................................... C
NM ....................... McGaffey and Main Groundwater Plume .............................. Roswell.
NM ....................... North Railroad Avenue Plume ............................................... Espanola.
NM ....................... Prewitt Abandoned Refinery .................................................. Prewitt .................................... P
NM ....................... South Valley ........................................................................... Albuquerque .......................... C, S
NM ....................... United Nuclear Corp .............................................................. Church Rock.
NV ....................... Carson River Mercury Site .................................................... Lyon/Churchill Cnty.
NY ....................... American Thermostat Co ....................................................... South Cairo.
NY ....................... Applied Environmental Services ............................................ Glenwood Landing ................. C
NY ....................... Brewster Well Field ................................................................ Putnam County.
NY ....................... Byron Barrel & Drum ............................................................. Byron.
NY ....................... Carroll & Dubies Sewage Disposal ....................................... Port Jervis.
NY ....................... Cayuga County Ground Water Contamination ...................... Cayuga County.
NY ....................... Circuitron Corp ....................................................................... East Farmingdale.
NY ....................... Claremont Polychemical ........................................................ Old Bethpage.
NY ....................... Colesville Municipal Landfill ................................................... Town of Colesville.
NY ....................... Computer Circuits .................................................................. Hauppauge.
NY ....................... Consolidated Iron and Metal ................................................. Newburgh..
NY ....................... Cortese Landfill ...................................................................... Village of Narrowsburg.
NY ....................... Crown Cleaners of Watertown, Inc ....................................... Carthage.
NY ....................... Diaz Chemical Corporation .................................................... Holley.
NY ....................... Ellenville Scrap Iron and Metal .............................................. Ellenville.
NY ....................... Endicott Village Well Field ..................................................... Village of Endicott.
NY ....................... FMC Corp. (Dublin Road Landfill) ......................................... Town of Shelby.
NY ....................... Facet Enterprises, Inc ............................................................ Elmira.
NY ....................... Forest Glen Mobile Home Subdivision .................................. Niagara Falls ......................... A
NY ....................... Fulton Avenue ........................................................................ North Hempstead..
NY ....................... Fulton Terminals .................................................................... Fulton.
NY ....................... GCL Tie & Treating Inc ......................................................... Village of Sidney.
NY ....................... GE Moreau ............................................................................ South Glen Falls.
NY ....................... General Motors (Central Foundry Division) ........................... Massena.
NY ....................... Genzale Plating Co ................................................................ Franklin Square.
NY ....................... Goldisc Recordings, Inc ......................................................... Holbrook.
NY ....................... Haviland Complex .................................................................. Town of Hyde Park.
NY ....................... Hertel Landfill ......................................................................... Plattekill.
NY ....................... Hiteman Leather .................................................................... West Winfield.
NY ....................... Hooker (Hyde Park) ............................................................... Niagara Falls.
NY ....................... Hooker (S Area) ..................................................................... Niagara Falls.
NY ....................... Hooker Chemical/Ruco Polymer Corp .................................. Hicksville.
NY ....................... Hopewell Precision Area Contamination ............................... Hopewell Junction.
NY ....................... Hudson River PCBs ............................................................... Hudson River.
NY ....................... Islip Municipal Sanitary Landfill ............................................. Islip.
NY ....................... Jackson Steel ........................................................................ Mineola/North Hempstead.
NY ....................... Johnstown City Landfill .......................................................... Town of Johnstown.
NY ....................... Jones Chemicals, Inc ............................................................ Caledonia.
NY ....................... Kentucky Avenue Well Field .................................................. Horseheads.
NY ....................... Lawrence Aviation Industries, Inc. ......................................... Port Jefferson Station.
NY ....................... Lehigh Valley Railroad ........................................................... Le Roy.
NY ....................... Li Tungsten Corp ................................................................... Glen Cove.
NY ....................... Liberty Industrial Finishing ..................................................... Farmingdale.
NY ....................... Little Valley ............................................................................ Little Valley ............................ A
NY ....................... Ludlow Sand & Gravel ........................................................... Clayville.
NY ....................... MacKenzie Chemical Works, Inc ........................................... Central Islip.
NY ....................... Malta Rocket Fuel Area ......................................................... Malta.
NY ....................... Mattiace Petrochemical Co., Inc ............................................ Glen Cove.
NY ....................... Mercury Refining, Inc ............................................................. Colonie.
NY ....................... Mohonk Road Industrial Plant ............................................... High Falls.
NY ....................... Nepera Chemical Co., Inc ..................................................... Maybrook.

NY ....................... Niagara Mohawk Power Co (Saratoga Spings) .................... Saratoga Springs.
NY ....................... Old Bethpage Landfill ............................................................ Oyster Bay ............................. C
216

NY ....................... Old Roosevelt Field Contaminated Ground Water Area ....... Garden City..
NY ....................... Olean Well Field .................................................................... Olean.
NY ....................... Onondaga Lake ..................................................................... Syracuse.
NY ....................... Pasley Solvents & Chemicals, Inc ......................................... Hempstead.
NY ....................... Peninsula Boulevard Ground Water Plume .......................... Hewlett.
NY ....................... Peter Cooper ......................................................................... Gowanda..
NY ....................... Peter Cooper Corporation (Markhams) ................................. Winslow Township.
NY ....................... Pfohl Brothers Landfill ........................................................... Cheektowaga.
NY ....................... Pollution Abatement Services ................................................ Oswego .................................. S
NY ....................... Port Washington Landfill ........................................................ Port Washington.
NY ....................... Preferred Plating Corp ........................................................... Farmingdale.
NY ....................... Ramapo Landfill ..................................................................... Ramapo.
NY ....................... Richardson Hill Road Landfill/Pond ....................................... Sidney Center.
NY ....................... Robintech, Inc./National Pipe Co .......................................... Town of Vestal.
NY ....................... Rosen Brothers Scrap Yard/Dump ........................................ Cortland.
NY ....................... Rowe Industries Gnd Water Contamination .......................... Noyack/Sag Harbor.
NY ....................... SMS Instruments, Inc ............................................................ Deer Park .............................. C
NY ....................... Sarney Farm .......................................................................... Amenia.
NY ....................... Sealand Restoration, Inc ....................................................... Lisbon.
NY ....................... Shenandoah Road Ground Water Contamination ................ East Fishkill..
NY ....................... Sidney Landfill ....................................................................... Sidney.
NY ....................... Sinclair Refinery ..................................................................... Wellsville.
NY ....................... Smithtown Ground Water Contamination .............................. Smithtown.
NY ....................... Solvent Savers ....................................................................... Lincklaen.
NY ....................... Stanton Cleaners Area Ground Water Contamination .......... Great Neck.
NY ....................... Tri-Cities Barrel Co., Inc ........................................................ Port Crane.
NY ....................... Vestal Water Supply Well 1–1 ............................................... Vestal.
NY ....................... Volney Municipal Landfill ....................................................... Town of Volney.
NY ....................... York Oil Co ............................................................................ Moira.
OH ....................... Allied Chemical & Ironton Coke ............................................ Ironton.
OH ....................... Big D Campground ................................................................ Kingsville ................................ C
OH ....................... Buckeye Reclamation ............................................................ St. Clairsville.
OH ....................... Chem-Dyne ............................................................................ Hamilton ................................. C,S
OH ....................... Copley Square Plaza ............................................................. Copley.
OH ....................... E.H. Schilling Landfill ............................................................. Hamilton Township ................ C
OH ....................... Fields Brook ........................................................................... Ashtabula.
OH ....................... Fultz Landfill ........................................................................... Jackson Township.
OH ....................... Industrial Excess Landfill ....................................................... Uniontown.
OH ....................... Lammers Barrel ..................................................................... Beavercreek.
OH ....................... Miami County Incinerator ....................................................... Troy ........................................ C
OH ....................... Nease Chemical .................................................................... Salem.
OH ....................... New Lyme Landfill ................................................................. New Lyme .............................. C
OH ....................... North Sanitary Landfill ........................................................... Dayton.
OH ....................... Old Mill ................................................................................... Rock Creek ............................ C
OH ....................... Ormet Corp ............................................................................ Hannibal.
OH ....................... Powell Road Landfill .............................................................. Dayton.
OH ....................... Pristine, Inc ............................................................................ Reading.
OH ....................... Reilly Tar & Chemical (Dover Plant) ..................................... Dover.
OH ....................... Sanitary Landfill Co. (Industrial Waste) ................................. Dayton.
OH ....................... Skinner Landfill ...................................................................... West Chester.
OH ....................... South Point Plant ................................................................... South Point.
OH ....................... Summit National .................................................................... Deerfield Township ................ C
OH ....................... TRW, Inc. (Minerva Plant) ..................................................... Minerva .................................. C
OH ....................... United Scrap Lead Co., Inc ................................................... Troy.
OH ....................... Van Dale Junkyard ................................................................ Marietta.
OH ....................... Zanesville Well Field .............................................................. Zanesville ............................... C
OK ....................... Double Eagle Refinery Co ..................................................... Oklahoma City.
OK ....................... Fourth Street Abandoned Refinery ........................................ Oklahoma City ....................... C
OK ....................... Hardage/Criner ...................................................................... Criner.
OK ....................... Hudson Refinery .................................................................... Cushing.
OK ....................... Imperial Refining Company ................................................... Ardmore.
OK ....................... Mosley Road Sanitary Landfill ............................................... Oklahoma City.
OK ....................... Oklahoma Refining Co .......................................................... Cyril.
OK ....................... Tar Creek (Ottawa County) ................................................... Ottawa County.
OK ....................... Tulsa Fuel and Manufacturing ............................................... Collinsville.
OR ....................... Formosa Mine ........................................................................ Douglas County.
OR ....................... Harbor Oil .............................................................................. Portland.
OR ....................... McCormick & Baxter Creos. Co (Portland) ........................... Portland.
OR ....................... Northwest Pipe & Casing/Hall Process Company ................ Clackamas.
OR ....................... Portland Harbor ..................................................................... Portland.

OR ....................... Reynolds Metals Company .................................................... Troutdale.
OR ....................... Taylor Lumber and Treating .................................................. Sheridan..
217

OR ....................... Teledyne Wah Chang ............................................................ Albany.

OR ....................... Union Pacific Railroad Tie Treatment ................................... The Dalles.
OR ....................... United Chrome Products, Inc ................................................ Corvallis ................................. C
PA ........................ A.I.W. Frank/Mid-County Mustang ........................................ Exton.
PA ........................ Avco Lycoming (Williamsport Division) ................................. Williamsport.
PA ........................ Bally Ground Water Contamination ....................................... Bally Borough.
PA ........................ Bell Landfill ............................................................................ Terry Township.
PA ........................ Bendix Flight Systems Division ............................................. Bridgewater Township ........... C
PA ........................ Berks Landfill ......................................................................... Spring Township.
PA ........................ Berks Sand Pit ....................................................................... Longswamp Township ........... C
PA ........................ Blosenski Landfill ................................................................... West Caln Township.
PA ........................ Boarhead Farms .................................................................... Bridgeton Township.
PA ........................ Breslube-Penn, Inc ................................................................ Coraopolis.
PA ........................ Brown’s Battery Breaking ...................................................... Shoemakersville.
PA ........................ Butler Mine Tunnel ................................................................ Pittston.
PA ........................ Butz Landfill ........................................................................... Stroudsburg.
PA ........................ C & D Recycling .................................................................... Foster Township.
PA ........................ Centre County Kepone .......................................................... State College Borough .......... P
PA ........................ Chem-Fab .............................................................................. Doylestown.
PA ........................ Commodore Semiconductor Group ....................................... Lower Providence Township.
PA ........................ Craig Farm Drum ................................................................... Parker .................................... C
PA ........................ Crater Resources/Keystone Coke/Alan Wood ...................... Upper Merion Township.
PA ........................ Crossley Farm ....................................................................... Hereford Township.
PA ........................ Croydon TCE ......................................................................... Croydon.
PA ........................ CryoChem, Inc ....................................................................... Worman.
PA ........................ Delta Quarries & Disp./Stotler Landfill ................................... Antis/Logan Twps .................. C
PA ........................ Dorney Road Landfill ............................................................. Upper Macungie Township.
PA ........................ Douglassville Disposal ........................................................... Douglassville.
PA ........................ Drake Chemical ..................................................................... Lock Haven.
PA ........................ Dublin TCE Site ..................................................................... Dublin Borough.
PA ........................ East Mount Zion .................................................................... Springettsbury Township.
PA ........................ Eastern Diversified Metals ..................................................... Hometown.
PA ........................ Elizabethtown Landfill ............................................................ Elizabethtown.
PA ........................ Fischer & Porter Co ............................................................... Warminster.
PA ........................ Foote Mineral Co ................................................................... East Whiteland Township.
PA ........................ Franklin Slag Pile (MDC) ....................................................... Philadelphia.
PA ........................ Havertown PCP ..................................................................... Haverford.
PA ........................ Heleva Landfill ....................................................................... North Whitehall Township.
PA ........................ Hellertown Manufacturing Co ................................................ Hellertown .............................. C
PA ........................ Henderson Road .................................................................... Upper Merion Township ........ C
PA ........................ Hunterstown Road ................................................................. Straban Township.
PA ........................ Industrial Lane ....................................................................... Williams Township.
PA ........................ Jacks Creek/Sitkin Smelting and Refinery ............................ Maitland.
PA ........................ Jackson Ceramix ................................................................... Falls Creek.
PA ........................ Keystone Sanitation Landfill .................................................. Union Township.
PA ........................ Kimberton Site ....................................................................... Kimberton Borough ................ C
PA ........................ Lindane Dump ....................................................................... Harrison Township.
PA ........................ Lord-Shope Landfill ................................................................ Girard Township .................... C
PA ........................ Lower Darby Creek Area ....................................................... Delaware/Philadelphia Coun-
ties..
PA ........................ MW Manufacturing ................................................................. Valley Township.
PA ........................ Malvern TCE .......................................................................... Malvern.
PA ........................ Metal Banks ........................................................................... Philadelphia.
PA ........................ Mill Creek Dump .................................................................... Erie.
PA ........................ Modern Sanitation Landfill ..................................................... Lower Windsor Township.
PA ........................ Moyers Landfill ....................................................................... Eagleville.
PA ........................ North Penn—Area 1 .............................................................. Souderton.
PA ........................ North Penn—Area 12 ............................................................ Worcester.
PA ........................ North Penn—Area 2 .............................................................. Hatfield.
PA ........................ North Penn—Area 5 .............................................................. Montgomery Township.
PA ........................ North Penn—Area 6 .............................................................. Lansdale.
PA ........................ North Penn—Area 7 .............................................................. North Wales.
PA ........................ Novak Sanitary Landfill .......................................................... South Whitehall Township.
PA ........................ Occidental Chemical Corp./Firestone Tire ............................ Lower Pottsgrove Township.
PA ........................ Ohio River Park ..................................................................... Neville Island.
PA ........................ Old City of York Landfill ......................................................... Seven Valleys ........................ C
PA ........................ Old Wilmington Road Ground Water Contamination ............ Sadsburyville.
PA ........................ Osborne Landfill ..................................................................... Grove City.
PA ........................ Palmerton Zinc Pile ............................................................... Palmerton.
PA ........................ Paoli Rail Yard ....................................................................... Paoli.

PA ........................ Price Battery .......................................................................... Hamburg.
PA ........................ Raymark ................................................................................. Hatboro .................................. C
218

PA ........................ Recticon/Allied Steel Corp ..................................................... East Coventry Twp.

PA ........................ Revere Chemical Co ............................................................. Nockamixon Township.
PA ........................ Rodale Manufacturing Co., Inc .............................................. Emmaus Borough.
PA ........................ Ryeland Road Arsenic ........................................................... Heidelberg Township.
PA ........................ Saegertown Industrial Area ................................................... Saegertown. ........................... P
PA ........................ Safety Light Corporation ........................................................ Bloomsburg.
PA ........................ Sharon Steel Corp. (Farrell Wks Disp Area) ......................... Hickory Township.
PA ........................ Shriver’s Corner ..................................................................... Straban Township.
PA ........................ Stanley Kessler ...................................................................... King of Prussia.
PA ........................ Strasburg Landfill ................................................................... Newlin Township.
PA ........................ Tobyhanna Army Depot ......................................................... Tobyhanna ............................. P
PA ........................ Tonolli Corp ........................................................................... Nesquehoning.
PA ........................ Tysons Dump ......................................................................... Upper Merion Twp.
PA ........................ UGI Columbia Gas Plant ....................................................... Columbia.
PA ........................ Valmont TCE ......................................................................... Hazle Township and West
Hazleton.
PA ........................ Walsh Landfill ........................................................................ Honeybrook Township.
PA ........................ Watson Johnson Landfill ....................................................... Richland Township.
PA ........................ Westinghouse Electronic (Sharon Plant) ............................... Sharon.
PA ........................ Westinghouse Elevator Co. Plant .......................................... Gettysburg.
PA ........................ Whitmoyer Laboratories ......................................................... Jackson Township.
PA ........................ William Dick Lagoons ............................................................ West Caln Township.
PR ....................... Barceloneta Landfill ............................................................... Florida Afuera.
PR ....................... Cidra Ground Water Contamination ...................................... Cidra.
PR ....................... Fibers Public Supply Wells .................................................... Jobos.
PR ....................... Juncos Landfill ....................................................................... Juncos.
PR ....................... Maunabo Area Ground Water Contamination ....................... Maunabo.
PR ....................... Pesticide Warehouse I ........................................................... Arecibo.
PR ....................... Pesticide Warehouse III ......................................................... Manati..
PR ....................... San German Ground Water Contamination .......................... San German.
PR ....................... Scorpio Recycling, Inc. .......................................................... Candeleria Ward.
PR ....................... Upjohn Facility ....................................................................... Barceloneta.
PR ....................... Vega Alta Public Supply Wells .............................................. Vega Alta.
PR ....................... Vega Baja Solid Waste Disposal ........................................... Vega Baja.
RI ......................... Central Landfill ....................................................................... Johnston.
RI ......................... Centredale Manor Restoration Project .................................. North Providence.
RI ......................... Davis Liquid Waste ................................................................ Smithfield.
RI ......................... Landfill & Resource Recovery, Inc. (L&RR) .......................... North Smithfield.
RI ......................... Peterson/Puritan, Inc ............................................................. Lincoln/Cumberland ............... P
RI ......................... Picillo Farm ............................................................................ Coventry ................................ S
RI ......................... Rose Hill Regional Landfill .................................................... South Kingston.
RI ......................... Stamina Mills, Inc .................................................................. North Smithfield.
RI ......................... West Kingston Town Dump/URI Disposal ............................. South Kingston.
RI ......................... Western Sand & Gravel ......................................................... Burrillville ............................... C
SC ....................... Aqua-Tech Environmental Inc (Groce Labs) ......................... Greer.
SC ....................... Beaunit Corp. (Circular Knit & Dye) ...................................... Fountain Inn.
SC ....................... Brewer Gold Mine .................................................................. Jefferson.
SC ....................... Carolawn, Inc ......................................................................... Fort Lawn.
SC ....................... Elmore Waste Disposal ......................................................... Greer.
SC ....................... Geiger (C & M Oil) ................................................................. Rantoules.
SC ....................... Helena Chemical Co Landfill ................................................. Fairfax.
SC ....................... Kalama Specialty Chemicals ................................................. Beaufort.
SC ....................... Koppers Co., Inc. (Charleston Plant) .................................... Charleston.
SC ....................... Koppers Co., Inc. (Florence Plant) ........................................ Florence.
SC ....................... Leonard Chemical Co., Inc .................................................... Rock Hill.
SC ....................... Lexington County Landfill Area ............................................. Cayce.
SC ....................... Macalloy Corporation ............................................................. North Charleston.
SC ....................... Medley Farm Drum Dump ..................................................... Gaffney .................................. C
SC ....................... Palmetto Wood Preserving .................................................... Dixiana.
SC ....................... Para-Chem Southern, Inc ...................................................... Simpsonville ........................... P
SC ....................... Rock Hill Chemical Co ........................................................... Rock Hill ................................ C
SC ....................... SCRDI Bluff Road .................................................................. Columbia ................................ S
SC ....................... SCRDI Dixiana ....................................................................... Cayce ..................................... C
SC ....................... Sangamo Weston .................................................................. Pickens .................................. P
SC ....................... Shuron Inc ............................................................................. Barnwell.
SC ....................... Townsend Saw Chain Co ...................................................... Pontiac.
SC ....................... Wamchem, Inc ....................................................................... Burton.
SD ....................... Gilt Edge Mine ....................................................................... Lead.
TN ........................ American Creosote Works, (Jackson Plant) ......................... Jackson.
TN ........................ Arlington Blending & Packaging ............................................ Arlington.

TN ........................ Carrier Air Conditioning Co ................................................... Collierville .............................. C
TN ........................ Mallory Capacitor Co ............................................................. Waynesboro ........................... C
219

TN ........................ Murray-Ohio Dump ................................................................ Lawrenceburg.

TN ........................ Ross Metals Inc ..................................................................... Rossville.
TN ........................ Smalley-Piper ......................................................................... Collierville.
TN ........................ Tennessee Products .............................................................. Chattanooga .......................... A
TN ........................ Velsicol Chemical Corp (Hardeman County) ........................ Toone.
TN ........................ Wrigley Charcoal Plant .......................................................... Wrigley.
TX ........................ ALCOA (Point Comfort)/Lavaca Bay ..................................... Point Comfort.
TX ........................ Bandera Road Ground Water Plume .................................... Leon Valley.
TX ........................ Brine Service Company ......................................................... Corpus Christi.
TX ........................ City of Perryton Well No. 2 .................................................... Perryton.
TX ........................ Conroe Creosoting Company ................................................ Conroe.
TX ........................ Crystal Chemical Co .............................................................. Houston.
TX ........................ Donna Reservoir and Canal System ..................................... Donna.
TX ........................ East 67th Street Ground Water Plume ................................. Odessa.
TX ........................ French, Ltd ............................................................................. Crosby ................................... C
TX ........................ Garland Creosoting ................................................................ Longview.
TX ........................ Geneva Industries/Fuhrmann Energy .................................... Houston ................................. P
TX ........................ Gulfco Marine Maintenance ................................................... Freeport..
TX ........................ Hart Creosoting Company ..................................................... Jasper.
TX ........................ Highlands Acid Pit ................................................................. Highlands ............................... C
TX ........................ Jasper Creosoting Company Inc ........................................... Jasper County.
TX ........................ Jones Road Ground Water Plume ........................................ Harris County.
TX ........................ Koppers Co Inc (Texarkana Plant) ........................................ Texarkana.
TX ........................ Malone Service Company, Inc .............................................. Texas City..
TX ........................ Many Diversified Interests, Inc .............................................. Houston.
TX ........................ Midessa Ground Water Plume .............................................. Odessa.
TX ........................ Motco, Inc .............................................................................. La Marque ............................. S
TX ........................ North Cavalcade Street ......................................................... Houston.
TX ........................ Odessa Chromium #1 ............................................................ Odessa .................................. C
TX ........................ Palmer Barge Line ................................................................. Port Arthur.
TX ........................ Patrick Bayou ......................................................................... Deer Park.
TX ........................ Petro-Chemical Systems, (Turtle Bayou) .............................. Liberty County.
TX ........................ RSR Corp .............................................................................. Dallas ..................................... P
TX ........................ Rockwool Industries Inc ......................................................... Bell County.
TX ........................ Sandy Beach Road Ground Water Plume ............................ Azle.
TX ........................ San Jacinto River Waste Pits ................................................ Harris County.
TX ........................ Sheridan Disposal Services ................................................... Hempstead.
TX ........................ Sikes Disposal Pits ................................................................ Crosby ................................... C
TX ........................ Sol Lynn/Industrial Transformers ........................................... Houston ................................. C
TX ........................ South Cavalcade Street ......................................................... Houston.
TX ........................ Sprague Road Ground Water Plume .................................... Odessa.
TX ........................ Star Lake Canal ..................................................................... Port Neches.
TX ........................ State Marine of Port Arthur ................................................... Jefferson County.
TX ........................ State Road 114 Ground Water Plume .................................. Levelland.
TX ........................ Texarkana Wood Preserving Co ........................................... Texarkana.
TX ........................ Tex-Tin Superfund ................................................................. Texas City, Galveston ........... P
TX ........................ United Creosoting Co ............................................................ Conroe.
UT ........................ Bountiful/Woods Cross 5th South PCE Plume ..................... Bountiful/Woods Cross.
UT ........................ Davenport and Flagstaff Smelters ......................................... Sandy City ............................. P
UT ........................ Eureka Mills ........................................................................... Eureka.
UT ........................ Intermountain Waste Oil Refinery ......................................... Bountiful..
UT ........................ International Smelting and Refining ...................................... Tooele.
UT ........................ Jacobs Smelters .................................................................... Tooele County ....................... P
UT ........................ Midvale Slag .......................................................................... Midvale.
UT ........................ Portland Cement (Kiln Dust 2 & 3) ........................................ Salt Lake City.
UT ........................ Utah Power & Light/American Barrel Co ............................... Salt Lake City ........................ C
UT ........................ Wasatch Chemical Co. (Lot 6) .............................................. Salt Lake City.
VA ........................ Abex Corp .............................................................................. Portsmouth.
VA ........................ Arrowhead Associates/Scovill Corp ....................................... Montross.
VA ........................ Atlantic Wood Industries, Inc ................................................. Portsmouth.
VA ........................ Avtex Fibers, Inc .................................................................... Front Royal.
VA ........................ Buckingham County Landfill .................................................. Buckingham.
VA ........................ C & R Battery Co., Inc ........................................................... Chesterfield County ............... C
VA ........................ Chisman Creek ...................................................................... York County ........................... C
VA ........................ Culpeper Wood Preservers, Inc ............................................ Culpeper.
VA ........................ First Piedmont Rock Quarry (Route 719) .............................. Pittsylvania County ................ C
VA ........................ Former Nansemond Ordnance Depot ................................... Suffolk .................................... P
VA ........................ Greenwood Chemical Co ...................................................... Newtown.
VA ........................ H & H Inc., Burn Pit ............................................................... Farrington.
VA ........................ Hidden Lane Landfill .............................................................. Sterling.

VA ........................ Kim-Stan Landfill .................................................................... Selma.
VA ........................ L.A. Clarke & Son .................................................................. Spotsylvania County.
220

VA ........................ Rentokil, Inc. (VA Wood Preserving Div) .............................. Richmond.

VA ........................ Saltville Waste Disposal Ponds ............................................. Saltville.
VA ........................ Saunders Supply Co .............................................................. Chuckatuck.
VA ........................ U.S. Titanium ......................................................................... Piney River.
VI ......................... Island Chemical Corp/V.I. Chemical Corp ............................. Christiansted.
VI ......................... Tutu Wellfield ......................................................................... Tutu.
VT ........................ BFI Sanitary Landfill (Rockingham) ....................................... Rockingham ........................... C
VT ........................ Bennington Municipal Sanitary Landfill ................................. Bennington.
VT ........................ Burgess Brothers Landfill ...................................................... Woodford.
VT ........................ Commerce Street Plume ....................................................... Williston.
VT ........................ Elizabeth Mine ....................................................................... Strafford..
VT ........................ Ely Copper Mine .................................................................... Vershire.
VT ........................ Old Springfield Landfill ........................................................... Springfield .............................. C
VT ........................ Parker Sanitary Landfill ......................................................... Lyndon.
VT ........................ Pike Hill Copper Mine ............................................................ Corinth.
VT ........................ Pine Street Canal .................................................................. Burlington ............................... S
VT ........................ Pownal Tannery ..................................................................... Pownal.
WA ....................... American Crossarm & Conduit Co ........................................ Chehalis ................................. C
WA ....................... Boomsnub/Airco ..................................................................... Vancouver .............................. S
WA ....................... Centralia Municipal Landfill .................................................... Centralia.
WA ....................... Colbert Landfill ....................................................................... Colbert.
WA ....................... Commencement Bay, Near Shore/Tide Flats ....................... Pierce County ........................ P
WA ....................... Commencement Bay, South Tacoma Channel ..................... Tacoma .................................. P
WA ....................... Five Points PCE Plume ......................................................... Woods Cross/Bountiful.
WA ....................... FMC Corp. (Yakima Pit) ........................................................ Yakima ................................... C
WA ....................... Frontier Hard Chrome, Inc ..................................................... Vancouver.
WA ....................... General Electric Co. (Spokane Shop) ................................... Spokane.
WA ....................... Greenacres Landfill ................................................................ Spokane County.
WA ....................... Hamilton/Labree Roads Ground Water Contamination ......... Chehalis.
WA ....................... Harbor Island (Lead) .............................................................. Seattle .................................... P
WA ....................... Hidden Valley Landfill (Thun Field) ....................................... Pierce County.
WA ....................... Kaiser Aluminum Mead Works .............................................. Mead.
WA ....................... Lakewood Site ....................................................................... Lakewood .............................. C,P
WA ....................... Lockheed West Seattle .......................................................... Seattle.
WA ....................... Lower Duwamish Waterway .................................................. Seattle.
WA ....................... Mica Landfill ........................................................................... Mica.
WA ....................... Midnite Mine .......................................................................... Wellpinit..
WA ....................... Midway Landfill ...................................................................... Kent.
WA ....................... Moses Lake Wellfield Contamination .................................... Moses Lake.
WA ....................... North Market Street ............................................................... Spokane.
WA ....................... Northside Landfill ................................................................... Spokane ................................. C
WA ....................... Oeser Co. .............................................................................. Bellingham.
WA ....................... Pacific Car & Foundry Co ...................................................... Renton ................................... C
WA ....................... Pacific Sound Resources ...................................................... Seattle.
WA ....................... Palermo Well Field Ground Water Contam ........................... Tumwater.
WA ....................... Pasco Sanitary Landfill .......................................................... Pasco.
WA ....................... Queen City Farms ................................................................. Maple Valley.
WA ....................... Quendall Terminals ................................................................ Renton.
WA ....................... Seattle Municipal Landfill (Kent Hghlnds) ............................. Kent ....................................... C
WA ....................... Vancouver Water Station #1 Contamination ......................... Vancouver.
WA ....................... Vancouver Water Station #4 Contamination ......................... Vancouver.
WA ....................... Western Processing Co., Inc ................................................. Kent ....................................... C
WA ....................... Wyckoff Co./Eagle Harbor ..................................................... Bainbridge Island.
WI ........................ Algoma Municipal Landfill ...................................................... Algoma ................................... C
WI ........................ Ashland/Northern States Power Lakefront ............................ Ashland.
WI ........................ Better Brite Plating Chrome & Zinc Shops ............................ DePere.
WI ........................ City Disposal Corp. Landfill ................................................... Dunn.
WI ........................ Delavan Municipal Well #4 .................................................... Delavan.
WI ........................ Eau Claire Municipal Well Field ............................................ Eau Claire .............................. C
WI ........................ Hagen Farm ........................................................................... Stoughton .............................. C
WI ........................ Hechimovich Sanitary Landfill ............................................... Williamstown.
WI ........................ Hunts Disposal Landfill .......................................................... Caledonia.
WI ........................ Janesville Ash Beds .............................................................. Janesville.
WI ........................ Janesville Old Landfill ............................................................ Janesville.
WI ........................ Kohler Co. Landfill ................................................................. Kohler.
WI ........................ Lauer I Sanitary Landfill ......................................................... Menomonee Falls.
WI ........................ Lemberger Landfill, Inc .......................................................... Whitelaw ................................ C
WI ........................ Lemberger Transport & Recycling ......................................... Franklin Township ................. C
WI ........................ Madison Metropolitan Sewerage District ............................... Blooming Grove.
WI ........................ Master Disposal Service Landfill ........................................... Brookfield.

WI ........................ Mid-State Disposal, Inc. Landfill ............................................ Cleveland Township .............. C
WI ........................ Moss-American(Kerr-McGee Oil Co.) .................................... Milwaukee.
221

WI ........................ Muskego Sanitary Landfill ..................................................... Muskego.

WI ........................ N.W. Mauthe Co., Inc ............................................................ Appleton ................................. S
WI ........................ National Presto Industries, Inc .............................................. Eau Claire.
WI ........................ Oconomowoc Electroplating Co. Inc ..................................... Ashippin ................................. C
WI ........................ Onalaska Municipal Landfill ................................................... Onalaska ................................ C
WI ........................ Penta Wood Products ............................................................ Daniels.
WI ........................ Refuse Hideaway Landfill ...................................................... Middleton.
WI ........................ Ripon City Landfill .................................................................. Ripon ..................................... C
WI ........................ Sauk County Landfill .............................................................. Excelsior ................................ C
WI ........................ Schmalz Dump ...................................................................... Harrison ................................. C
WI ........................ Scrap Processing Co., Inc ..................................................... Medford.
WI ........................ Sheboygan Harbor & River ................................................... Sheboygan.
WI ........................ Spickler Landfill ...................................................................... Spencer.
WI ........................ Stoughton City Landfill ........................................................... Stoughton.
WI ........................ Tomah Armory ....................................................................... Tomah.
WI ........................ Tomah Municipal Sanitary Landfill ........................................ Tomah.
WI ........................ Waste Mgmt of WI (Brookfield Sanit LF) .............................. Brookfield.
WI ........................ Wausau Ground Water Contamination ................................. Wausau .................................. C
WV ....................... Big John Salvage—Hoult Road ............................................. Fairmont.
WV ....................... Fike Chemical, Inc ................................................................. Nitro.
WV ....................... Hanlin-Allied-Olin ................................................................... Moundsville.
WV ....................... Ordnance Works Disposal Areas .......................................... Morgantown.
WV ....................... Ravenswood PCE Ground Water Plume .............................. Ravenswood.
WV ....................... Sharon Steel Corp (Fairmont Coke Works) .......................... Fairmont.
WV ....................... Vienna Tetrachloroethene ..................................................... Vienna.
WY ....................... Mystery Bridge Rd/U.S. Highway 20 ..................................... Evansville ............................... C
(a) A = Based on issuance of health advisory by Agency for Toxic Substances and Disease Registry (if scored, HRS score
need not be ≤ 28.50).
C = Sites on construction completion list.
S = State top priority (included among the 100 top priority sites regardless of score).
P = Sites with partial deletion(s).
TABLE 2—FEDERAL FACILITIES SECTION

St Site name City/County Notes(a)
AK ........................ Adak Naval Air Station .......................................................... Adak.

AK ........................ Eielson Air Force Base .......................................................... Fairbanks N Star Borough.
AK ........................ Elmendorf Air Force Base ..................................................... Greater Anchorage Borough.
AK ........................ Fort Richardson (USARMY) .................................................. Anchorage.
AK ........................ Fort Wainwright ...................................................................... Fairbanks N Star Borough.
AL ........................ Alabama Army Ammunition Plant .......................................... Childersburg.
AL ........................ Anniston Army Depot (SE Industrial Area) ............................ Anniston.
AL ........................ Redstone Arsenal (USARMY/NASA) .................................... Huntsville.
AZ ........................ Williams Air Force Base ........................................................ Chandler.
AZ ........................ Yuma Marine Corps Air Station ............................................. Yuma.
CA ....................... Alameda Naval Air Station .................................................... Alameda.
CA ....................... Barstow Marine Corps Logistics Base .................................. Barstow.
CA ....................... Camp Pendleton Marine Corps Base .................................... San Diego County.
CA ....................... Castle Air Force Base ........................................................... Merced.
CA ....................... Concord Naval Weapons Station .......................................... Concord.
CA ....................... Edwards Air Force Base ........................................................ Kern County.
CA ....................... El Toro Marine Corps Air Station .......................................... El Toro.
CA ....................... Fort Ord ................................................................................. Marina.
CA ....................... George Air Force Base .......................................................... Victorville.
CA ....................... Jet Propulsion Laboratory (NASA) ........................................ Pasadena.
CA ....................... LEHR/Old Campus Landfill (USDOE) ................................... Davis.
CA ....................... Lawrence Livermore Lab Site 300 (USDOE) ........................ Livermore.
CA ....................... Lawrence Livermore Laboratory (USDOE) ........................... Livermore.
CA ....................... March Air Force Base ............................................................ Riverside.
CA ....................... Mather Air Force Base .......................................................... Sacramento.
CA ....................... McClellan Air Force Base (GW Contam) .............................. Sacramento.
CA ....................... Moffett Naval Air Station ........................................................ Sunnyvale.
CA ....................... Norton Air Force Base ........................................................... San Bernardino.
CA ....................... Riverbank Army Ammunition Plant ........................................ Riverbank.
CA ....................... Sacramento Army Depot ....................................................... Sacramento.
CA ....................... Sharpe Army Depot ............................................................... Lathrop.
CA ....................... Tracy Defense Depot (USARMY) .......................................... Tracy.
CA ....................... Travis Air Force Base ............................................................ Solano County.
CA ....................... Treasure Island Naval Station-Hun Pt An ............................. San Francisco ........................ P
CO ....................... Air Force Plant PJKS ............................................................. Waterton.

CO ....................... Rocky Flats Plant (USDOE) .................................................. Jefferson and Boulder Coun- P
ties.
222
TABLE 2—FEDERAL FACILITIES SECTION—Continued

CO ....................... Rocky Mountain Arsenal (USARMY) ..................................... Adams County ....................... P

CT ........................ New London Submarine Base ............................................... New London.
DC ....................... Washington Navy Yard .......................................................... Washington DC.
DE ....................... Dover Air Force Base ............................................................ Dover.
FL ........................ Cecil Field Naval Air Station .................................................. Jacksonville ........................... P
FL ........................ Homestead Air Force Base ................................................... Homestead.
FL ........................ Jacksonville Naval Air Station ............................................... Jacksonville.
FL ........................ Pensacola Naval Air Station .................................................. Pensacola.
FL ........................ Tyndall Air Force Base .......................................................... Panama City.
FL ........................ Whiting Field Naval Air Station .............................................. Milton.
GA ....................... Marine Corps Logistics Base ................................................. Albany.
GA ....................... Robins Air Force Base(Lf#4/Sludge Lagoon ......................... Houston County.
GU ....................... Andersen Air Force Base ...................................................... Yigo.
HI ......................... Naval Computer & Telecommunications Area ...................... Oahu.
HI ......................... Pearl Harbor Naval Complex ................................................. Pearl Harbor.
IA ......................... Iowa Army Ammunition Plant ................................................ Middletown.
ID ......................... Idaho National Engineering Lab (USDOE) ............................ Idaho Falls.
ID ......................... Mountain Home Air Force Base ............................................ Mountain Home.
IL ......................... Joliet Army Ammunition Plant (LAP Area) ............................ Joliet.
IL ......................... Joliet Army Ammunition Plant (Mfg Area) ............................. Joliet.
IL ......................... Sangamo Electric/Crab Orchard NWR (USDOI) ................... Carterville.
IL ......................... Savanna Army Depot Activity ................................................ Savanna.
KS ........................ Fort Riley ............................................................................... Junction City.
KY ........................ Paducah Gaseous Diffusion Plant (USDOE) ........................ Paducah.
LA ........................ Louisiana Army Ammunition Plant ........................................ Doyline.
MA ....................... Fort Devens ........................................................................... Fort Devens.
MA ....................... Hanscom Field/Hanscom Air Force Base ............................. Bedford.
MA ....................... Natick Laboratory Army Research, D&E Cntr ....................... Natick.
MA ....................... Naval Weapons Industrial Reserve Plant .............................. Bedford.
MA ....................... Otis Air National Guard Base/Camp Edwards ...................... Sandwich, Falmouth, Bourne, P
Mashpee.
MA ....................... South Weymouth Naval Air Station ....................................... Weymouth.
MD ....................... Aberdeen Proving Ground (Edgewood Area) ....................... Edgewood.
MD ....................... Aberdeen Proving Ground (Michaelsville LF) ....................... Aberdeen.
MD ....................... Andrews Air Force Base ........................................................ Camp Springs.
MD ....................... Beltsville Agricultural Research (USDA) ............................... Beltsville.
MD ....................... Brandywine DRMO ................................................................ Brandywine.
MD ....................... Curtis Bay Coast Guard Yard ................................................ Anne Arundel County.
MD ....................... Fort George G. Meade .......................................................... Odenton ................................. P
MD ....................... Indian Head Naval Surface Warfare Center ......................... Indian Head.
MD ....................... Patuxent River Naval Air Station ........................................... St. Mary’s County.
ME ....................... Brunswick Naval Air Station .................................................. Brunswick.
ME ....................... Loring Air Force Base ............................................................ Limestone.
ME ....................... Portsmouth Naval Shipyard ................................................... Kittery.
MN ....................... Naval Industrial Reserve Ordnance Plant ............................. Fridley.
MN ....................... New Brighton/Arden Hills/TCAAP (USARMY) ....................... New Brighton.
MO ....................... Lake City Army Ammu. Plant (NW Lagoon) ......................... Independence.
MO ....................... Weldon Spring Former Army Ordnance Works .................... St. Charles County.
MO ....................... Weldon Spring Quarry/Plant/Pitts (USDOE) ......................... St. Charles County.
NC ....................... Camp Lejeune Military Res. (USNAVY) ................................ Onslow County.
NC ....................... Cherry Point Marine Corps Air Station .................................. Havelock.
NE ....................... Cornhusker Army Ammunition Plant ..................................... Hall County.
NH ....................... Pease Air Force Base ........................................................... Portsmouth/Newington.
NJ ........................ Federal Aviation Admin. Tech. Center .................................. Atlantic County.
NJ ........................ Fort Dix (Landfill Site) ............................................................ Pemberton Township.
NJ ........................ McGuire Air Force Base #1 ................................................... Wrightstown.
NJ ........................ Middlesex Sampling Plant (USDOE) ..................................... Middlesex.
NJ ........................ Naval Air Engineering Center ................................................ Lakehurst.
NJ ........................ Naval Weapons Station Earle (Site A) .................................. Colts Neck.
NJ ........................ Picatinny Arsenal (USARMY) ................................................ Rockaway Township.
NJ ........................ W.R. Grace/Wayne Interim Storage (USDOE) ..................... Wayne Township.
NM ....................... Lee Acres Landfill (USDOI) ................................................... Farmington.
NY ....................... Brookhaven National Laboratory (USDOE) ........................... Upton.
NY ....................... Griffiss Air Force Base .......................................................... Rome.
NY ....................... Plattsburgh Air Force Base ................................................... Plattsburgh.
NY ....................... Seneca Army Depot .............................................................. Romulus ................................. P
OH ....................... Feed Materials Production Center (USDOE) ........................ Fernald.
OH ....................... Mound Plant (USDOE) .......................................................... Miamisburg ............................ P
OH ....................... Wright-Patterson Air Force Base ........................................... Dayton.
OK ....................... Tinker Air Force (Soldier Cr/Bldg 300) .................................. Oklahoma City.
OR ....................... Fremont Nat. Forest Uranium Mines (USDA) ....................... Lakeview.
OR ....................... Umatilla Army Depot (Lagoons) ............................................ Hermiston.
223
TABLE 2—FEDERAL FACILITIES SECTION—Continued

PA ........................ Letterkenny Army Depot (PDO Area) .................................... Franklin County.

PA ........................ Letterkenny Army Depot (SE Area) ....................................... Chambersburg.
PA ........................ Naval Air Development Center (8 Areas) .............................. Warminster Township.
PA ........................ Navy Ships Parts Control Center .......................................... Mechanicsburg.
PA ........................ Tobyhanna Army Depot ......................................................... Tobyhanna ............................. P
PA ........................ Willow Grove Naval Air & Air Res. Stn. ................................ Willow Grove.
PR ....................... Atlantic Fleet Weapons Training Area—Vieques .................. Island of Vieques1 ................. S
RI ......................... Davisville Naval Construction Batt Cent ................................ North Kingston.
RI ......................... Newport Naval Education/Training Center ............................ Newport.
SC ....................... Parris Island Marine Corps Recruit Depot ............................ Parris Island.
SC ....................... Savannah River Site (USDOE) ............................................. Aiken.
SD ....................... Ellsworth Air Force Base ....................................................... Rapid City .............................. P
TN ........................ Memphis Defense Depot (DLA) ............................................ Memphis.
TN ........................ Milan Army Ammunition Plant ............................................... Milan.
TN ........................ Oak Ridge Reservation (USDOE) ......................................... Oak Ridge.
TX ........................ Air Force Plant #4 (General Dynamics) ................................ Fort Worth.
TX ........................ Lone Star Army Ammunition Plant ........................................ Texarkana.
TX ........................ Longhorn Army Ammunition Plant ......................................... Karnack.
TX ........................ Pantex Plant (USDOE) .......................................................... Pantex Village.
UT ........................ Hill Air Force Base ................................................................. Ogden.
UT ........................ Monticello Mill Tailings (USDOE) .......................................... Monticello ............................... P
UT ........................ Ogden Defense Depot (DLA) ................................................ Ogden.
UT ........................ Tooele Army Depot (North Area) .......................................... Tooele.
VA ........................ Defense General Supply Center (DLA) ................................. Chesterfield County.
VA ........................ Fort Eustis (US Army) ........................................................... Newport News.
VA ........................ Langley Air Force Base/NASA Langley Cntr ........................ Hampton.
VA ........................ Marine Corps Combat Development Command ................... Quantico.
VA ........................ Naval Amphibious Base Little Creek ..................................... Virginia Beach.
VA ........................ Naval Surface Warfare—Dahlgren ........................................ Dahlgren.
VA ........................ Naval Weapons Station—Yorktown ...................................... Yorktown.
VA ........................ Naval Weapons Station Yorktown—Cheatham Annex ......... Williamsburg.
VA ........................ Norfolk Naval Base (Sewells Pt Nvl Cmpx) .......................... Norfolk.
VA ........................ Norfolk Naval Shipyard .......................................................... Portsmouth.
VA ........................ St. Juliens Creek Annex (U.S. Navy) .................................... Chesapeake.
WA ....................... American Lake Gardens/McChord AFB ................................ Tacoma.
WA ....................... Bangor Naval Submarine Base ............................................. Silverdale.
WA ....................... Bangor Ordnance Disposal (USNAVY) ................................. Bremerton.
WA ....................... Fairchild Air Force Base (4 Waste Areas) ............................ Spokane County.
WA ....................... Fort Lewis Logistics Center ................................................... Tillicum.
WA ....................... Hanford 100-Area (USDOE) .................................................. Benton County ....................... P
WA ....................... Hanford 200-Area (USDOE) .................................................. Benton County.
WA ....................... Hanford 300-Area (USDOE) .................................................. Benton County.
WA ....................... Jackson Park Housing Complex (USNAVY) ......................... Kitsap County.
WA ....................... Naval Air Station, Whidbey Island (Ault) ............................... Whidbey Island.
WA ....................... Naval Undersea Warfare Station (4 Areas) .......................... Keyport.
WA ....................... Old Navy Dump/Manchester Lab (USEPA/NOAA) ............... Manchester.
WA ....................... Puget Sound Naval Shipyard Complex ................................. Bremerton.
WV ....................... Allegany Ballistics Laboratory (USNAVY) ............................. Mineral.
WV ....................... West Virginia Ordnance (USARMY) ...................................... Point Pleasant ....................... P
WY ....................... F.E. Warren Air Force Base .................................................. Cheyenne.
1 Only the Vieques portions of the AFWTA are included in Appendix B to Part 300, the National Priorities List. The Culebra
portions of the AFWTA (that were included in the NPL proposal AFWTA on August 13, 2004) are not included at this time due to
ongoing negotiations between the Commonwealth of Puerto Rico and the Department of the Army.
Notes:
(a) A=Based on issuance of health advisory by Agency for Toxic Substances and Disease Registry (if scored, HRS score need
not be >28.50).
C=Sites on construction completion list.
S=State top priority (included among the 100 top priority sites regardless of score).
P=Sites with partial deletion(s).
[62 FR 15576, Apr. 1, 1997]

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting part 300, appendix B, see the
List of CFR Sections Affected, which appears in the Finding Aids section of the printed vol-
ume and on GPO Access.
EDITORIAL NOTE: At 71 FR 36019, June 23, 2006, the amendment to Table 1 of Appendix B to
Part 300 could not be incorporated because of inaccurate amendatory language.
EFFECTIVE DATE NOTE: At 73 FR 33721, June 13, 2008, appendix B to part 300 was amended
under Oklahoma (‘‘OK’’) by removing the site name ‘‘Double Eagle Refinery Co.’’ and the city
‘‘ Oklahoma City’’ effective August 12, 2008.
224
Environmental Protection Agency Pt. 300, App. C
under Oklahoma (‘‘OK’’) by removing the site name ‘‘Fourth Street Abandoned Refinery’’ and
the city ‘‘Oklahoma City.’’, effective August 12, 2008.
under Louisiana (‘‘LA’’) by removing the entry for ‘‘Old Inger Oil Refinery’’ in ‘‘Darrow, Lou-
isiana’’, effective August 12, 2008.
APPENDIX C TO PART 300—SWIRLING (Use of Dispersants and Other Chemicals) in

FLASK DISPERSANT EFFECTIVENESS 40 CFR part 300 (National Oil and Hazardous
TEST, REVISED STANDARD DISPERS- Substances Pollution Contingency Plan).
ANT TOXICITY TEST, AND BIOREMEDI-
They are revisions and additions to the
EPA’s Standard Dispersant Effectiveness and
ATION AGENT EFFECTIVENESS TEST
Toxicity Tests (1). The new Swirling Flask
TABLE OF CONTENTS Dispersant Effectiveness Test is used only
for testing dispersants. The Revised Stand-
1.0 Introduction ard Dispersant Toxicity Test is used for test-
2.0 Swirling Flask Dispersant Effectiveness ing dispersants, as well as surface washing
Test agents, surface collecting agents, and mis-
3.0 Revised Standard Dispersant Toxicity
cellaneous oil spill control agents. The bio-
Test
remediation agent effectiveness test is used
4.0 Bioremediation Agent Effectiveness
for testing bioremediation agents only.
Test
5.0 Bioremediation Agent Toxicity Test 1.2 Definitions. The definitions of
6.0 Summary Technical Product Test Data dispersants, surface washing agents, surface
Format collecting agents, bioremediation agents,
and miscellaneous oil spill control agents
References are provided in 40 CFR 300.5.
LIST OF ILLUSTRATIONS 2.0 Swirling Flask Dispersant Effectiveness
Test
Figure Number
2.1 Summary of Method. This protocol was
1 Swirling Flask Test Apparatus
developed by Environment Canada to provide
LIST OF TABLES a relatively rapid and simple testing proce-
dure for evaluating dispersant effectiveness
Table Number (2). It uses a modified Erlenmeyer flask to
1 Major Ion Composition of ‘‘Instant which a side spout has been added for remov-
Ocean’’ Synthetic Sea Salt ing subsurface samples of water near the bot-
2 Test Oil Characteristics tom of the flask without disturbing a surface
3 Oil Standard Solutions: Concentrations in oil layer. Seawater and a surface layer of oil
Final DCM Extractions are added to the flask. Turbulent mixing is
4 Synthetic Seawater [Toxicity Test] provided by placing the flask on a standard
5 Test Oil Characteristics: No. 2 Fuel Oil shaker table at 150 rpm for 20 minutes to in-
6 Analytes Listed Under the Corresponding duce a swirling motion to the liquid con-
Internal Standard Used in Calculating tents. Following shaking, the flask is imme-
RRFs diately removed from the shaker table and
7 Primary Ions Monitored for Each Target maintained in a stationary position for 10
Analyte During GC/MS Analysis minutes to allow the oil that will reform a
8 Analytes and Reference Compounds slick to return to the water’s surface. A sam-
9 Operating Conditions and Temperature ple of water for chemical analysis is then re-
Program of GC/MS moved from the bottom of the flask through
10 Two-Way ANOVA Table the side spout, extracted with methylene
11 Product Test Data, Total Aromatics chloride (dichloromethane-DCM), and ana-
12 Summary Statistics for Product Test lyzed for oil content by UV-visible absorp-
Data, Total Aromatics tion spectrophotometry at wavelengths of
13 Example Two-Way ANOVA Table 340, 370, and 400 nm (2).
14 Pairwise Protected LSD Mean Separa- 2.2 Apparatus.
tion 2.2.1 Modified Erlenmeyer Flask. Use 125-
ml glass Erlenmeyer flasks that have been
1.0 Introduction modified to include an attachment of a glass
1.1 Scope and Application. The methods de- side spout that extends from the bottom of
scribed below apply to ‘‘dispersants, surface the flask upward to the neck region, as
washing agents, surface collecting agents, shown in Figure 1.
bioremediation agents, and miscellaneous oil 2.2.2 Shaker Table. Use a shaker table with
spill control agents’’ involving subpart J speed control unit with variable speed (40–400
225
Pt. 300, App. C 40 CFR Ch. I (7–1–08 Edition)
rpm) and an orbital diameter of approxi- Model U–2000 or equivalent is acceptable for
mately 0.75 inches (2 cm) to provide turbu- this purpose.
lence to solutions in test flasks. 2.2.4 Glassware. Glassware should consist
2.2.3 Spectrophotometer. Use a UV-visible of 5-, 10-, 25-, 100-, and 500-ml graduated cyl-
spectrophotometer capable of measuring ab- inders; 125-ml separatory funnels with Teflon
sorbance at 340, 370, and 400 nm. A Hitachi stopcocks; and 10-, 100-, and 1,000-ml volu-
metric flasks and micropipettes.
2.3 Reagents. 2.3.1 Synthetic seawater. The TABLE 1—MAJOR ION COMPOSITION OF
synthetic sea salt ‘‘Instant Ocean,’’ manu- ‘‘INSTANT OCEAN’’ SYNTHETIC SEA SALT
factured by Aquarium Systems of Mentor,
OH, can be used for this purpose. The syn- Ionic Con-
centration
thetic seawater solution is prepared by dis- Major Ion % Total at 34 ppt
solving 34 g of the salt mixture in 1 liter of Weight salinity
distilled water (i.e., a salinity of 34 ppt). (mg/1)
Table 1 provides a list of the ion composition Chloride (C1¥) ................................ 47.470 18,740
of the seasalt mixture. Sodium (NA=) .................................. 26.280 10,454
Sulfate (SO4¥) ............................... 6.602 2,631
Magnesium (Mg==) .......................... 3.230 1,256

Calcium (Ca==) ................................ 1.013 400
Potassium (K=) ................................ 1.015 401
226
EC02AU92.017</GPH>
TABLE 1—MAJOR ION COMPOSITION OF ‘‘IN- experiments with the oil plus dispersant, the
STANT OCEAN’’ SYNTHETIC SEA SALT—Con- standard is made with a 1:10 (v:v) mixture of
tinued the dispersant to the test oil (i.e., a dispers-
ant-to-oil ratio of 1:10). This ratio is used in
Ionic Con- the test tank with dispersant added. The
% Total centration presence of water and certain dispersants in
Major Ion at 34 ppt DCM extracts can affect absorbance readings
Weight salinity
(mg/1) in a spectrophotometer. All standard solu-
tions of oil (and dispersant, if present)
Bicarbonate (HCO3¥) ..................... 0.491 194 should be prepared in a stepwise manner that
Boron (B) ......................................... 0.015 6.0 reflects the analytical protocol used for the
Strontium (Sr==) ............................... 0.001 7.5
experimental water samples.
SOLIDS TOTAL ........................... 86.11% 34,089.50
Water ............................................... 13.88 2.4.1.2 To prepare the standards, prepare a
TOTAL ......................................... 99.99% parent oil-DCM standard by mixing 1 part oil
(plus 1/10 part premixed dispersant, if appli-
Following the preparation, the saltwater so- cable) to 9 parts DCM (i.e., 1:10 dilution of
lution is allowed to equilibrate to the ambi- the oil v:v). Add a specific volume of the par-
ent temperature of the laboratory and ent oil-DCM standard to 30 ml of synthetic
should be in the range of 22±3 °C. seawater in a separatory funnel. Extract the
2.3.2 Test oil. Two EPA/American Petro- oil-water mixture with 5-ml volumes of DCM
leum Institute (API) standard reference oils, after 15 seconds of vigorous shaking followed
Prudhoe Bay and South Louisiana crude, by a 2 minute stationary period to allow for
should be used for this test. These oils can be phase separation for each extraction. Repeat
obtained from the Resource Technology Cor- the extraction using a total of three 5-ml
poration, 2931 Soldier Springs Road, P.O. Box portions of DCM. Adjust the final DCM vol-
1346, Laramie, WY 82070, (307) 742–5452. These ume for the combined extracts to 20 ml with
oils have been thoroughly homogenized, as DCM in a 25-ml graduated cylinder.
well as characterized physically and chemi- 2.4.1.3 The quantities of oil used to
cally for previous EPA and API studies. Var- achieve the desired concentrations in the
ious selected parameters are presented in final 20-ml DCM extracts for the standard
table 2. oil-solutions are summarized in table 3. Spe-
cific masses for oil amounts in standards are
TABLE 2—TEST OIL CHARACTERISTICS determined as volumes of oil multiplied by
the density of the oil.
Prudhoe Bay South Louisiana 2.4.2 Linear stability calibration of UV-Visi-
crude oil crude oil ble spectrophotometer.
2.4.2.1 Before DCM-extracts of dispersed
Specific gravity 1 ....... 0.894 kg/1 .......... 0.840 kg/1
API gravity 1 ............. 26.8 degrees ...... 37.0 degrees oil-water samples can be analyzed for their
Sulfur ........................ 1.03 wt% ............ 0.23 wt% oil content, the UV-visible spectrophotom-
Sulfur compounds, ............................. eter must meet an instrument stability cali-
profile. bration criterion. This criterion is deter-
Nitrogen .................... 0.20 wt% ............ 0.031 wt% mined with the six oil standards identified in
Vanadium ................. 21 mg/1 .............. 0.95 mg/1
table 3. Determine the absorbance of stand-
Nickel ....................... 11 mg/1 .............. 1.1 mg/1
Simulated distillation ............................. ards at each of the three analytical wave-
profile. lengths (i.e., 340, 370, and 400 nm). Determine
Infrared spectrum ..... ............................. the response factors (RFs) for the test oil at
UV fluorescence ............................. each of the three analytical wavelengths
spectrum. using the following equation:
Pour Point ................ +25 °F ................ 0 °F
Viscosity RFx=C/Ax (1)
at 40 °C ................ 14.09 cST ........... 3.582 cST where:
at 100 °C .............. 4.059 cST ........... 1.568 cST RFx=Response factor at wavelength x (x=340,
Index ........................ 210 ..................... (2) 370, or 400 nm)
1 At 15 °C C=Oil concentration, in mg of oil/ml of DCM
2 Not calculable when viscosity at 100 °C is less than 2.0. in standard solution
2.3.3 Methylene Chloride (Dichloromethane- Ax=Spectrophotometric absorbance of wave-
DCM), pesticide quality. For extraction of all length x
sample water and oil-standard water sam-
ples. TABLE 3—OIL STANDARD SOLUTIONS:
2.4 Pretest preparation. 2.4.1 Preparation CONCENTRATIONS IN FINAL DCM EXTRACTIONS 1
and analysis of oil standards. 2.4.1.1 Standard
Volume of
solutions of oil for calibrating the UV-visible Final oil con- Final extract Total amount parent oil-
spectrophotometer are prepared with the centration of oil
volume DCM std (μl)
(mg/ml of in standard
specific reference oils and dispersant used for (ml of DCM) added to
DCM) (mg) saltwater
a particular set of experimental test runs.
For experiments with no dispersant, only oil 4.0 20.0 80.0 890
is used to make the standard solution. For 2.0 20.0 40.0 440
227
TABLE 3—OIL STANDARD SOLUTIONS: CON- 3. Place the flasks securely into the at-
CENTRATIONS IN FINAL DCM EXTRACTIONS 1— tached slot on the shaker table.
Continued 4. Carefully add 100 μl of an oil-dispersant
solution onto the center of the water’s sur-
Volume of face using a positive displacement pipette.
Final oil con- Total amount
centration Final extract of oil parent oil- 5. Agitate the flasks for 20±1 minutes at
volume DCM std (μl) 150±10 rpm on the shaker table.
(mg/ml of in standard
(ml of DCM) added to
DCM) (mg) 6. After the 20±1 minutes shaking, remove
saltwater
the flasks from the shaker table and allow
1.0 20.0 20.0 220 them to remain stationary for 10±1 minutes
0.50 20.0 10.0 110 for oil droplet ‘‘settling.’’
0.10 20.0 2.0 22 7. At the conclusion of the 10-minute set-
0.05 20.0 1.0 11
tling period, carefully decant a 30-ml sample
1 Assuming an oil density of 0.9 g/ml and an extraction effi- through the side spout of the test flasks into
ciency of 100% for oil from the 30-ml of seawater. a 50-ml graduated cylinder.
2.4.2.2 Instrument stability for the initial NOTE: Discard the first 1–2 ml of sample
calibration is acceptable when the RFs for water to remove nonhomogeneous water-oil
the five highest standard extracts of oil are initially contained in the spout.
<20% different from the overall mean value 8. Transfer the samples from the graduated
for the five standards. If this criterion is sat- cylinder into a 125- or 250-ml glass sepa-
isfied, analysis of sample extracts can begin. ratory funnel fitted with a Teflon stopcock.
RFs for the lowest concentration (0.05 mg 9. Add 5 ml of pesticide-quality DCM to the
oil/ml DCM) are not included in the consider- separatory funnel and shake vigorously for
ation because the absorbance is close to the 15 seconds. Release the pressure carefully
detection limit of the spectrophotometer from the separatory funnel through the stop-
(with associated high variability in the cock into a fume hood.
value) for the 1-cm path-length cell used for 10. Allow the funnel to remain in a sta-
measurements. Absorbances ≥3.5 are not in- tionary position for 2 minutes to allow
cluded because absorbance saturation occurs phase-separation of the water and DCM.
at and above this value. 11. Drain the DCM layer from the sepa-
2.4.2.3 If one or more of the standard oil ratory funnel into a glass-stoppered, 25-ml
extracts do not meet this linear-stability cri- graduated glass cylinder.
terion, then the ‘‘offending’’ standard(s) can 12. Repeat the DCM-extraction process two
be prepared a second time (i.e., extraction of additional times.
the specified amount of oil from 30-ml or sea- 13. Combine the three extracts in the grad-
water for the ‘‘offending’’ standard according uated cylinder and adjust the final volume to
to the pretest preparation procedure). If re- 20-ml with additional DCM.
placement of the reanalyzed standard solu- 14. Analyze the samples using a UV-spec-
tion(s) in the standard curve meets the lin- trophotometer at 340, 370, and 400 nm-wave-
ear-stability criterion (i.e., no RF >20% dif- lengths and determine the quantity of oil as
ferent from the overall mean), then analysis follows:
of sample extracts can begin. Cx=(Ax)x(RFx)x(VDCM)x(Vtw/Vew) (2)
2.4.2.4 If the initial-stability criterion is where:
still not satisfied, analysis of sample extract Cx=Total mass of dispersed oil in swirling
cannot begin and the source of the problem flask at wavelength x (x=340, 370, or 400
(e.g., preparation protocol for the oil stand- nm)
ards, spectrophotometer stability, etc.) must Ax=Spectrophotometric absorbance at wave-
be corrected. length x
2.4.2.5 The initial six-point calibration of RFx=Mean response factor at wavelength x
the UV-visible spectrophotometer at the oil (determined from equation 1)
concentrations identified is required at least VDCM=Final volume of DCM-extract of water
once per test day. sample (20 ml)
2.5 Test procedure. 2.5.1 Preparation of Vtw=Total water volume in swirling flask
premixed dispersant oil. Prepare a premixed vessel (120 ml)
dispersant oil by mixing 1 part dispersant to Vew=Volume of water extracted for dispersed
10 parts oil. Store this mixture in a glass oil content (30 ml)
container. The dispersant effectiveness test 15. Obtain three concentration values for
procedures are listed in steps 1–20: oil in each experimental water sample (340,
1. Prepare 4 replicates (same test oil and 370, and 400 nm).
dispersant), one control (i.e., no dispersant), 16. Determine the mean of three values as
and one method blank and run at the same follows:
time on the shaker table. Cmean=(C340+C370+C400)/3 (3)
2. Add 120±2 ml of synthetic seawater to NOTE: Means will be used for all dispersion-
each of the modified 125-ml glass Erlenmeyer performance calculations. Samples where
flasks. Measure and record the water tem- one of the values for C340, C370, or C400 is more
perature. than 30% different from Cmean will be flagged.
228
Whenever oil measurements are flagged as od blanks are analyzed with a frequency of
having a concentration based on one wave- at least 1 for every 12 experimental swirling
length as >30% different from Cmean, raw data flask samples. Oil concentrations in method
will be evaluated to establish that the meas- blanks must be <5% of that occurring for
urements are valid. In addition, attempts 100% dispersion of oil in testing apparatus.
will be made to correlate the difference to
oil type, dispersant test, or dispersant used. 3.0 Revised standard dispersant toxicity test
If no errors or correlations are apparent and 3.1 Summary of method. The standard tox-
>10% of all oil measurements are flagged, the icity test for dispersants and other products
mean concentration data will be used in the involves exposing two species (Menidia
calculation for dispersant performance and beryllina (silversides) and Mysidopsis bahia
the subject data will be flagged. (mysid shrimp)) to five concentrations of the
17. Determine the dispersant performance test product and No. 2 fuel oil alone and in a
(i.e., percent of oil that is dispersed, or EFF) 1:10 mixture of product to oil. To aid in com-
based on the ratio of oil dispersed in the test paring results from assays performed by dif-
system to the total oil added to the system ferent workers, reference toxicity tests are
as follows: conducted using dodecyl sodium sulfate
EFF (in %)=(Cmean/CTOT)×100 (4) (DSS) as a reference toxicant. The test
where: length is 96 hours for Menidia and 48 hours
Cmean=Mean value for total mass of dispersed for Mysidopsis. LC50 s are calculated based
oil in the swirling flask determined by on mortality data at the end of the exposure
spectrophotometric analysis period (for method of calculation, see section
CTOT=Total mass of oil initially added to the 3.6 below).
experimental swirling flask 3.2 Selection and preparation of test mate-
18. Calculate EFF using equation 4 for cou- rials.
pled experiments with and without dispers- 3.2.1 Test organisms.
ant (EFFc and EFFd, respectively). EFFc is 3.2.1.1 Menidia beryllina. Obtain fish
the effectiveness of the control and rep- (silversides) from a single source for each se-
resents natural dispersion of the oil in the ries of toxicity tests. In-house cultures are
test apparatus. EFFd is the measured uncor- recommended wherever it is cost-effective;
rected value. however, organisms are available from com-
19. Calculate the final dispersant perform- mercial suppliers. Information on the source
ance of a chemical dispersant agent after of test organisms and any known unusual
correcting for natural dispersion using equa- condition to which fish were exposed before
tion 5. use should be included in the data report.
EFFD=EFFd—EFFc (5) Use of animals previously treated with pes-
where: ticides or chemotherapeutic agents should be
EFFD=% dispersed oil due to dispersant only avoided. Organisms should not be used if
EFFd=% dispersed oil with dispersant added they appear to be unhealthy, discolored, or
EFFc= % dispersed oil with no dispersant show signs of stress. Use 7-day old larval
added fish. Fish should be cultured in accordance
20. Calculate the average dispersant effec- with the methods outlined in Middaugh, et
tiveness value by summing the corrected val- al. (5). There should be no need to acclimate
ues (EFFD) for each of the four replicates for organisms to the 25±1 °C temperature rec-
each of the two test oils and dividing this ommended for the toxicity tests if labora-
sum by eight. tory stock cultures of Menidia are main-
2.6 Performance criterion. The dispersant tained at the recommended culture tempera-
product tested will remain in consideration ture of 25±1 °C. If test organisms must be ob-
for addition to the NCP Product Schedule if tained from a commercial source, it may be-
the average dispersant effectiveness, as cal- come necessary to acclimate test fish to the
culated in section 2.5 above, is at least 45% test temperature of 25±1 °C, a pH of 8.0±0.2,
(i.e., 50%±5%). and 20±2 ppt salinity since changes in tem-
2.7 Quality Control (QC) procedures for perature may occur during shipping. Elimi-
measurements of oil concentrations. 2.7.1 UV- nate groups of fish having a mortality of
visible spectrophotometric measurements. At more than 10% during the first 48 hours, and
least 5% of all UV-visible more than 5% thereafter. During acclima-
spectrophotometric measurements will be tion, organisms should be maintained on a
performed in duplicate as a QC check on the diet of freshly hatched Artemia (brine
analytical measurement method. The ab- shrimp) nauplii. Feed the fish daily to satia-
sorbance values for the duplicates should tion during the acclimation period, and once
agree within ±5% of their mean value. daily during the 96-hour test. Care should be
2.7.2 Method blanks. Analytical method taken daily to remove excess food and fecal
blanks involve an analysis of seawater material from beakers during the test. Use
blanks (i.e., seawater but no oil or dispersant only those organisms that feed actively and
in a swirling flask vessel) through testing that appear to be healthy. Organisms should
and analytical procedures (3, pp 79–80). Meth- be free of disease, external parasites, and any
229
signs of physical damage or stress. Discard TABLE 4—SYNTHETIC SEAWATER—Continued
any fish injured or dropped while handling. [Toxicity Test]
3.2.1.2 Mysidopsis bahia. Several methods
for culturing Mysidopsis bahia (mysid Salt (g) 1
shrimp) may be used and are noted in appen-
dix A of Methods for Measuring the Acute SrCl2 · 6H2O ...................................................... 13.0
H3 BO2 ............................................................... 20.0
Toxicity of Effluents and Receiving Waters KBr ..................................................................... 67.0
to Freshwater and Marine Organisms (6). To KCl ..................................................................... 466.0
ensure uniformity of mysids, recently CaC12 · 2H2O .................................................... 733.0
hatched mysids should be collected daily Na2 SO4 ............................................................. 2,660.0
from stock cultures and identified by the MgCl2 · 6H2O ..................................................... 3,330.0
date of hatch. Mysids used in 48-hour tests NaCl ................................................................... 15,650.0
Na2SiO3 · 9H2O ................................................. 13.0
should be from a single day’s collection, but EDTA 2 ............................................................... 0.4
may have an age range of 5–7 days old. In NaHCO3 ............................................................. 133.0
cases where in-house cultures of mysids are 1 Amount added to 900 liters of water, as described in the
unavailable, organisms may be purchased text.
from a commercial source. Information on 2 Ethylenediaminetetraacetate tetrasodium salt.
the source of test organisms should be sub-

3.4 General test conditions and procedures
mitted in the data report.
for toxicity tests.
3.2.2 Preparation of experimental water. Fil-
3.4.1 Temperature. For these toxicity tests,
tered natural seawater is recommended for
use test solutions with temperatures of 25±1
use since it represents a natural source of
°C.
saltwater containing an inherent population
3.4.2 Dissolved oxygen and aeration.
of microorganisms. Synthetic seawater for-
3.4.2.1 Menidia. Because oils contain toxic,
mulated according to the following method
volatile materials, and because the toxicity
can serve as an acceptable alternative to fil-
of some water-soluble fractions of oil and
tered, natural seawater for toxicity tests
degradation products are changed by oxida-
performed in laboratories in which natural
tion, special care must be used in the oxy-
seawater is unavailable.
genation of test solutions. Aeration during
3.2.3 Synthetic seawater formation. To pre-
the test is generally not recommended but
pare standard seawater, mix technical-grade
should be used to maintain the required dis-
salts with 900 liters of distilled or
solved oxygen (DO) in cases where low DO is
demineralized water in the order and quan-
observed. The DO content of test solutions
tities listed in table 4. These ingredients
must not drop below 60% saturation during
must be added in the order listed and each
the first 48 hours of a static acute (96-hour)
ingredient must be dissolved before another
test and must remain between 40–100% after
is added. Stir constantly after each addition
the first 48 hours of the test. Aeration at a
during preparation until dissolution is com-
rate of 100±15 bubbles per minute is supplied
plete. Add distilled or demineralized water
by a serological pipette as needed for main-
to make up to 1,000 liters. The pH should now
tenance of DO. If aeration is necessary, all
be 8.0±0.2. To attain the desired salinity of
test chambers should be aerated. At this
20±1 ppt, dilute again with distilled or
rate, and with the proper weight of fish, DO
demineralized water at time of use.
concentration should remain slightly above 4
3.3 Sampling and storage of test materials.
ppm over a 96-hour period. Take DO meas-
Toxicity tests are performed with No. 2 fuel
urements daily.
oil having the characteristics defined in
table 5. Store oil used for toxicity tests in
TABLE 5—TEST OIL CHARACTERISTICS: NO. 2
sealed containers to prevent the loss of
volatiles and other changes. For ease in han- FUEL OIL
dling and use, it is recommended that 1,000- Min- Max-
ml glass containers be used. To ensure com- Characteristic imum imum
parable results in the bioassay tests, use oils
packaged and sealed at the source. Dispose of Gravity (°API) .......................................... 32.1 42.8
Viscosity kinematic at 100 °F (cs) .......... 2.35 3.00
unused oil in each open container on comple-
Flash point ( °F) ...................................... 150 ..
tion of dosing to prevent its use at a later Pour point ( °F) ....................................... .. 0
date when it may have lost some of its vola- Cloud point ( °F) ...................................... .. 10
tile components. Run all tests in a bioassay Sulfur (wt %) ........................................... .. 0.35
series with oil from the same container and Aniline point ( °F) .................................... 125 180
with organisms from the same group col- Carbon residue (wt %) ............................ .. 0.16
Water (vol %) .......................................... .. 0
lected or secured from the same source. Sediment (wt %) ...................................... .. 0
Aromatics (vol %) .................................... 10 15
TABLE 4—SYNTHETIC SEAWATER Distillation:
[Toxicity Test] IBP ( °F) ............................................... 347 407
10% ( °F) ............................................. 402 456
Salt (g) 1 50% ( °F) ............................................. 475 530

90% ( °F) ............................................. 542 606
NaF .................................................................... 1.9 End Point ( °F) ..................................... 596 655
230
TABLE 5—TEST OIL CHARACTERISTICS: NO. 2 mysids in the holding chamber, and trans-
FUEL OIL—Continued ferred to 50-ml beakers containing a small
volume of seawater. One mysid is added per
Characteristic Min- Max- beaker using a small piece of flexible 500-μm
imum imum screening until all of the beakers contain
one mysid. The process of random selection
Neutralization No ..................................... .. 0.05
and sorting is continued until the appro-
priate number of mysids has been delivered
3.4.2.2 Mysidopsis. Achieve sufficient DO by
to each of the 50-ml beakers. The mysids are
ensuring that the surface area to volume
gently released from the 50-ml beakers into
ratio of the test solution exposed is large
larger beakers filled with an appropriate vol-
enough. Oxygen content should remain high
ume of 20-ppt seawater (25 °C) to bring the
throughout the test because of the low oxy-
total volume to 200 ml. The beakers are ran-
gen demand of the organisms. Aeration is domly placed into a temperature-controlled
not recommended during 48-hour acute tox- water bath to acclimate overnight at 25 °C.
icity tests unless the DO falls below 60% The mysids are transferred to larger beakers
saturation. (1-liter) for the 48-hour test after the addi-
3.4.3 Controls. With each fish or mysid test tion of 800 ml of the test solution. A total of
or each series of simultaneous tests of dif- 10 mysids per beaker are used for 48-hour
ferent solutions, perform a concurrent con- acute toxicity tests. A minimum of two rep-
trol test in exactly the same manner as the licate chambers are used for each test con-
other tests and under the conditions pre- centration and control.
scribed or selected for those tests. Use the 3.4.6.2 Menidia and Mysidopsis are fed 50
diluent water alone as the medium in which brine shrimp nauplii/organism daily during
the controls are held. There must be no more the 96-hour and 48-hour tests. Excess food
than 10% mortality among the controls dur- should be removed daily by aspirating with a
ing the course of any valid test. pipette.
3.4.4 Reference toxicant. To aid in comparing 3.4.7 Test duration and observations. 3.4.7.1
results from tests performed by different Menidia. Observe the number of dead fish in
workers and to detect changes in the condi- each test container and record at the end of
tion of the test organisms that might lead to each 24-hour period. Fish are considered dead
different results, perform reference toxicity upon cessation of respiratory and all other
tests with reagent grade DSS in addition to overt movements, whether spontaneous or in
the usual control tests. Prepare a stock solu- response to mild mechanical prodding. Re-
tion of DSS immediately before use by add- move dead fish as soon as observed. Also
ing 1 gram of DSS per 500 ml of test water note and report when the behavior of test
solution. Use exploratory tests before the fish deviates from that of control fish. Such
full scale tests are begun to determine the behavioral changes would include variations
amount of reference standard to be used in in opercular movement, coloration, body ori-
each of the five different concentrations. entation, movement, depth in container,
3.4.5 Number of organisms. At a minimum, 20 schooling tendencies, and others. Abnormal
organisms of a given species are exposed for behavior of the test organisms (especially
each test concentration. For the toxicity during the first 24 hours) is a desirable pa-
test procedures using Menidia, place 10 fish rameter to monitor in a toxicity test be-
in each of two jars. For the toxicity tests cause changes in behavior and appearance
using Mysidopsis, place 10 larvae in each of may precede mortality. Toxicants can re-
two containers. duce an organism’s ability to survive natural
3.4.6 Transfer of organisms. Organisms stresses. In these cases, the mortality is not
should be handled as little as possible in directly attributed to the toxicant, but most
order to minimize stress. Transfer Menidia certainly is an indirect effect. Reports on be-
and Mysidopsis from the acclimatization havioral changes during a toxicity test can
aquaria to the test chambers with a pipette give insight into the non-acute effects of the
or a wide-bore, smooth glass tube (4 to 8 mm tested material. At the end of the 96-hour pe-
internal diameter) fitted with a rubber bulb. riod, terminate the fish tests and determine
Dip nets should be avoided when handling the LC50 values. The acute toxicity test is
larval fish and mysids. Do not hold fish out terminated after four days of exposure. The
of the water longer than necessary and dis- number of surviving fish are counted and re-
card any specimen accidentally dropped or corded for each chamber in accordance with
otherwise mishandled during transfer. standard EPA methods (6). The LC50 is cal-
3.4.6.1 Mysidopsis. To have the mysids ready culated using survival data from the test in
for study, mysids may be sorted 24 hours accordance with the methods described in
prior to initiation of the 48-hour test. Trans- the guidelines (6).
fer the mysids to a beaker containing a 3.4.7.2 Mysidopsis. Terminate the mysid
small volume of water; this vessel serves as test after 48 hours of incubation. To count
a holding chamber during randomized trans- the dead animals accurately, place the expo-
fer of the organisms to test solutions. Mysids sure vessels on a light table such that light
are randomly selected from the batch of passes through the bottom of the vessel.
231
Most of the dead mysids will be on the bot- toxicant (if applicable) into the jars with a
tom of the beaker and can readily be seen pipette. Tightly cap the test jars and shake
against the background of the light table. for 5 minutes at approximately 315 to 333 2-
Also search the top of the liquid for mysids cm (0.75-inch) strokes per minute in a recip-
trapped there by surface tension. Exercise rocal shaker or at approximately 150 to 160
caution when determining death of the ani- rpm on orbital shakers. At the completion of
mals. Occasionally, an animal appears dead, shaking, remove the jars from the shaker
but closer observation shows slight move- and dispense 1 liter of the mixture to each of
ment of an appendage or a periodic spasm of the 1-liter glass beakers. Randomly place
its entire body. For these tests, animals ex- beakers in a constant-temperature water
hibiting any movement when touched with a bath or room, take water quality measure-
pipette tip are considered alive. Account for ments, add fish, and initiate aeration.
all test animals to ensure accuracy since 3.5.2 Mysidopsis. 3.5.2.1 To prepare test
Mysidopsis bahia may disintegrate or be can- solutions for products and oil/product mix-
nibalized by other mysids. Consider individ- tures, blend or mix the test solutions with an
uals not accounted for as dead. At the end of electric blender having: speeds of 10,000 rpm
48 hours of exposure, terminate the mysid or less; a stainless-steel cutting assembly;
assay and determine the LC50 values in ac- and a 1-liter borosilicate jar. To minimize
cordance with the methods described in the foaming, blend at speeds below 10,000 rpm.
guidelines (6). 3.5.2.2 For the product test solution, add
3.4.8 Physical and chemical determinations. 550 ml of the synthetic seawater to the jar,
3.4.8.1 Menidia. Determine the temperature, then with the use of a gas-tight calibrated
DO, and pH of the test solutions before the glass syringe with a Teflon-tipped plunger,
fish are added and at 24-, 48-, 72-, and 96-hour add 0.55 ml of the product and mix for 5 sec-
exposure intervals. It is necessary to take
onds.
measurements from only one of the rep-
3.5.2.3 For the oil test solution, add 550 ml
licates of each of the toxicant series.
of the synthetic seawater to the jar. Then
3.4.8.2 Mysidopsis. Determine the tempera-
with the use of a gas-tight calibrated glass
ture, DO, and pH of the test solutions before
the nauplii are added and at the 24- and 48- syringe equipped with a Teflon-tipped plung-
hour exposure interval. Measure DO and pH er, add 0.55 ml of the oil and mix for 5 sec-
in only one of the replicates of each of the onds.
toxicant series. 3.5.2.4 For the oil/product mixture, add 550
3.4.9 Testing laboratory. An ordinary heat- ml of the synthetic seawater to the mixing
ed or air-conditioned laboratory room with jar. While the blender is in operation, add 0.5
thermostatic controls suitable for maintain- ml of the oil under study with the use of a
ing the prescribed test temperatures gen- calibrated syringe with a Teflon-tipper
erally will suffice to conduct the toxicity plunger and then 0.05 ml of the product as in-
tests. Where ambient temperatures cannot dicated above. Blend for 5 seconds after addi-
be controlled to 25±1 °C, use water baths with tion of product. These additions provide test
the necessary temperature controls. solutions of the product, oil, and the oil/
3.4.10 Test containers. For tests with fish product mixture at concentrations of 1,000
or mysids, use 1-liter glass beakers meas- ppm.
uring approximately 10 cm in diameter. In 3.5.2.5 Immediately after the test solu-
conducting the test, add to each beaker 1 tions are prepared, draw up the necessary
liter of the test solution or seawater formu- amount of test solution with a gas-tight Tef-
lation aerated to saturation with DO. To add lon-tipped glass syringe of appropriate size
the liter volume easily and accurately, use a and dispense into each of the five containers
large volume (1-liter) graduated cylinder. in each series. If the series of five concentra-
Process all required glassware before each tions to be tested are 10, 18, 32, 56, and 100
test. Immerse in normal hexane for 10 min- ppm, the amount of the test solution in the
utes. Follow this with a thorough rinse with order of the concentrations listed above
hot tap water; three hot detergent scrubs; an would be as follows: 10, 18, 32, 56, and 100 ml.
additional hot tap-water rinse; and three 3.5.2.6 Each time a syringe is to be filled
rinses with distilled water. Oven or air dry for dispensing to the series of test con-
the glassware in a reasonably dust-free at- tainers, start the mixer and withdraw the de-
mosphere. sired amount in the appropriate syringe
3.5 Preparation of test concentrations. 3.5.1 while the mixer is in operation. Turn off im-
Menidia. Place test jars (approximately 22.5 mediately after the sample is taken to limit
cm in height, 15 cm in diameter, 11 cm in di- the loss of volatiles.
ameter at the mouth) containing 2 liters of 3.5.2.7 Use exploratory tests before the
synthetic seawater on a reciprocal shaker. full-scale test is set up to determine the con-
The shaker platform should be adapted to centration of toxicant to be used in each of
hold firmly six of the toxicity test jars. Add the five different concentrations. After add-
the desired amount of the petroleum product ing the required amounts of liquid, bring the
(if applicable) under test directly to each volume in each of the test containers up to
test jar. Dispense the appropriate amount of 800 ml with the artificial seawater. To ensure
232
keeping each of the series separate, des- test material, a control series of 5 beakers,
ignate on the lid of each container the date, and a standard reference series of 5 different
the material under test, and its concentra- concentrations for a total of 35 beakers. Si-
tion. multaneous performance of toxicity tests on
3.5.2.8 When the desired concentrations the oil, product, and oil/product mixture re-
are prepared, gently release into each beaker quires a total of 105 beakers.
the 10 test Mysidopsis (previously transferred 3. Add the determined amount (quarter
into 200 ml of medium). This provides a vol- points on the log scale) of test material to
ume of 1 liter in each test chamber. A pair of the appropriate jars. Preliminary tests will
standard cover glass forceps with flat, bent be necessary to define the range of definitive
ends is an ideal tool for handling and tipping test concentrations.
the small beaker without risk of contami- 4. Cap the jars tightly with the Teflon-
nating the medium. lined screw caps and shake for 5 minutes at
3.5.2.9 After adding the test animals, incu- 315 to 333 2-cm (0.75-inch) strokes per minute
bate the test beakers at 25±1 °C for 48 hours. on a reciprocal shaker.
Recommended lighting is 2,000 lumens/m2 5. Remove the jars from the shaker, take
(200 ft-c) of diffused, constant, fluorescent il- water quality data, dispense 1 liter of solu-
lumination. tion to the 1-liter glass beaker, and add 10
3.5.2.10 Wash the blender thoroughly after acclimated fish per beaker.
use and repeat the above procedures for each 6. Aerate with 100±15 bubbles per minute
series of tests. Wash the blender as follows: through a 1-ml serological pipette, as needed,
rinse with normal hexane; pour a strong so- to maintain DO above 4.0 mg/l.
lution of laboratory detergent into the 7. Observe and record mortalities, water
blender to cover the blades; fill the container quality, and behavioral changes every 24
to about half of its volume with hot tap hours.
water; operate the blender for about 30 sec- 8. After 96 hours, terminate the test, and
onds at high speed; remove and rinse twice calculate LC50 values and corresponding con-
with hot tap water, mixing each rinse for 5 fidence limits.
seconds at high speed; and then rinse twice 3.7.2 Mysidopsis:
with distilled water, mixing each rinse for 5 1. Initiate the procedure for hatching the
seconds at high speed. Mysidopsis in sufficient time before the tox-
3.6 Calculating and reporting. At the end of icity test is to be conducted so that 5–7 day
the test period, the toxicity tests are termi- old larvae are available.
nated and the LC50 values are determined. 2. With the use of a small pipette, transfer
3.6.1 Calculations. The LC50 is the con- 10 Mysidopsis into small beakers, each con-
centration lethal to 50% of the test popu- taining 200 ml of the proper synthetic sea-
lation. It can be calculated as an inter- water.
polated value based on percentages of orga- 3. To prepare the test stock product and oil
nisms surviving at two or more concentra- solutions, add 550 ml of the artificial sea-
tions, at which less than half and more than water to the prescribed blender jar. By
half survived. The LC50 can be estimated means of a gas-tight glass syringe with a
with the aid of computer programs or graph- Teflon-tipped plunger, add 0.55 ml of the
ic techniques (log paper). The 95% confidence product (or oil) and mix at 10,000 rpm for 5
intervals for the LC50 estimate should also be seconds. To prepare the test stock oil/prod-
determined. uct mixture, add 550 ml of the standard sea-
3.6.2 Reporting. The test product and oil water to the blender jar. While the blender is
and their source and storage are described in in operation (10,000 rpm), add 0.5 ml of the
the toxicity test report. Note any observed oil, then 0.05 ml of the product with the use
changes in the experimental water or the of a calibrated syringe with a Teflon-tipped
test solutions. Also include the species of plunger. Blend for 5 seconds after adding the
fish used; the sources, size, and condition of product. One ml of these stock solutions
the fish; data of any known treatment of the added to the 100 ml of standard seawater in
fish for disease or infestation with parasites the test containers yields a concentration of
before their use; and any observations on the 10 ppm product, oil, or oil/product combina-
fish behavior at regular intervals during the tion (the test will be in a ratio of 1 part prod-
tests. In addition to the calculated LC50 val- uct to 10 parts of oil).
ues, other data necessary for interpretation 4. Each test consists of 5 replications of
(e.g., DO, pH, other physical parameters, and each of 5 concentrations of the material
the percent survival at the end of each day of under study, a control series of 5 beakers and
exposure at each concentration of toxicant) a standard reference series of 5 different con-
should be reported. centrations, for a total of 35 beakers. Simul-
3.7 Summary of procedures. 3.7.1 Menidia: taneous performance of toxicity tests on the
1. Prepare adequate stocks of the appro- oil, product, and oil/product mixture requires
priate standard dilution water. a total of 105 beakers. Immediately after pre-
2. Add 2 liters of the standard dilution paring the test solution of the product or oil/
water to the test jars. Each test consists of product solution, and using an appropriately
5 replicates of each of 5 concentrations of the sized syringe, draw up the necessary amount
233
of test solution and dispense into each of the tion method does not exclude analysis of se-
five containers in each series. Each time a lected samples by GC/MS in the full scanning
syringe is to be filled for dispensing to the mode of operation to qualitatively assess
series of test containers, start the mixer and changes in the oil not accounted for by the
withdraw the desired amount in the appro- SIM approach. Performed concurrently with
priate syringe while the mixer is in oper- the chemical analysis described above is a
ation. Turn mixer off immediately after the microbiological analysis. The micro-
sample is taken to limit the loss of volatiles. biological analysis is performed to determine
After adding the required amount of the test and monitor the viability of the microbial
oil/product or product mixture, bring the cultures being studied. Under this procedure,
volume of liquid in each of the test con- microbial enumerations of hydrocarbon
tainers up to 800 ml with the artificial sea- degraders are performed at each sampling
water. When the desired concentrations have event using a microtiter Most Probable
been prepared, gently release into each beak- Number (MPN) determination.
er the 10 mysids previously transferred into 4.2 Apparatus. The following materials
200 ml of medium. This provides a volume of and equipment are required for the protocol:
1 liter in each test chamber. Appropriate flasks and other glassware; ster-
5. Wash the blender as prescribed for each ile tubes; graduated cylinders (100-ml); de-
series of tests. ionized water; p-iodonitrotetrazolium violet
6. Incubate the test beakers at 25±1 °C for dye; weighing pans or paper; 250-ml
48 hours with the prescribed lighting. borosilicate glass Erlenmeyer flasks with
7. Terminate the experiment after 48 hours,
screw tops; Pasteur pipettes; laboratory
observe and record the mortalities, and de-
notebook; microtiter MPN plates (24-well)
termine the LC50 s and corresponding con-
multi-channel pipetting device; dilution tube
fidence limits.
and caps; autoclave; environmental room or
4.0 Bioremediation agent effectiveness test incubator; balance accurate to 0.1 mg (XD–
400); GC/MS instrument equipped with a DB–
4.1 Summary of method. The bioremedi- 5 capillary column (30 m, 0.25-mm I.D., and
ation agent effectiveness testing protocol is 0.25-μm film thickness) and a split/splitless
designed to determine a product’s ability to injection port operating in the splitless
biodegrade oil by quantifying changes in the mode, such as Hewlett-Packard 5890/5971 GC/
oil composition resulting from biodegrada- MS (recommended for use); and an
tion. The protocol tests for microbial activ- autosampler for testing multiple samples.
ity and quantifies the disappearance of satu- 4.3 Reagents and culture medium. 4.3.1
rated hydrocarbons and polynuclear aro- Preparation of seawater. All products are test-
matic hydrocarbons (PAHs). The sample ed in clean natural seawater. Clean natural
preparation procedure extracts the oil phase seawater means that the source of this sea-
into dichloromethane (DCM), with a subse- water must not be heavily contaminated
quent solvent exchange into hexane. To ef- with industrial or other types of effluent.
fectively accomplish the goals of the testing For example, seawater should not be ob-
protocol, it is necessary to normalize the tained from a source near shipping channels
concentration of the various analytes in oil or discharges of industrial or municipal
to a non-biodegradable marker, either C2-or wastewater, or with high turbidity. The sea-
C3-phenanthrene, C2-chrysene, or hopane 1 (7). water is used within seven days of collection.
The test method targets the relatively easy No microbial inoculum is added.
to degrade normal alkanes and the more re-
4.3.2 Preparation of oil. A medium weight
sistant and toxic PAHs. It normalizes their
crude oil, Alaska North Slope (ANS), is arti-
concentrations to C2-or C3-phenanthrene, C2-
ficially weathered by heating to 521 °F to re-
chrysene, or C3017a(H), 21b (H)-hopane on an
move the light end hydrocarbons prior to ex-
oil weight basis (mg marker/kg oil, mg tar-
perimental start-up (ANS 521). The method is
get analyte/kg oil). The analytical technique
described in the Draft International Stand-
uses a high resolution gas chromatograph/
ard ISO/DIS 8708 ‘‘Crude Petroleum Oil—De-
mass spectrometer (GC/MS) because of its
termination of Distillation Characteristics
high degree of chemical separation and spec-
Using 15 Theoretical Plates Columns’’ by the
tral resolution. GC/MS has long been used to
International Organization for Standardiza-
study the weathering and fate of oil spilled
tion (8). The ANS521 crude oil can be ob-
into the environment. For quantitative anal-
tained from the National Environmental
yses, the instrument is operated in the selec-
Technology Applications Center’s (NETAC)
tive ion detection (SIM) mode at a scan rate
Bioremediation Products Evaluation Center
of greater than 1.5 scans per second to maxi-
(BPEC), University of Pittsburgh Applied
mize the linear quantitative range and preci-
Research Center, 615 William Pitt Way,
sion of the instrument. The sample prepara-
Pittsburgh, PA, 15238, (412) 826–5511. The
crude oil is heated to 190 °C (374 °F) under at-
1 Although any of these biomarkers can be mospheric pressure. The system is then
used to conduct this test, it is recommended cooled and placed under vacuum (or under an
that hopane be used. atmospheric pressure of 20 mm Hg) for the
234
final distillation to an atmospheric equiva- up to a 1,000-ml volume. The solution is
lent boiling point of 272 °C (521 °F). sterilized by autoclaving at 121 °C at 15 psig
4.3.3 Preparation of mineral nutrient solu- for 20 minutes.
tion. If a commercial product is strictly a MnSO4.H2 O—30.2 mg
microbial agent and does not contain its own H3 BO3—57.2 mg
nutrients, a mineral nutrient solution will ZnSO4.7H2 O—42.8 mg
be provided if requested by the product man- (NH4)6Mo7(O2)4—34.7 mg
ufacturer or vendor. If a commercial product
The pH of the nutrient solution is adjusted
contains its own nutrients, no further nutri-
with a pH meter calibrated at room tempera-
ents will be added. The nutrient solution is a
ture (approximately 25 °C) using commercial
modified salt solution and is described
buffers of pH 4.0, 7.0, and 10.0 (Fisher Sci-
below.
entific), as appropriate, prior to use. The pH
4.3.3.1 Nutrient preparation:
is adjusted with concentrated HCl or 10 M
1. N&P Salts. The following salts are added
NaOH, as appropriate.
to distilled water and made up to a 1,000-ml
4.3.3.2 Final concentrations: Ten (10) ml of
volume. Adjust final pH to 7.8. The solution
solution 1 and 2 ml of solutions 2–5 are added
is sterilized by autoclaving at 121 °C at 15
to non-sterile seawater and made up to a
psig for 20 minutes or by filtering through a
1,000-ml volume immediately prior to test
sterile 0.22 μm membrane filter.
start-up. This seawater/mineral nutrient so-
Na2 HPO4.2H2—18.40 g lution is used for all flasks containing prod-
KNO3—76.30 g ucts requiring nutrient supplements and for
2. MgSO4.7H2 O solution. Dissolve 22.50 g in the flasks containing no commercial addi-
1,000 ml distilled water. The solution is steri- tive. Seawater without the above nutrient
lized by autoclaving at 121 °C at 15 psig for 20 solutions is used for products containing
minutes. their own source of nutrients.
3. CaCl2 solution. Dissolve 27.50 g in 1,000 4.4 Pretest preparation.
ml of distilled water. The solution is steri- 4.4.1 Experimental setup.
lized by autoclaving at 121 °C at 15 psig for 20 4.4.1.1 The procedure consists of an exper-
minutes. imental shaker flask setup and the specific
4. FeCl3•6H2 O solution. Dissolve 0.25 g in set of microbiological and chemical analyses
1,000 ml of distilled water. The solution is that are performed on individual product
sterilized by autoclaving at 121 °C at 15 psig samples. The following test flasks (labeled
for 20 minutes. with unique identifiers) are prepared and set
5. Trace Element Solution. The following up on a gyratory shaker at day 0 to reflect
salts are added to distilled water and made the following treatment design:
No. of samples at sampling times Total No. of analytical determina-

tions
Treatment
Day 0 Day 7 Day 28 Microbial Gravimetric GC/MS
counts
Control ........................................................................ 3 3 3 9 9 9
Nutrient ....................................................................... 3 3 3 9 9 9
Product ........................................................................ 3 3 3 9 9 9
Control = Oil + Seawater
Nutrient = Oil + Seawater + Nutrient
Product = Oil + Seawater + Product (+ Nutrient, if required).
4.4.1.2 For each test, a sheet listing the water containing the nutrient solution is
number of flasks, types of controls, number prepared.
of replicates, product to be tested, and other 5. Pasteur pipettes should be sterilized in
information is prepared. The following steps advance. Break off the tip to provide a larger
should be adhered to for the experimental opening prior to sterilization.
setup: 6. Pour the approximate amount of oil to
1. Borosilicate glass Erlenmeyer flasks be used from the large stock bottle into a
(250–ml) are thoroughly cleaned and sterile beaker. Keep the beaker covered when
autoclaved for 20 minutes at 120 °C at 15 psi, oil is not being removed.
then dried in the drying oven. 7. The labeled flasks containing seawater
2. Flasks are labeled with the appropriate and other additions, as necessary, are placed
code: product or control, sample day, and on the balance. The flask is tared. The ap-
letter indicating replicate. propriate amount of oil (0.5 g) is added drop
3. 100 ml of seawater is added to each flask. by drop using a sterile Pasteur pipette with
the tip broken off to provide a wider opening.
4. For nutrient and product treatments

that require the addition of nutrients, sea- Care is taken to avoid splashing the oil or
getting it on the sides of flasks. Precautions
235
are taken when handling and charging the 4.5.1.3 Standard nutrient concentrate (add 1
flasks to minimize the likelihood of con- ml to each 100 ml of Bushnell-Haas medium for
tamination by exogenous microbes. This in- MPNs):
cludes using a new sterile pipette for each se- 1. Weigh compounds listed below, dissolve
ries of flasks. in DIH2 O, dilute to 1 liter.
8. The weight of the oil is recorded in the Potassium Phosphate, monobasic KH2 PO4—
laboratory notebook. 0.633 g
9. The product is prepared and added to the Potassium Phosphate, dibasic K2 HPO4—1.619
appropriate flasks according to the manufac- g
turer’s or vendor’s instructions. Sodium Phosphate, dibasic Na2 HPO4—2.486 g
10. Flasks are carried upright and carefully Ammonium Chloride NH4 Cl—3.850 g
placed in the holders on the shaker table to Magnesium Sulfate, heptahydrate MgSO4·7H2
minimize the amount of oil that might ad- O—4.500 g
here to the side of the flasks. Flasks in Calcium Chloride, dihydrate CaCl2·2H2 O—
which a significant amount of oil is splashed 7.290 g
on the sides are redone. Ferric Chloride, hexahydrate FeCl3·6H2 O—
11. The prepared flasks are shaken at 200 0.250 g
rpm at 20 °C until such time that they will
be removed for sampling. Trace Elements
4.4.2 Sampling. The control and treat- Manganese Sulfate, monohydrate MnSO2·H2
ments (nutrient and product flasks) are sam- O—6.04 mg
pled three times over a 28-day period: day 0, Boric Acid H3 Bo3—11.44 mg
day 7, and day 28. The entire flask is sac- Zinc Sulfate, heptahydrate ZnSO4·7H2 O—8.56
rificed for analysis; a 0.5–ml aliquot is re- mg
moved from each flask for the micro- Ammonium Moybdate, tetrahydrate
biological analysis and the remainder of (NH4)6Mo7 O24·4H2 O—6.94 mg
each flask is used for the chemical analysis. 2. Adjust pH to 6.0.
Specific procedures for both the micro- 3. Stir solution for approximately 3 hours,
biological and chemical analysis are de- then filter through a Buchner funnel using
scribed below. At the time of each sampling #1 paper, which will retain approximately 3.8
event, physical observations of each flask g of insolubles.
should be recorded. 4. Then filter through a 0.45 micron filter
4.5 Microbiological analysis. To monitor into sterile bottles.
the viability of the microbial cultures being 5. Cap bottles, label, and store in refrig-
studied, microbial enumerations of hydro- erator until used.
carbon degraders are performed at each sam- 4.5.1.4 Quality assurance/Quality control
pling event using a microtiter MPN deter- (QA/QC):
mination. This is used as an indicator of the 1. Periodically check the effectiveness of
relative change in biomass. This test design sterilization using commercially available
relies on using growth response as an indica- tapes or Bacillus stearothermophilus spore sus-
tion of enhanced activity as compared to a pensions, following the instructions with
‘‘no addition’’ control. these products.
4.5.1 Media preparation. Media for micro- 2. Maintain a media log book that includes
bial enumerations are carefully prepared ac- the dates, kinds and amounts of media made,
cording to manufacturer’s or other instruc- pH, and any problems or observations.
tions and sterilized using appropriate meth- 3. Before use, check plates and tubes for
ods. signs of contamination, drying, or other
4.5.1.1 General media treatment: Buy problems.
Bushnell-Haas (B-H) broth in quantities to 4.5.1.5 Safety/Special precautions:
last no longer than one year. Use media on a 1. Note any safety or other precautions for
first-in, first-out basis. When practical, buy particular media.
media in quarter-pound multiples, rather 2. Note precautions to be followed when
than one-pound multiples to keep supply using the autoclave.
sealed as long as possible. Keep an inventory 3. Use gloves and other protective clothes
of media, including kind, amount, lot num- when handling media.
ber, expiration date, date received, and date 4. Use care in handling hot media.
opened. Check inventory before reordering 4.5.2 Microbial enumeration. Standardized
media. Discard media that are caked, discol- techniques for performing Most Probable
ored, or show other deterioration. Number microbial enumerations are de-
4.5.1.2 Sterile saline (pH adjusted): scribed below.
1. Weigh 30 g of NaCl. 4.5.2.1 Dilutions:
2. Dissolve in enough water to make 1,000 1. Prior to sacrificing each flask, remove
ml. 0.5 ml of water from each flask and add it to
3. Adjust pH to 8.0 with NaOH (10M and a tube of 4.5 ml sterile phosphate buffer (1:10
0.5M). dilution) as prepared in the Standard Methods
4. Sterilize by autoclaving for 15 minutes for the Examination of Water and Wastewater
at 15 psig. (9). Using sterile technique, mix and perform
236
serial dilutions (0.5 ml of previous dilution to ysis, a 0.5-ml sample of the aqueous phase is
4.5 ml of sterile phosphate buffer) to 10¥9 di- removed for the microbiological analysis
lution. (see Microbial Enumeration above).
4.5.2.2 Inoculating MPN plates (oil degrader): 2. A surrogate recovery standard is pre-
1. Prepare sufficient sterile 0.4 M NaCl (23.4 pared in the following manner: 1,000 mg of
g NaCl/1,000 ml B-H) and B-H at pH 7.0 to fill d10-phenanthrene and 1,000 mg of 5a-andro-
the number of wells required for the test stane are measured into a 500-ml volumetric
(1.75 ml/well). flask and DCM is added to the mark to
2. Using sterile technique, add 1.75 ml of B- produce a 2,000-ng/μl stock solution.
H broth to each well. 3. A 100-μl aliquot of the surrogate solution
3. Label the top of the plate with the prop- is added to each test flask. The final con-
er dilution for each row. centration of surrogates in each flask is ap-
4. Add 0.1 ml of fluid from each dilution proximately 4 ng/μl of solvent in the final ex-
tube to each well in the appropriate row, tract. The aliphatics and marker data should
starting with the most dilute. be corrected for percent recovery of the 5a-
5. After adding the fluid to all the wells, androstane surrogate and the aromatics for
add 20 μl of sterilized No. 2 fuel oil to the top the d10-phenanthrene surrogate.
of each well. 4. The contents of the flask are placed into
6. Incubate each plate at 20 °C. a 250-ml separatory funnel.
7. After 14 days of incubation, add 100 μl of 5. Measure a total volume of 50 ml DCM for
p-iodotetrazolium violet dye (50 mg/10 ml of use in the extraction. Use 3 10-ml fractions
D.I. water) to each well to determine growth. to rinse the flask into the funnel and trans-
8. View plates against a white background fer the remaining aliquot of DCM to the fun-
to determine if color is present. Develop- nel.
ment of a purple or pink color upon standing 6. Stopper and mix vigorously by shaking
for 45 minutes constitutes a positive test. (approximately 50 times) while ventilating
9. Record the number of positive wells and properly.
the dilutions at which they occur. 7. Each funnel is set aside to allow the
10. Enter data into a computerized enu- DCM and water layers to partition. This may
meration method using ‘‘MPN Calculator’’ take 5–10 minutes for some products, or up to
software program (version 2.3 or higher) by 3 hours if the product has caused the forma-
Albert J. Klee, U.S. EPA Office of Research tion of an emulsion.
and Development, Risk Reduction Engineer- 8. Drain the first 10 ml of the DCM (bot-
ing Laboratory, Cincinnati, OH. tom) layer, collect, cap, uniquely label, and
4.5.2.3 Quality assurance/Quality control: use for gravimetric analysis (see below).
1. Check pH of medium before preparing Drain the remaining 40 ml and dry it by pass-
wells (pH should be approximately 8.0). Ad- ing it through a funnel packed with anhy-
just pH, if necessary, with dilute NaOH. drous sodium sulfate.
2. Keep prepared tetrazolium violet dye so- 9. Assemble a Kuderna-Danish (KD) con-
lution in the refrigerator in an amber bottle centrator by attaching a Snyder column to
when not in use. an evaporation flask with a graduated con-
3. Have all laboratory personnel periodi- centrator tube. Align vertically and par-
cally run MPNs on the same sample to test tially immerse concentrator tube in a water
precision. bath (10). Set the water bath to the appro-
4.5.2.4 Safety/Special precautions: priate temperature to maintain proper dis-
1. Use sterile technique in preparing solu- tillation.
tions, dilutions, plates, and MPN wells. 10. Collect the de-watered extract into the
2. Do not pipette potentially hazardous so- KD concentrator.
lutions by mouth. 11. Evaporate DCM to approximately 10 ml,
3. Autoclave all plates and wells before dis- then add approximately 50 ml of the ex-
carding. change solvent (hexane) and concentrate the
4.6 Chemical analysis of oil composition. volume to 10 ml.
4.6.1 Sample procedure. After 0, 7, and 28 12. Rinse the flask into the concentrator
days of incubation on a rotary shaker, the tube with 50 ml hexane and concentrate to 10
appropriate flasks are sacrificed and ex- ml. Repeat one more time with 50 ml of
tracted with dichloromethane and spiked hexane.
with a surrogate recovery standard. A 10-ml 13. Remove concentrator tube with the re-
aliquot of the DCM layer is used for the covered 10 ml of sample volume. The heavier
gravimetric analysis. If significant bio- residual material should be present as a pre-
degradation is evident in the results of the cipitate (bottom layer).
gravimetric analysis, then a solvent ex- 14. Centrifuge to aid the separation of the
change into hexane takes place prior to the hexane from the precipitant fraction.
GC/MS analysis. Follow steps 1–19 below 15. Place hexane-soluble fraction (top
when preparing for the chemical analysis. layer)—approximately 1.0 ml—into a GC/MS
1. After 0, 7, and 28 days of rotary shaking vial for analysis (see GC/MS Analysis Proce-
and incubating at 20 °C, the reaction vessels dure below). If column fouling and deteriora-
are sacrificed. Prior to the chemical anal- tion of separation characteristics occur, an
237
alumina column sample cleanup method can asphaltenes and polar compounds and can be
be considered (see Alternative GC/MS Sam- applied to DCM extracts as well. This proce-
ple Cleanup Procedure below). dure is described in steps 1–11 below.
16. Analyze by GC/MS using the conditions 4.6.3.1 Alternative GC/MS sample cleanup
determined by the U.S. EPA Risk Reduction procedure:
Engineering Laboratory, Water and Haz- 1. Weigh 4.0 g alumina (neutral, 80–200
ardous Waste Treatment Research Division, mesh) into scintillation vials covered loosely
in Cincinnati, OH, which follows U.S. EPA with aluminum foil caps. Prepare one scin-
Method 8270 (see GC/MS Analysis Procedure tillation vial per sample. Heat for 18 hours at
below). 300 °C or longer. Place in a desiccator of sili-
17. Calculate surrogate recovery. If surro- ca until needed.
gate recovery is less than 85 percent for the 2. Add 5.0 ml of DCM to a glass luerlok
marker relative to the surrogate recovery multi-fit syringe (e.g., BD #2471) with stop-
standard (d10-phenanthrene), then the water cock (e.g., Perfectum #6021) in closed posi-
layer should be extracted again using three tion, stainless steel syringe needle (18
separate extractions with DCM. Pool the gauge), and PTFE frits. Clamp in a vertical
three extractions with original extract and position.
concentrate to 10 ml, and reanalyze by GC/ 3. Transfer 4.0 g of prepared alumina to a
MS. plastic weighing boat and fill syringe slowly
18. Drain the seawater into a storage sam- while applying continuous vibration (e.g.,
ple vial/container. Conair # HM 11FF1).
19. Seal the vial with a Teflon-lined cap 4. Add a second PTFE frit and push into
and store frozen. This water layer is kept in place on top of the alumina bed.
case additional extractions are necessary. 5. Drain 5.0 ml DCM to the top level of the
4.6.2 Gravimetric analysis. The initial means column frit to await sample addition and dis-
to evaluate the effectiveness of a bioremedi- card DCM.
ation agent for oil spill response is through 6. Weigh 50 mg ±0.1 mg ANS521 oil into a
gravimetric analysis. A statistically signifi- tared vial.
cant difference (p < 0.05) in analytical weight 7. Premeasure 10 ml of DCM into a grad-
of the oil from the control system as com- uated cylinder. Add 0.2 to 0.3 ml of the DCM
pared to the analytical weight of the oil to the tared oil vial. Mix and transfer sol-
treated with a bioremediation agent indi- vent to the column bed with a Pasteur pi-
cates biodegradation has successfully oc- pette. Open stopcock and collect in a 10-ml
curred. Hence, the disappearance of oil volumetric flask. Repeat until approxi-
should be accompanied by significant de- mately 1.0 ml (do not exceed 1.0 ml) of DCM
creases in total oil residue weight of extract- has rinsed the vial and inner walls of the sy-
able materials versus a control. If no signifi- ringe body into the 10-ml flask.
cant decrease in oil residue weight is ob- 8. Transfer balance of DCM from the grad-
served, the need to perform further chemical uated cylinder to the column and regulate
analysis should be evaluated. Follow steps 1– the solvent flow rate to approximately 1 to 2
3 to conduct the gravimetric analysis. ml/minute. Collect all eluent in the 10-ml
1. The 10 ml of DCM extract (from Sample flask.
Procedure step 8 above) is placed in a small 9. Transfer a known volume of eluent to
vial and concentrated to dryness by nitrogen another scintillation vial and blow down to
blowdown techniques using a steady stream dryness (nitrogen).
of nitrogen (pre-purified gas). If the oil is se- 10. Determine and record weight.
verely biodegraded, a larger volume of DCM 11. Dissolve in 1.0 ml hexane for the GC/MS
(>10 ml) may be necessary for the analysis procedure (see below).
gravimetric analysis. 4.6.3.2 GC/MS analysis procedure:
2. The residue is weighed 3 times for the Immediately prior to injection, an internal
gravimetric weight of oil. Record the weight standard solution of four deuterated com-
of the oil. pounds is spiked into the sample extracts
3. Compare statistically (p < 0.05) the and injected. Samples are quantified using
weight of the product treatment versus the the internal standard technique (10) for both
weight of the control from each respective the aliphatic and aromatic fractions of the
time period. If a significant decrease is ob- oil extracts in order to provide sufficient in-
served in the sampling (flask containing bio- formation that the oil is being degraded. To
remediation agent) weight, then proceed help ensure that the observed decline in tar-
with the remainder of the sample procedure. get analytes is caused by biodegradation
4.6.3 GC/MS analysis. Often, analysis of rather than by physical loss from mis-
saturated and aromatic hydrocarbons by handling or inefficient extraction, it is nec-
capillary gas chromatography of DCM ex- essary to normalize the concentrations of
tracts leads to column fouling and deteriora- the target analytes via a ‘‘conserved internal
tion of separation characteristics. An alter- marker.’’ Conserved internal markers that
native, simple ‘‘one-step’’ alumina sample have been found useful for quantification are
cleanup procedure can be performed on oil C2- or C3-phenanthrene, C2-chrysene, and

before injection; this cleanup removes both C3017a(H),21b(H)-hopane. Deuterated internal
238
standards are used to calculate the relative operator variability. Set the GC/MS in the
response factor (RRF) for the target SIM mode at a scan rate of 1.5 scans/second
analyte(s). To compute the ‘‘normalized con- to maximize the linear quantitative range
centrations,’’ the target analyte concentra- and precision of the instrument. Set all
tion at a given sampling time is simply di- other conditions to those specified in Instru-
vided by the selected conserved analyte con- ment Configuration and Calibration section
centration at the same sampling time (11). below.
Conduct the GC/MS analysis using the fol- 4. An instrument blank and a daily stand-
lowing procedure. ard are analyzed prior to analysis of un-
1. One (1) ml of the hexane extract (from knowns. Internal standards are combined
Sample Procedure step 15 above) is placed
with the sample extracts and coinjected with
into a 1.5-ml vial for use on the autosampler
each analysis to monitor the instrument’s
of the GC/MS instrument.
performance during each run.
2. To this solution, 20 μl of a 500-ng/μl solu-
tion of the internal standards is added and 5. Information that should be included on
the vial is capped for injection. The final the acquisition form include operator’s name
concentration of the internal standards in and signature, date of extraction, date and
each sample is 10 ng/μl. This solution con- time of autotune, date of injection(s), instru-
tains 4 deuterated compounds: d8-naph- ment blank, daily standard mix injection,
thalene, d10-anthracene, d12-chrysene, and GC column number, and standards for the 5-
d12-perylene. point calibration curve.
3. At the start of any analysis period, the 6. If the instrument is operated for a period
mass spectrometer (MS) is tuned to PFTBA of time greater than 12 hours, the tune will
by an autotune program, such as the Hew- be checked and another daily standard ana-
lett-Packard quicktune routine, to reduce lyzed prior to continuing with analyses.
TABLE 6—ANALYTES LISTED UNDER THE CORRESPONDING INTERNAL STANDARD USED FOR
CALCULATING RRFS
Internal Standard d8-naphthalene d10-anthracene d12-chrysene d12-perylene
Alkanes ........................................ nC10–nC15 ......... nC16–nC23 ... nC24-nC29 .... nC30-nC35.

Pristane ......... ........................ C3017b(H), 21a(H)-hopane.
Phytane ......... ........................
5a-androstane ........................
Aromatics ..................................... Naphthalene ........ Dibenzothioph- Fluoranthene Benzo(b)fluoranthene.
ene.
Fluorene ........ Pyrene ........... Benzo(k)fluoranthene.
Anthracene .... Chrysene ....... Benzo(e)pyrene.
Phenanthrene ........................ Benzo(a)pyrene.
Perylene.
Indeno(g,h,i)pyrene.
Dibenzo(a,h) anthracene.
Benzo(1,2,3-cd)perylene.
7. The MS is calibrated using a modified RRF=(Ax Cis)/(Ais Cx)(6)

version of EPA Method 8270 (10). Specifically, where:
the concentrations of internal standards are
10 ng/μl instead of 40 ng/μl. A five-point cali- RRF=relative response factor
bration curve is obtained for each compound Ax=peak area of the characteristic ion for
listed in table 6 prior to sample analysis at the compound being measured (analyte)
1, 5, 10, 25, and 50 ng/μl. A 5-point calibration Ais=peak area of the characteristic ion for
must be conducted on a standard mix of com- the specific internal standard
pounds to determine RRFs for the analytes. Cx=concentration of the compound being
The standard mix (excluding the marker) for measured (ng/μl)
this calibration curve may be obtained from Cis=concentration of the specific internal
Absolute Standards, Inc., 498 Russell St., standard (10 ng/μl). (This concentration is a
New Haven, CT, 06513, (800) 368–1131. If constant in this equation for the calibra-
C3017b(H),21a(H)-hopane is used, it may be ob- tion curve.)
tained from Dr. Charles Kennicutt II, Geo- 9. Identify each analyte based on the inte-
chemical and Environmental Research grated abundance from the primary char-
Group, Texas A&M University, 833 Graham acteristic ion indicated in table 7.
Rd., College Station, TX, 77845, (409) 690–0095. 10. Quantitate each analyte using the in-
8. Calculate each compound’s relative re- ternal standard technique. The internal
sponse factor to its corresponding deuterated standard used shall be the one nearest the
internal standard indicated above, using the retention time of that of a given analyte
following equation: (Table 8).
239
TABLE 7—PRIMARY IONS MONITORED FOR EACH TABLE 7—PRIMARY IONS MONITORED FOR EACH
TARGET ANALYTE DURING GC/MS ANALYSIS TARGET ANALYTE DURING GC/MS ANAL-
YSIS—Continued
Compound Ion
Compound Ion
n-alkanes (C10–C35) ......................................................... 85
Pristane ............................................................................ 85 C2-pyrenes ...................................................................... 230
Phytane ............................................................................ 85 Chrysene ......................................................................... 228
Naphthalene .................................................................... 128 C1-chrysenes ................................................................... 242
C1-naphthalenes ............................................................. 142 C2-chrysenes ................................................................... 256
C2-naphthalenes ............................................................. 156 Hopanes (177 family) ...................................................... 177
C3-naphthalenes ............................................................. 170 Hopanes (191 family) ...................................................... 191
C4-naphthalenes ............................................................. 184 Steranes (217 family) ...................................................... 217
Fluorene ........................................................................... 166 Benzo(b)fluoranthene ...................................................... 252
C1-fluorenes .................................................................... 180 Benzo(k)fluoranthene ...................................................... 252
C2-fluorenes .................................................................... 194 Benzo(e)pyrene ............................................................... 252
C3-fluorenes .................................................................... 208 Benzo(a)pyrene ............................................................... 252
Dibenzothiophenes .......................................................... 184 Perylene ........................................................................... 252
C1-dibenzothiophenes ..................................................... 198 Ideno(g,h,i)pyrene ............................................................ 276
C2-dibenzothiophenes ..................................................... 212 Dibenzo(a,h)anthracene .................................................. 278
C3-dibenzothiophenes ..................................................... 226 Benzo(1,2,3-cd)perylene ................................................. 276
Anthracene ...................................................................... 178 d8-naphthalene ................................................................ 136
Phenanthrene .................................................................. 178 d10-anthracene ................................................................. 188
C1-phenanthrenes ........................................................... 192 d10-phenanthrene ............................................................. 188
C2-phenanthrenes ........................................................... 206 d12-chrysene .................................................................... 240
C3-phenanthrenes ........................................................... 220 d12-perylene ..................................................................... 264
Fluoranthene/pyrene ........................................................ 202 a-androstane ................................................................... 260
C1-pyrenes ...................................................................... 216
TABLE 8—ANALYTES AND REFERENCE COMPOUNDS

Compound Reference compound Compound Reference compound
n-C10 ....................................... n-C10 ..................................... C2-naphthalene ...................... Naphthalene.

n-C13 ....................................... n-C13 ..................................... Fluorene ................................. Fluorene.
n-C14 ....................................... n-C14 ..................................... C1-fluorene ............................ Fluorene.
n-C17 ....................................... n-C17 ..................................... Dibenzothiophene .................. Dibenzothiophene.
Pristane .................................... Pristane .................................. C1-dibenzothiophene ............. Dibenzothiophene.
n-C18 ....................................... n-C18 ..................................... C2-dibenzothiophene ............. Dibenzothiophene.
Phytane .................................... Phytane .................................. C3-dibenzothiophene ............. Dibenzothiophene.
n-C19 ....................................... n-C19 ..................................... Phenanthrene ......................... Phenanthrene.
n-C20 ....................................... n-C20 ..................................... Anthracene ............................. Anthracene.
n-C21 ....................................... n-C21 ..................................... C1-phenanthrene ................... Phenanthrene.
n-C24 ....................................... n-C24 ..................................... Fluoranthene .......................... Fluoranthene.
n-C25 ....................................... n-C25 ..................................... Pyrene .................................... Pyrene.
n-C26 ....................................... n-C26 ..................................... C1-pyrene .............................. Pyrene.
n-C27 ....................................... n-C27 ..................................... C2-pyrene .............................. Pyrene.
n-C28 ....................................... n-C28 ..................................... Chrysene ................................ Chrysene.
n-C29 ....................................... n-C29 ..................................... C1-chrysene ........................... Chrysene.
n-C30 ....................................... n-C30 ..................................... C2-chrysene ........................... Chrysene.
n-C31 ....................................... n-C31 ..................................... Benzo(b)fluoranthene ............. Benzo(b)fluoranthene.
n-C32 ....................................... n-C32 ..................................... Benzo(k)fluoranthene ............. Benzo(k)fluoranthene.
n-C33 ....................................... n-C33 ..................................... Benzo(e)pyrene ...................... Benzo(e)pyrene.
n-C34 ....................................... n-C34 ..................................... Benzo(a)pyrene ...................... Benzo(a)pyrene.
n-C35 C3017a,21b-hopane ...... n-C35 C3017a,21b-hopane .... Perylene ideno(g,h,i)pyrene ... Perylene ideno(g,h,i)pyrene.
5a-androstane ......................... 5a-androstane ........................ Dibenzo(a,h)anthracene ......... Dibenzo(a,h)anthracene.
C1-naphthalene ....................... Naphthalene ........................... Benzo(1,2,3-cd)perylene ........ Benzo(1,2,3-cd)perylene.
11. Use equation 7 to calculate the con- Is=amount of internal standard injected, in
centration of analytes in ng/mg (ppm) oil: ng (i.e., 20 ng)
Concentration (ng/mg)=(Ax Is Vt× 1,000)/ Vt=volume of the total DCM extract (50 ml)
(Ais(RRF)Vi Mo)(7) Ais=peak area of the characteristic ion of the
internal standard
where:
RRF=relative response factor

Ax=peak area of characteristic ion for com- Vi=volume of the extract injected (2 μl)
pound being measured
240
Mo=total mass of the oil added to the flask, curve; RRF from the daily standard; percent
mg relative standard deviation; area of target
12. Compute the ‘‘normalized concentra- analyte; concentration determined both on a
tions’’ for each target analyte concentration weight and volume basis; and values for any
at a given sampling time (equation 7) by sim- surrogates and internal standards.
ply dividing by the conserved internal mark- 4.6.6 Instrument configuration and calibra-
er concentration at the same sampling time. tion. A 2-ml aliquot of the hexane extract
4.6.4 Generally accepted laboratory proce- prepared by the above procedure is injected
dures. Samples are immediately logged into into a GC/MS instrument, such as the Hew-
the laboratory, where they will be given a lett-Packard 5890/5971 GC/MS (recommended
unique sample identification based on Julian for use). This instrument should be equipped
data and the number logged in. Prior to the with a DB–5 capillary column (30 m, 0.25-mm
analysis of any experimental samples, a five- I.D., and 0.25-μm film thickness) and a split/
point standard curve is prepared. One of the splitless injection port operating in the
mid-range standard curve concentration lev- splitless mode. Table 9 summarizes the tem-
els is analyzed daily before sample analysis perature program used for the analysis. This
as a continuing standard. RRFs for all target temperature program has been optimized to
analytes should be within 25% of the stand- give the best separation and sensitivity for
ard curve response values at day 0, and at analysis of the desired compounds on the in-
any sampling event the check standard per- strument. Prior to the sample analysis, a
cent difference from the initial five-point five-point calibration must be conducted on
calibration must not exceed 20% between the a standard mix of the compounds listed in
before and after daily standard mix (see table 7 to determine RRFs for the analyses.
below). The collected GC/MS data are ini-
tially processed by a macro routine, which TABLE 9—OPERATING CONDITIONS AND
performs extracted chromatographic plots of TEMPERATURE PROGRAM OF GC/MS
the target compounds, integrates the target
compounds, and shows integration results to Operating conditions
include tabular numbers. The integration
Injector port—290 °C
values are then transferred to a spreadsheet Transfer line—320 °C
format to be quantified. Because of the com- Total run time—73 minutes
plexity of the analyte matrix (oil), a very Column flow rate (He)—1.0 ml/minute
high degree of manual verification and re-
integration of the spectral data is required. Temperature Program
4.6.5 QA/QC procedures. The reliability of Time 1, Rate, Time 2,
Temp. Temp
this method is dependent on the QA/QC pro- Level min- °C/ min-
1, °C 2, °C
cedures followed. Before and after each ana- utes minute utes
lytical batch (approximately 10 samples), Level 1 ....... 55 3 5 280 5
analyze one procedural blank, one duplicate, Level 2 ....... 280 0 3 310 10
and one calibration verification standard (10
ng/μl). Analyze one reference crude oil stand- 4.7 Statistical analysis. The determination
ard. The instrument’s performance and re- of a bioremediation agent’s effectiveness will
producibility are validated routinely in this be partially based upon the results of a sta-
manner. Surrogate recoveries should be tistical analysis of the shaker flask experi-
within 70 to 120%, and duplicate relative per- ment. The experimental design for this test
cent difference values should be ±20%. A con- is a two factorial design. This two-way anal-
trol chart of the standard oil should be pre- ysis of variance (ANOVA) will be used to de-
pared and monitored. Variations of analytes termine data trends. The statistical method
in the control chart should be no more than is designed to test various types of bio-
25% from the historical averages. Injection remediation treatments including microbial,
port discrimination for n-C25 and greater nutrient, enzyme, and combination products.
alkanes must be carefully monitored; the The following is a summary of the statistical
ratio of RRF n-C32/RRF n-C21 alkanes should methods to be used to evaluate the analyt-
not be allowed to fall below 80%. The mass ical data obtained from all product tests.
discrimination can be reduced by replacing The experimental design, data analysis
the quartz liner in the injection port after methodology, interpretation of results, re-
every analytical batch. The instrument’s quired documentation, and a numeric exam-
performance and reproducibility are vali- ple are outlined below.
dated routinely by analyzing the reference 4.7.1 Experimental design. The experi-
crude oil standard. All analyses are recorded mental design for this test is known as a fac-
in instrument logs detailing operating condi- torial experiment with two factors. The first
tions, date and time, file name, etc. After factor is product/control group; the second
analysis, the sample extracts are archived at factor is time (measured in days). For exam-
refrigeration temperatures. To document ple, if two groups (product A and a non-nu-
QA/QC, the following information is con- trient control) are tested at each of three
tained in the detailed quantitative reports: points in time (day 0, 7, and 28), the experi-
average RRF derived from the standard ment is called a 2×3 factorial experiment.
241
There will be three replications (replicated However, the format required for the input
shaker flasks) of each group-time combina- data differs among the various commercial
tion. packages. Whichever package is used, the
4.7.2 Data analysis methods. For each following ANOVA table will be provided as
analyte and each product used, a product is part of the output. In the Degree of Freedom
considered a success by the demonstration of column of table 10, p = the number of prod-
a statistically significant difference between uct/control groups, t = the number of days at
the mean analyte degradation by the product
which each group is analyzed, and n = the
and the mean analyte degradation by the
number of replications. For the example of
non-nutrient control. Such a determination
will be made by performing an ANOVA on the 2×3 factorial experiment discussed above,
the sample data. The technical aspects of p=2, t=3, and n=3. The significance of the F-
this procedure are outlined in Snedecor and statistics (as indicated by their cor-
Cochran (12). Most statistical software pack- responding p-values) are used to interpret
ages support the use of two-way ANOVA. the analysis.
TABLE 10—TWO-WAY ANOVA TABLE

Degree of free-
Source Sum of squares Mean square F-Statistic p-Value
dom (df)
Group .......................................... p-1 SSG MSG-MSG/MSE MSG/MSE 1
Time ............................................ t-1 SST MST-MST/MSE MST/MSE 1
Interaction .................................... (p–1)(t–1) SSI MSI-MSI/MSE MSI/MSE 1
Error ............................................ pt(n–1) SSE MSE-SSE

Total ....................... npt–1 SSTOT
1 To be determined from the value of the F-statistic.
4.7.3 Interpretation. 4.7.3.1 If the F-sta- 4.7.3.4 Finally, Snedecor and Cochran (12)
tistic for the interaction is significant at the use caution concerning the use of multiple
0.05 level (i.e., p-value is less than 0.05), the comparisons. If many such comparisons are
data indicate that the mean response of at being conducted, then about 5% of the tested
least two groups being tested differ for at differences will erroneously be concluded as
least one point in time. In order to find out significant. The researcher must guard
which groups and at which points in time the against such differences causing undue at-
difference occurs, pairwise comparisons be- tention.
tween the group means should be conducted 4.7.4 Required documentation. 4.7.4.1 The
for all time points. These comparisons can be following documents should be included to
made using protected least squared dif- summarize the findings from a product test.
ference (LSD) or Dunnett mean separation 1. Data listings for each analyte that was
techniques. The protected LSD procedure is analyzed. These should show all raw data.
detailed in Snedecor and Cochran (12); the 2. A table of summary statistics for each
Dunnett procedure is outlined in Mont- analyte. The table should include the mean,
gomery (13). For both methods, the mean standard deviation, and sample size for each
square error (MSE) from the two-way group at each day.
ANOVA table should be used to compute the 3. An ANOVA table for each analyte. The
separation values. table should be of the same format as table
4.7.3.2 If the F-statistic for the inter- 10.
action is not significant at the 0.05 level (i.e., 4. A clear summary of the mean separa-
p-value not less than 0.05), but the F-sta- tions (if mean separations were necessary).
tistic for the group is significant (i.e., p- The mean separation methods (LSD or
value is less than 0.05), the data indicate Dunnett), the significance level, the min-
that any differences that exist among the imum significant difference value, and the
group means are consistent across time. To significant differences should be clearly
find out which group means differ, a pairwise marked on each output page.
comparison of the group means should be 5. All computer outputs should be included.
carried out by pooling data across all points No programming alterations are necessary.
in time. Again, the MSE from the two-way The specific computer package used to ana-
ANOVA table should be used to compute the lyze the data should be included in the re-
separation values. port.
4.7.3.3 If the F-statistic corresponding to Example. An analysis of the total aromatic
both interaction and group are not signifi- data (in ppm) was conducted for the fol-
cant at the 0.05 level, the data indicate no lowing three groups:
difference between the group means at any Group 1: Non-nutrient Control
point in time. In this case, no further anal- Group 2: Nutrient Control

ysis is necessary. Group 3: Test Product
242
4.7.4.2 The raw data are shown in table 11. standard deviations) for each group-time
Note the three replications for each group- combination.
time combination.
TABLE 12—SUMMARY STATISTICS FOR PRODUCT
TABLE 11—PRODUCT TEST DATA, TOTAL TEST DATA TOTAL AROMATICS (PPM)
AROMATICS (PPM)
Stand-
Group Group Group ard
Time Product n Mean
1 2 3 devi-
ation
Day 0 ......................................... 8153 7912 7711 Day 0 .............................. Group 1 3 8,180.0 108.1
8299 8309 8311 Group 2 3 8,110.7 198.5
8088 8111 8200 Group 3 3 8,074.0 319.2
Day 7 ......................................... 8100 7950 6900 Day 7 .............................. Group 1 3 8,059.0 53.1
8078 8200 6702 Group 2 3 8,056.3 129.1
7999 8019 5987 Group 3 3 6,529.7 480.3
Day 28 ....................................... 8259 8102 4000 Day 28 ............................ Group 1 3 8,238.0 117.9
8111 7754 3875 Group 2 3 7,838.3 233.2
8344 7659 3100 Group 3 3 3,658.3 487.6
4.7.4.3 Table 12 gives the summary statis- 4.7.4.4 Table 13 shows the results of the
tics (number of observations, means, and two-way ANOVA.
TABLE 13—EXAMPLE TWO-WAY ANOVA TABLE

F-sta-
Source df Sum of squares Mean square p-value
tistic
Group ............................................................................................ 2 23,944,856.41 11,972,428.70 151.94 0.0001

Time .............................................................................................. 2 10,954,731.19 5,477,365.59 69.51 0.0001
Interaction ...................................................................................... 4 19,347,589.04 4,836,897.26 61.39 0.0001
Error .............................................................................................. 18 1,418,303.33 78,794.63 ............ ............
Total ......................................................................... 26 55,665,480.96 .......................... ............ ............
4.7.4.5 From table 13, it can be seen that and the non-nutrient control (group 1) for
the F-statistic for interaction is significant those days. No other significant differences
(F=61.39, p=0.0001). This indicates that group are shown. Therefore, in terms of total aro-
differences exist for one or more days. Pro- matic degradation, the test indicates the de-
tected LSD mean separations were then con- sired statistically significant difference be-
ducted for each day to determine which tween the mean of the product and the mean
group differences exist. The results are sum- of the non-nutrient control.
marized in table 14. Note that means with
the same letter (T grouping) are not signifi- 5.0 Bioremediation agent toxicity test
cantly different. [Reserved]
TABLE 14—PAIRWISE PROTECTED LSD MEAN 6.0 Summary technical product test data
SEPARATION format.
The purpose of this format is to summarize
T grouping Mean n Interaction
in a standard and convenient presentation
A ......................... 8,338.0 3 Group 1, Day 28. the technical product test data required by
A ......................... 8,180.0 3 Group 1, Day 0. the U.S. Environmental Protection Agency
A ......................... 8,110.7 3 Group 2, Day 0. before a product may be added to EPA’s NCP
A ......................... 8,074.0 3 Group 3, Day 0. Product Schedule, which may be used in car-
A ......................... 8,059.0 3 Group 1, Day 7. rying out the National Oil and Hazardous
A ......................... 8,056.3 3 Group 2, Day 7.
A ......................... 7,838.3 3 Group 2, Day 28.
Substances Pollution Contingency Plan.
B ......................... 6,529.7 3 Group 3, Day 7. This format, however, is not to preclude the
C ......................... 3,658.3 3 Group 3, Day 28. submission of all the laboratory data used to
develop the data summarized in this format.
Significant Level = 0.05.
Degrees of Freedom = 18. Sufficient data should be presented on both
Mean Square Error = 78794.63. the effectiveness and toxicity tests to enable
Critical Value = 2.10. EPA to evaluate the adequacy of the summa-
Least Significant Difference = 481.52.
rized data. A summary of the technical prod-
4.7.4.6 The grouping letters indicate that uct test data should be submitted in the fol-
the product mean values (group 3) at day 7 lowing format. The numbered headings
and day 28 are significantly different from should be used in all submissions. The sub-
those of both the nutrient control (group 2) headings indicate the kinds of information
243
to be supplied. The listed subheadings, how- lists the names of the analytes measured by
ever, are not exhaustive; additional relevant GC/MS (SIM), the surrogate standards, and
information should be reported where nec- various ratios and sums. In the next three
essary. As noted, some subheadings may columns, the concentration of the analytes
apply only to particular types of agents. (ng/mg oil), the concentration of the
I. Name, Brand, or Trademark analytes corrected for the recovery of the
II. Name, Address, and Telephone Number of surrogate standard (a-androstane for
Manufacturer alkanes, d10-phenanthrene for aromatics),
III. Name, Address, and Telephone Numbers and the concentration of corrected analytes
of Primary Distributors normalized against the conserved internal
IV. Special Handling and Worker Precautions marker, respectively, are reported for the
for Storage and Field Application first replicate from the first sampling event.
1. Flammability. These three columns are each repeated for
2. Ventilation. the next two replicates, giving 9 total col-
3. Skin and eye contact; protective cloth- umns for the product of interest. The next 9
ing; treatment in case of contact. columns are the same as the product col-
4. Maximum and minimum storage tem- umns except they are for the non-nutrient
peratures; optimum storage temperature control. The last nine columns are for the
range; temperatures of phase separations and nutrient control. Thus, a total of 28 columns
chemical changes. are needed in the spreadsheet. This spread-
V. Shelf Life sheet is for the first sampling event (day 0).
VI. Recommended Application Procedure Two more identical spreadsheets will be
1. Application method. needed for each of the next two sampling
2. Concentration, application rate (e.g., events (days 7 and 28). For the statistical
gallons of dispersant per ton of oil). analysis, a report showing the two-way anal-
3. Conditions for use: water salinity, water ysis of variance (ANOVA) table created by
temperature, types and ages of pollutants. the software used by the investigator must
VII. Toxicity (Dispersants, Surface Washing be shown in its entirety along with the name
Agents, Surface Collecting Agents, and Mis- of the software package used. Another print-
cellaneous Oil Spill Control Agents) out showing the mean separation table (pro-
tected LSD test results) generated by the
Materials Tested Species LC50 (ppm) software must be reported. The statistical
analyses are conducted using the sum of the
Product Menidia beryllina 96-hr.
Mysidopsis bahia 2 48-hr.
alkane concentrations and the sum of the
No. 2 fuel oil Menidia beryllina 96-hr. aromatics concentrations from the raw data
Mysidopsis bahia 48-hr. table. Thus, two ANOVAs are run for each
Product and No. 2 Menidia beryllina 96-hr. sampling event, one for total alkanes and
fuel oil (1:10) Mysidopsis bahia 48-hr. one for total aromatics, giving a total of 6
ANOVAs for a product test (2 ANOVAs × 3
VIII.(a). Effectiveness (bioremediation sampling events). Only if significant dif-
agents). Raw data must be reported according ferences are detected by a given ANOVA will
to the format shown below. The first column it be necessary to run a protected LSD test.
BIOREMEDIATION AGENT EFFECTIVENESS TEST RAW DATA
[Date: . Testing Date: 0, 7, 28 (Circle One). Initial Oil Weight: .]
Product Replicate 1
Product Replicate
Concentration Surrogate cor- Normalized to 2
ng/mg rected ng/mg marker ng/mg
Alkane Analyte .............................. .............................. .............................. ..............................

n-C10 .............................................. .............................. .............................. .............................. ..............................
n-C11 .............................................. .............................. .............................. .............................. ..............................
n-C12 .............................................. .............................. .............................. .............................. ..............................
n-C13 .............................................. .............................. .............................. .............................. ..............................
n-C14 .............................................. .............................. .............................. .............................. ..............................
n-C15 .............................................. .............................. .............................. .............................. ..............................
n-C16 .............................................. .............................. .............................. .............................. ..............................
n-C17 .............................................. .............................. .............................. .............................. ..............................
pristane ........................................... .............................. .............................. .............................. ..............................
n-C18 .............................................. .............................. .............................. .............................. ..............................
phytane ........................................... .............................. .............................. .............................. ..............................
n-C19 .............................................. .............................. .............................. .............................. ..............................
n-C20 .............................................. .............................. .............................. .............................. ..............................
n-C21 .............................................. .............................. .............................. .............................. ..............................
n-C22 .............................................. .............................. .............................. .............................. ..............................
n-C23 .............................................. .............................. .............................. .............................. ..............................

n-C24 .............................................. .............................. .............................. .............................. ..............................
n-C25 .............................................. .............................. .............................. .............................. ..............................
244
BIOREMEDIATION AGENT EFFECTIVENESS TEST RAW DATA—Continued

[Date: . Testing Date: 0, 7, 28 (Circle One). Initial Oil Weight: .]
Product Replicate 1
Product Replicate
Concentration Surrogate cor- Normalized to 2
ng/mg rected ng/mg marker ng/mg
n-C26 .............................................. .............................. .............................. .............................. ..............................

n-C27 .............................................. .............................. .............................. .............................. ..............................
n-C28 .............................................. .............................. .............................. .............................. ..............................
n-C29 .............................................. .............................. .............................. .............................. ..............................
n-C30 .............................................. .............................. .............................. .............................. ..............................
n-C31 .............................................. .............................. .............................. .............................. ..............................
n-C32 .............................................. .............................. .............................. .............................. ..............................
n-C33 .............................................. .............................. .............................. .............................. ..............................
n-C34 .............................................. .............................. .............................. .............................. ..............................
n-C35 .............................................. .............................. .............................. .............................. ..............................
n-C36 .............................................. .............................. .............................. .............................. ..............................
a-androstane ................................... .............................. .............................. .............................. ..............................
Total alkanes .................................. .............................. .............................. .............................. ..............................
n-C17:pristane ................................ .............................. .............................. .............................. ..............................
n-C18:phytane ................................ .............................. .............................. .............................. ..............................
Aromatic Analyte: .............................. .............................. .............................. ..............................
naphthalene .................................... .............................. .............................. .............................. ..............................
C1-naphthalenes ............................. .............................. .............................. .............................. ..............................
C2-naphthalenes ............................. .............................. .............................. .............................. ..............................
C3-naphthalenes ............................. .............................. .............................. .............................. ..............................
C4-naphthalenes ............................. .............................. .............................. .............................. ..............................
dibenzothiophene ............................ .............................. .............................. .............................. ..............................
fluorene ........................................... .............................. .............................. .............................. ..............................
C1-fluorenes ................................... .............................. .............................. .............................. ..............................
C2-fluorenes ................................... .............................. .............................. .............................. ..............................
C3-fluorenes ................................... .............................. .............................. .............................. ..............................
C1-dibenzothiophenes .................... .............................. .............................. .............................. ..............................
phenanthrene .................................. .............................. .............................. .............................. ..............................
anthracene ...................................... .............................. .............................. .............................. ..............................
C1-phenanthrenes .......................... .............................. .............................. .............................. ..............................
C2-phenanthrenes .......................... .............................. .............................. .............................. ..............................
C3-phenanthrenes .......................... .............................. .............................. .............................. ..............................
naphthobenzothio ........................... .............................. .............................. .............................. ..............................
C1-naphthobenzothio ...................... .............................. .............................. .............................. ..............................
fluoranthene .................................... .............................. .............................. .............................. ..............................
pyrene ............................................. .............................. .............................. .............................. ..............................
C1-pyrenes ..................................... .............................. .............................. .............................. ..............................
C1-pyrenes ..................................... .............................. .............................. .............................. ..............................
chrysene ......................................... .............................. .............................. .............................. ..............................
benzo(a)anthracene ........................ .............................. .............................. .............................. ..............................
C1-chrysenes .................................. .............................. .............................. .............................. ..............................
c2-chrysenes ................................... .............................. .............................. .............................. ..............................
benzo(b)fluoranth ............................ .............................. .............................. .............................. ..............................
benzo(k)fluoranth ............................ .............................. .............................. .............................. ..............................
benzo(e)pyrene ............................... .............................. .............................. .............................. ..............................
benzo(a)pyrene ............................... .............................. .............................. .............................. ..............................
perylene .......................................... .............................. .............................. .............................. ..............................
indeno(1,2,3-cd)per ......................... .............................. .............................. .............................. ..............................
benzo(g,h,i)pyrene .......................... .............................. .............................. .............................. ..............................
dibenz(ah)anthrac ........................... .............................. .............................. .............................. ..............................
a,b-hopane ...................................... .............................. .............................. .............................. ..............................
d8-naphthalene ............................... .............................. .............................. .............................. ..............................
d10-phenanthrene ........................... .............................. .............................. .............................. ..............................
d12-chrysene .................................. .............................. .............................. .............................. ..............................
d12-perylene ................................... .............................. .............................. .............................. ..............................
Total aromatics ........................ .............................. .............................. .............................. ..............................
Grav. weight oil ............................... .............................. .............................. .............................. ..............................
No. oil degraders/ml ....................... .............................. .............................. .............................. ..............................
VIII.(b). Toxicity (Bioremediation Agents) IX. Microbiological Analysis (Bioremediation

[Reserved] Agents)
245
Pt. 300, App. D 40 CFR Ch. I (7–1–08 Edition)
X. Physical Properties of Dispersant/Surface (5) D.P. Middaugh, M.J. Hemmer, and L.
Washing Agent/Surface Collecting Agent/Mis- Goodman. Methods for Spawning, Cultureing
cellaneous Oil Spill Control Agent: and Conducting Toxicity-tests with Early Life
1. Flash Point: ( °F) Stages of Four Antherinid Fishes: the Inland
2. Pour Point: ( °F) Silverside, Menidia beryllina, Atlantic
3. Viscosity: lll at lll °F (furol sec- Silverside, M. menidia, Tidewater Silverside, M.
onds) penisulae, and California Grunion, Lesthes
4. Specific Gravity: lll at lll °F tenuis. Office of Research and Development,
5. pH: (10% solution if hydrocarbon based) U.S. Environmental Protection Agency,
6. Surface Active Agents (Dispersants and Washington, DC. EPA 600/8–87/004, 1987.
Surface Washing Agents) 2 (6) U.S. EPA. Methods for Measuring the
7. Solvents (Dispersants and Surface Wash- Acute Toxicity of Effluents and Receiving Wa-
ing Agents) ters to Freshwater and Marine Organisms.
8. Additives (Dispersants and Surface Fourth edition. U.S. Environmental Protec-
Washing Agents) tion Agency, Washington, D.C EPA 600/4–90/
9. Solubility (Surface Collecting Agents) 027, 1991.
XI. Analysis for Heavy Metals, Chlorinated (7) G.S. Douglas, et al. ‘‘The Use of Hydro-
Hydrocarbons, and Cyanide (Dispersants, Sur- carbon Analyses for Environmental Assess-
face Washing Agents, Surface Collecting Agents, ment and Remediation.’’ In: P.T. Kostecki
and Miscellaneous Oil Spill Control Agents): and E.J. Calabrese (eds.), Contaminated Soils,
Compounds Concentration (ppm)
Diesel Fuel Contamination. Lewis Publishers,
Ann Arbor, MI, 1992.
Arsenic .................................... (8) Draft International Standard ISO/DIS
Cadmium ................................. 8708 ‘‘Crude Petroleum Oil—Determination
Chromium ............................... of Distillation Characteristics Using 15 Theo-
Copper ....................................
retical Plates Columns.’’ International Orga-
Lead ........................................
Mercury ................................... nization for Standardization.
Nickel ...................................... (9) Standard Methods for the Examination of
Zinc ......................................... Water and Wastewater, 17th Edition, Amer-
Cyanide ................................... ican Public Health Association, 1989.
Chlorinated Hydrocarbons ...... (10) U.S. EPA. Test Method for Evaluating
Solid Waste: SW–846. Third edition. U.S. Envi-
REFERENCES ronmental Protection Agency, Office of Solid
Waste and Emergency Response, Wash-
(1) L.T. McCarthy, Jr., I. Wilder, and J.S.
ington, D.C, 1986.
Dorrier. Standard Dispersant Effectiveness and
(11) M.C. Kennicutt II. ‘‘The Effect of Bio-
Toxicity Tests. EPA Report EPA-R2-73-201
(May 1973). remediation on Crude Oil Bulk and Molec-
(2) M.F. Fingas, K.A. Hughes, and M.A. ular Composition.’’ In: Oil Chemical Pollution,
Schwertzer. ‘‘Dispersant Testing at the Envi- 4:89–112, 1988.
ronmental Emergencies Technology Divi- (12) G.W. Snedecor and W.G. Cochran. Sta-
sion.’’ Proc. Tenth Arctic Marine Oilspill Pro- tistical Methods, 7th edition, The Iowa State
gram Technical Seminar. 9–11 June, 1987. Ed- University Press, Ames, Iowa, 1980.
monton, Alberta, Canada. Conservation and (13) D.C. Montgomery. Design and Analysis
Protection, Environment Canada. pp. 343–356. of Experiments. Third edition. John Wiley &
(3) J.R. Clayton, Jr., S-F-Tsang, V. Frank, Sons, New York, NY, 1991.
P. Marsden, and J. Harrington. Chemical Oil [59 FR 47458, Sept.15, 1994]
Spill Dispersants: Evaluation of Three Labora-
tory Procedures for Estimating Performance. APPENDIX D TO PART 300—APPROPRIATE
Final report prepared by Science Applica- ACTIONS AND METHODS OF REM-
tions International Corporation for U.S. En-
EDYING RELEASES
vironmental Protection Agency, 1992.
(4) J.R. Clayton, Jr. and J.R. Payne. Chem- (a) This appendix D to part 300 describes
ical Oil Spill Dispersants: Update State-of-the- types of remedial actions generally appro-
Art on Mechanisms of Actions and Factors In- priate for specific situations commonly
fluencing Performance With Emphasis on Lab- found at remedial sites and lists methods for
oratory Studies. Final report prepared by remedying releases that may be considered
Science Applications International Corpora- by the lead agency to accomplish a par-
tion for U.S. Environmental Protection ticular response action. This list shall not be
Agency, 1992. considered inclusive of all possible methods
of remedying releases and does not limit the
2 If the submitter claims that the informa- lead agency from selecting any other actions
tion presented under this subheading is con- deemed necessary in response to any situa-
fidential, this information should be sub- tion.
mitted on a separate sheet of paper clearly (b) In response to contaminated soil, sedi-
labeled according to the subheading and en- ment, or waste, the following types of re-
titled ‘‘Confidential Information.’’ sponse actions shall generally be considered:
246
Environmental Protection Agency Pt. 300, App. D
removal, treatment, or containment of the (iii) Ground-water pumping, including the
soil, sediment, or waste to reduce or elimi- following:
nate the potential for hazardous substances (A) Water table adjustment.
or pollutants or contaminants to contami- (B) Plume containment.
nate other media (ground water, surface (iv) Leachate control, including the fol-
water, or air) and to reduce or eliminate the lowing:
potential for such substances to be inhaled, (A) Subsurface drains.
absorbed, or ingested. (B) Drainage ditches.
(1) Techniques for removing contaminated (C) Liners.
soil, sediment, or waste include the fol- (2) Techniques suitable for the control of
lowing: contamination of water and sewer lines in-
(i) Excavation. clude the following:
(ii) Hydraulic dredging. (i) Grouting.
(iii) Mechanical dredging. (ii) Pipe relining and sleeving.
(2) Techniques for treating contaminated (iii) Sewer relocation.
soil, sediment, or waste include the fol- (d)(1) In response to contaminated surface
lowing: water, the following types of response ac-
(i) Biological methods, including the fol- tions shall generally be considered: Elimi-
lowing: nation or containment of the contamination
(A) Treatment via modified conventional to prevent further pollution, and/or treat-
wastewater treatment techniques. ment of the contaminated water to reduce or
(B) Anaerobic, aerated, and facultative la- eliminate its hazard potential.
goons. (2) Techniques that can be used to control
(C) Supported growth biological reactors. or remediate surface water include the fol-
(D) Microbial biodegradation. lowing:
(ii) Chemical methods, including the fol- (i) Surface seals.
lowing: (ii) Surface water diversions and collection
(A) Chlorination. systems, including the following:
(B) Precipitation, flocculation, sedimenta- (A) Dikes and berms.
tion. (B) Ditches, diversions, waterways.
(C) Neutralization. (C) Chutes and downpipes.
(D) Equalization. (D) Levees.
(E) Chemical oxidation. (E) Seepage basins and ditches.
(iii) Physical methods, including the fol- (F) Sedimentation basins and ditches.
lowing: (G) Terraces and benches.
(A) Air stripping. (iii) Grading.
(B) Carbon absorption. (iv) Revegetation.
(C) Ion exchange. (e) In response to air emissions, the fol-
(D) Reverse osmosis. lowing techniques will be considered:
(E) Permeable bed treatment. (1) Pipe vents.
(F) Wet air oxidation. (2) Trench vents.
(G) Solidification. (3) Gas barriers.
(H) Encapsulation. (4) Gas collection.
(I) Soil washing or flushing. (5) Overpacking.
(J) Incineration. (6) Treatment for gaseous emissions, in-
(c) In response to contaminated ground cluding the following:
water, the following types of response ac- (i) Vapor phase adsorption.
tions will generally be considered: Elimi- (ii) Thermal oxidation.
nation or containment of the contamination (f) Alternative water supplies can be pro-
to prevent further contamination, treatment vided in several ways, including the fol-
and/or removal of such ground water to re- lowing:
duce or eliminate the contamination, phys-
(i) Individual treatment units.
ical containment of such ground water to re-
(ii) Water distribution system.
duce or eliminate potential exposure to such
(iii) New wells in a new location or deeper
contamination, and/or restrictions on use of
wells.
the ground water to eliminate potential ex-
(iv) Cisterns.
posure to the contamination.
(v) Bottled or treated water.
(1) Techniques that can be used to contain
(vi) Upgraded treatment for existing dis-
or restore contaminated ground water in-
tribution systems.
clude the following:
(g) Temporary or permanent relocation of
(i) Impermeable barriers, including the fol-
residents, businesses, and community facili-
lowing:
ties may be provided where it is determined
(A) Slurry walls.
necessary to protect human health and the
(B) Grout curtains.
environment.
(C) Sheet pilings.
(ii) Permeable treatment beds. [55 FR 8865, Mar. 8, 1990]
247
Pt. 300, App. E 40 CFR Ch. I (7–1–08 Edition)
APPENDIX E TO PART 300—OIL SPILL 5.5.4 Dissemination of information.

RESPONSE 5.5.5 Responsibilities of trustees.
5.6 Oil Spill Liability Trust Fund.
Table of Contents 5.6.1 Funding.
5.6.2 Claims.
1.0 Introduction. 5.7 Documentation and cost recovery.
1.1 Background. 5.8 National response priorities.
1.2 Purpose/objective.
1.3 Scope. 6.0 Response coordination.
1.4 Abbreviations. 6.1 Nongovernmental participation.
1.5 Definitions. 6.2 Natural resource trustees.
6.2.1 Federal agencies.
2.0 National response system. 6.2.2 State.
2.1 Overview. 6.2.3 Indian tribes.
2.2 Priorities. 6.2.4 Foreign trustees.
2.3 Responsibility. 6.3 Federal agencies.
6.4 Other federal agencies.
3.0 Components of national response system 6.4.1 Department of Commerce.
and responsibilities. 6.4.2 Department of Justice.
3.1 National. 6.4.3 Department of Defense.
3.1.1 National Response Team. 6.4.4 Department of Health and Human
3.1.2 National Response Center. Services.
3.1.3 National Strike Force Coordination 6.4.5 Department of the Interior.
Center. 6.4.6 Department of Justice.
3.2 Regional. 6.4.7 Department of Labor.
3.3 Area. 6.4.8 Federal Emergency Management
3.3.1 On-scene coordinator. Agency.
3.3.2 Area Committees. 6.4.9 Department of Energy.
3.3.3 Special teams. 6.4.10 Department of State.
6.4.11 General Services Administration
4.0 Preparedness activities.
6.4.12 Department of Transportation.
4.1 Federal contingency plans. 6.5 States and local participation in re-
4.1.1 National contingency plan. sponse.
4.1.2 Regional contingency plans.
4.1.3 Area contingency plans. 1.0 Introduction.
4.1.4 Fish and Wildlife and Sensitive Envi-
ronments Plan annex. 1.1 Background. The Oil Pollution Act of
4.2 OPA facility and vessel response plans. 1990 (OPA) amends the Federal Water Pollu-
4.3 Relation to others plans. tion Control Act (FWPCA), commonly re-
4.3.1 Federal response plans. ferred to as the Clean Water Act (CWA), to
4.3.2 Tank vessel and facility response require the revision of the National Oil and
plans. Hazardous Substances Pollution Contin-
4.4 Pre-approval authority. gency Plan (NCP). In revising the NCP, the
4.5 Area response drills. need to separate the response requirements
for oil discharges and release of hazardous
5.0 Response operations. substances, pollutants, and contaminants be-
5.1 Phase I—Discovery or notification. came evident.
5.2 Phase II—Preliminary assessment and 1.2 Purpose/objective. This document com-
initiation of action. piles general oil discharge response require-
5.3 Patterns of response. ments into one appendix to aid participants
5.3.1 Determinations to initiate response and responders under the national response
and special conditions. system (NRS). This appendix provides the or-
5.3.2 General pattern of response. ganizational structure and procedures to pre-
5.3.3 Containment, countermeasures, and pare for and respond to oil discharges. Noth-
cleanup. ing in this appendix alters the meaning or
5.3.4 Response to a substantial threat to policy stated in other sections or subparts of
the public health or welfare. the NCP.
5.3.5 Enhanced activities during a spill of
1.3 Scope.
national significance.
5.3.6 Response to a worst case discharge. (a) This appendix applies to discharges of
5.3.7 Multi-regional responses. oil into or upon the navigable waters of the
5.3.8 Worker health and safety. United States and adjoining shorelines, the
5.4 Disposal. waters of the contiguous zone, or waters of
5.5 Natural resource trustees. the exclusive economic zone, or which may
5.5.1 Damage assessment. affect the natural resources belonging to, ap-
5.5.2 Lead administrative trustee. pertaining to, or under the exclusive man-
5.5.3 On-scene coordinator coordination. agement authority of the United States.
248
Environmental Protection Agency Pt. 300, App. E
(b) This appendix is designed to facilitate USDA—United States Department of Agri-
efficient, coordinated, and effective response culture
to discharges of oil in accordance with the NOTE: Reference is made in the NCP to
authorities of the CWA. It addresses: both the Nuclear Regulatory Commission
(1) The national response organization that and the National Response Center. In order
may be activated in response actions, the re- to avoid confusion, the NCP will spell out
sponsibilities among the federal, state, and Nuclear Regulatory Commission and use the
local governments, and the resources that abbreviation ‘‘NRC’’ only with respect to the
are available for response. National Response Center.
(2) The establishment of regional and area (b) Operational Abbreviations:
contingency plans. AC—Area Committee
(3) Procedures for undertaking removal ac- ACP—Area Contingency Plan
tions pursuant to section 311 of the CWA. DRAT—District Response Advisory Team
(4) Listing of federal trustees for natural DRG—District Response Group
resources for purposes of the CWA. ERT—Environmental Response Team
(5) Procedures for the participation of ESF—Emergency Support Functions
other persons in response actions. FCO—Federal Coordinating Officer
(6) Procedures for compiling and making FRERP—Federal Radiological Emergency
available cost documentation for response Response Plan
actions. FRP—Federal Response Plan
(7) National procedures for the use of LEPC—Local Emergency Planning Com-
dispersants and other chemicals in removals mittee
under the CWA. NCP—National Contingency Plan
(c) In implementing the NCP provisions NPFC—National Pollution Funds Center
compiled in this appendix, consideration NRC—National Response Center
shall be given to international assistance NRS—National Response System
plans and agreements, security regulations NRT—National Response Team
and responsibilities based on international NSF—National Strike Force
agreements, federal statutes, and executive NSFCC—National Strike Force Coordination
orders. Actions taken pursuant to the provi- Center
sions of any applicable international joint OSC—On-Scene Coordinator
contingency plans shall be consistent with OSLTF—Oil Spill Liability Trust Fund
the NCP to the greatest extent possible. The POLREP—Pollution Report
Department of State shall be consulted, as PIAT—Public Information Assist Team
appropriate, prior to taking action that may RCP—Regional Contingency Plan
affect its activities. RERT—Radiological Emergency Response
1.4 Abbreviations. This section of the ap- Team
pendix provides abbreviations relating to oil. RRT—Regional Response Team
(a) Department and Agency Title Abbrevia- SERC—State Emergency Response Commis-
tions: sion
ATSDR—Agency for Toxic Substances and SONS—Spill of National Significance
Disease Registry SSC—Scientific Support Coordinator
CDC—Centers for Disease Control SUPSALV—United States Navy Supervisor
DOC—Department of Commerce of Salvage
DOD—Department of Defense USFWS—United States Fish and Wildlife
DOE—Department of Energy Service
DOI—Department of Interior 1.5 Definitions. Terms not defined in this
DOJ—Department of Justice section have the meaning given by CERCLA,
DOL—Department of Labor the OPA, or the CWA. This appendix restates
DOS—Department of State the NCP definitions relating to oil.
DOT—Department of Transportation Activation means notification by telephone
EPA—Environmental Protection Agency or other expeditious manner or, when re-
FEMA—Federal Emergency Management quired, the assembly of some or all appro-
Agency priate members of the RRT or NRT.
GSA—General Services Administration Area Committee (AC) as provided for by
HHS—Department of Health and Human CWA sections 311(a)(18) and (j)(4), means the
Services entity appointed by the President consisting
NIOSH—National Institute for Occupational of members from qualified personnel of fed-
Safety and Health eral, state, and local agencies with respon-
NOAA—National Oceanic and Atmospheric sibilities that include preparing an area con-
Administration tingency plan for an area designated by the
OSHA—Occupational Safety and Health Ad- President.
ministration Area contingency plan (ACP) as defined by
RSPA—Research and Special Programs Ad- CWA sections 311(a)(19) and (j)(4) means the
ministration plan prepared by an Area Committee that is

USCG—United States Coast Guard developed to be implemented in conjunction
249
with the NCP and RCP, in part to address re- and (j)(3), means the entity established by
moval of a worst case discharge and to miti- the Secretary of the department in which
gate or prevent a substantial threat of such the USCG is operating within each USCG
a discharge from a vessel, offshore facility, district and shall consist of: the combined
or onshore facility operating in or near an USCG personnel and equipment, including
area designated by the President. firefighting equipment, of each port within
Bioremediation agents means micro- the district; additional prepositioned re-
biological cultures, enzyme additives, or nu- sponse equipment; and a district response ad-
trient additives that are deliberately intro- visory team.
duced into an oil discharge and that will sig- Contiguous zone means the zone of the high
nificantly increase the rate of biodegrada- seas, established by the United States under
tion to mitigate the effects of the discharge. Article 24 of the Convention on the Terri-
Burning agents means those additives that, torial Sea and Contiguous Zone, which is
through physical or chemical means, im- contiguous to the territorial sea and which
prove the combustibility of the materials to extends nine miles seaward from the outer
which they are applied. limit of the territorial sea.
CERCLA is the Comprehensive Environ- Damages as defined by section 1001 of the
mental Response, Compensation, and Liabil- OPA means damages specified in section
ity Act of 1980, as amended by the Superfund 1002(b) of the Act, and includes the cost of
Amendments and Reauthorization Act of assessing these damages.
1986.
Discharge as defined by section 311(a)(2) of
Chemical agents means those elements,
the CWA, includes, but is not limited to, any
compounds, or mixtures that coagulate, dis-
spilling, leaking, pumping, pouring, emit-
perse, dissolve, emulsify, foam, neutralize,
ting, emptying, or dumping of oil, but ex-
precipitate, reduce, solubilize, oxidize, con-
cludes discharges in compliance with a per-
centrate, congeal, entrap, fix, make the pol-
mit under section 402 of the CWA, discharges
lutant mass more rigid or viscous, or other-
wise facilitate the mitigation of deleterious resulting from circumstances identified and
effects or the removal of the oil pollutant reviewed and made a part of the public
from the water. Chemical agents include bio- record with respect to a permit issued or
logical additives, dispersants, sinking modified under section 402 of the CWA, and
agents, miscellaneous oil spill control subject to a condition in such permit, or con-
agents, and burning agents, but do not in- tinuous or anticipated intermittent dis-
clude solvents. charges from a point source, identified in a
Claim in the case of a discharge under CWA permit or permit application under section
means a request, made in writing for a sum 402 of the CWA, that are caused by events oc-
certain, for compensation for damages or re- curring within the scope of relevant oper-
moval costs resulting from an incident. ating or treatment systems. For purposes of
Claimant as defined by section 1001 of the the NCP, discharge also means substantial
OPA means any person or government who threat of discharge.
presents a claim for compensation under Dispersants means those chemical agents
Title I of the OPA. that emulsify, disperse, or solubilize oil into
Clean natural seawater means that the the water column or promote the surface
source of this seawater must not be heavily spreading of oil slicks to facilitate dispersal
contaminated with industrial or other types of the oil into the water column.
of effluent. Exclusive economic zone as defined in OPA
Coastal waters for the purpose of classifying section 1001, means the zone established by
the size of discharges, means the waters of Presidential Proclamation Numbered 5030,
the coastal zone except for the Great Lakes dated March 10, 1983, including the ocean wa-
and specified ports and harbors on inland riv- ters of the areas referred to as ‘‘eastern spe-
ers. cial areas’’ in Article 3(1) of the Agreement
Coastal zone as defined for the purpose of between the United States of America and
the NCP, means all United States waters the Union of Soviet Socialist Republics on
subject to the tide, United States waters of the Maritime Boundary, signed June 1, 1990.
the Great Lakes, specified ports and harbors Facility as defined by section 1001 of the
on inland rivers, waters of the contiguous OPA means any structure, group of struc-
zone, other waters of the high seas subject to tures, equipment, or device (other than a
the NCP, and the land surface or land sub- vessel) which is used for one or more of the
strata, ground waters, and ambient air proxi- following purposes: exploring for, drilling
mal to those waters. The term coastal zone for, producing, storing, handling, transfer-
delineates an area of federal responsibility ring, processing, or transporting oil. This
for response action. Precise boundaries are term includes any motor vehicle, rolling
determined by EPA/USCG agreements and stock, or pipeline used for one or more of
identified in federal regional contingency these purposes.
plans. Federal Response Plan (FRP) means the
Coast Guard District Response Group (DRG) agreement signed by 25 federal departments
as provided for by CWA sections 311(a)(20) and agencies in April 1987 and developed
250
under the authorities of the Earthquake Haz- moval actions and for federal trustees to ini-
ards Reduction Act of 1977 and the Disaster tiate the assessment of natural resource
Relief Act of 1974, as amended by the Staf- damages; providing appropriate access to the
ford Disaster Relief Act of 1988. OSLTF for claims; and coordinating cost re-
First federal official means the first federal covery efforts.
representative of a participating agency of National Response System (NRS) is the
the National Response Team to arrive at the mechanism for coordinating response actions
scene of a discharge or a release. This offi- by all levels of government in support of the
cial coordinates activities under the NCP OSC. The NRS is composed of the NRT,
and may initiate, in consultation with the RRTs, OSC, Area Committees, and Special
OSC, any necessary actions until the arrival Teams and related support entities.
of the predesignated OSC. National Strike Force (NSF) is a special
Indian tribe as defined in OPA section 1001, team established by the USCG, including the
means any Indian tribe, band, nation, or three USCG Strike Teams, the Public Infor-
other organized group or community, but mation Assist Team (PIAT), and the Na-
not including any Alaska Native regional or tional Strike Force Coordination Center.
village corporation, which is recognized as The NSF is available to assist OSCs in their
eligible for the special programs and services preparedness and response duties.
provided by the United States to Indians be- National Strike Force Coordination Center
cause of their status as Indians and has gov- (NSFCC), authorized as the National Re-
ernmental authority over lands belonging to sponse Unit by CWA section 311(a)(23) and
or controlled by the Tribe. (j)(2), means the entity established by the
Inland waters for the purposes of Secretary of the department in which the
classifying the size of discharges, means
USCG is operating at Elizabeth City, North
those waters of the United States in the in-
Carolina, with responsibilities that include
land zone, waters of the Great Lakes, and
administration of the USCG Strike Teams,
specified ports and harbors on inland rivers.
maintenance of response equipment inven-
Inland zone means the environment inland
tories and logistic networks, and conducting
of the coastal zone excluding the Great
a national exercise program.
Lakes, and specified ports and harbors on in-
land rivers. The term inland zone delineates Natural resources means land, fish, wildlife,
an area of federal responsibility for response biota, air, water, groundwater, drinking
action. Precise boundaries are determined by water supplies, and other such resources be-
EPA/USCG agreements and identified in fed- longing to, managed by, held in trust by, ap-
eral regional contingency plans. pertaining to, or otherwise controlled by the
Lead administrative trustee means a natural United States (including the resources of the
resource trustee who is designated on an in- exclusive economic zone defined by the Mag-
cident-by-incident basis for the purpose of nuson Fishery Conservation and Manage-
preassessment and damage assessment and ment Act of 1976), any state or local govern-
chosen by the other trustees whose natural ment, any foreign government, any Indian
resources are affected by the incident. The tribe, or, if such resources are subject to a
lead administrative trustee facilitates effec- trust restriction on alienation, any member
tive and efficient communication during re- of an Indian tribe.
sponse operations between the OSC and the Navigable waters as defined by 40 CFR 110.1
other natural resource trustees conducting means the waters of the United States, in-
activities associated with damage assess- cluding the territorial seas. The term in-
ment and is responsible for applying to the cludes:
OSC for access to response operations re- (a) All waters that are currently used, were
sources on behalf of all trustees for initi- used in the past, or may be susceptible to use
ation of damage assessment. in interstate or foreign commerce, including
Lead agency means the agency that pro- all waters that are subject to the ebb and
vides the OSC to plan and implement re- flow of the tide;
sponse actions under the NCP. (b) Interstate waters, including interstate
Miscellaneous oil spill control agent is any wetlands;
product, other than a dispersant, sinking (c) All other waters such as intrastate
agent, surface washing agent, surface col- lakes, rivers, streams (including intermit-
lecting agent, bioremediation agent, burning tent streams), mudflats, sandflats, and wet-
agent, or sorbent that can be used to en- lands, the use, degradation, or destruction of
hance oil spill cleanup, removal, treatment, which would affect or could affect interstate
or mitigation. or foreign commerce including any such wa-
National Pollution Funds Center (NPFC) ters:
means the entity established by the Sec- (1) That are or could be used by interstate
retary of Transportation whose function is or foreign travelers for recreational or other
the administration of the Oil Spill Liability purposes;
Trust Fund (OSLTF). Among the NPFC’s du- (2) From which fish or shellfish are or
ties are: providing appropriate access to the could be taken and sold in interstate or for-
OSLTF for federal agencies and states for re- eign commerce; and
251
(3) That are used or could be used for in- Person as defined by section 1001 of the
dustrial purposes by industries in interstate OPA, means an individual, corporation, part-
commerce. nership, association, state, municipality,
(d) All impoundments of waters otherwise commission, or political subdivision of a
defined as navigable waters under this sec- state, or any interstate body.
tion; Public vessel as defined by section 311(a)(4)
(e) Tributaries of waters identified in para- of the CWA, means a vessel owned or
graphs (a) through (d) of this definition, in- bareboat-chartered and operated by the
cluding adjacent wetlands; and United States, or by a state or political sub-
(f) Wetlands adjacent to waters identified division thereof, or by a foreign nation, ex-
in paragraphs (a) through (e) of this defini- cept when such vessel is engaged in com-
tion: Provided, that waste treatment sys- merce.
tems (other than cooling ponds meeting the Remove or removal as defined by section
criteria of this paragraph) are not waters of 311(a)(8) of the CWA, refers to containment
the United States. and removal of oil or hazardous substances
(g) Waters of the United States do not in- from the water and shorelines or the taking
clude prior converted cropland. Notwith- of such other actions as may be necessary to
standing the determination of an area’s sta- minimize or mitigate damage to the public
tus as prior converted cropland by any other health or welfare (including, but not limited
federal agency, for the purposes of the Clean to, fish, shellfish, wildlife, public and private
Water Act, the final authority regarding property, and shorelines and beaches) or to
Clean Water Act jurisdiction remains with the environment. For the purpose of the
EPA. NCP, the term also includes monitoring of
Offshore facility as defined by section action to remove a discharge.
311(a)(11) of the CWA means any facility of Removal costs as defined by section 1001 of
any kind located in, on, or under any of the the OPA means the costs of removal that are
navigable waters of the United States, and incurred after a discharge of oil has oc-
any facility of any kind which is subject to curred, or in any case in which there is a
the jurisdiction of the United States and is substantial threat of a discharge of oil the
located in, on, or under any other waters, costs to prevent, minimize, or mitigate oil
other than a vessel or a public vessel. pollution from such an incident.
Oil as defined by section 311(a)(1) of the Responsible party as defined by section 1001
CWA means oil of any kind or in any form, of the OPA means the following:
including, but not limited to, petroleum, fuel (a) Vessels—In the case of a vessel, any
oil, sludge, oil refuse, and oil mixed with person owning, operating, or demise char-
wastes other than dredged spoil. Oil, as de- tering the vessel.
fined by section 1001 of the OPA means oil of (b) Onshore Facilities—In the case of an
any kind or in any form, including, but not onshore facility (other than a pipeline), any
limited to, petroleum, fuel oil, sludge, oil person owning or operating the facility, ex-
refuse, and oil mixed with wastes other than cept a federal agency, state, municipality,
dredged spoil, but does not include petro- commission, or political subdivision of a
leum, including crude oil or any fraction state, or any interstate body, that as the
thereof, which is specifically listed or des- owner transfers possession and right to use
ignated as a hazardous substance under sub- the property to another person by lease, as-
paragraphs (A) through (F) of section 101(14) signment, or permit.
of the Comprehensive Environmental Re- (c) Offshore Facilities—In the case of an
sponse, Compensation, and Liability Act (42 offshore facility (other than a pipeline or a
U.S.C. 9601) and which is subject to the pro- deepwater port licensed under the Deepwater
visions of that Act. Port Act of 1974 (33 U.S.C. 1501 et seq.)), the
Oil Spill Liability Trust Fund means the lessee or permittee of the area in which the
fund established under section 9509 of the In- facility is located or the holder of a right of
ternal Revenue Code of 1986 (26 U.S.C. 9509). use and easement granted under applicable
On-scene coordinator (OSC) means the fed- state law or the Outer Continental Shelf
eral official predesignated by the EPA or the Lands Act (43 U.S.C. 1301–1356) for the area in
USCG to coordinate and direct response which the facility is located (if the holder is
under subpart D. a different person than the lessee or per-
Onshore facility as defined by section mittee), except a federal agency, state, mu-
311(a)(10) of the CWA, means any facility (in- nicipality, commission, or political subdivi-
cluding, but not limited to, motor vehicles sion of a state, or any interstate body, that
and rolling stock) of any kind located in, on, as owner transfers possession and right to
or under any land within the United States use the property to another person by lease,
other than submerged land. assignment, or permit.
On-site means the areal extent of contami- (d) Deepwater Ports—In the case of a deep-
nation and all suitable areas in very close water port licensed under the Deepwater
proximity to the contamination necessary Port Act of 1974 (33 U.S.C. 1501–1524), the li-
for implementation of a response action. censee.
252
(e) Pipelines—In the case of a pipeline, any predesignated on-scene coordinator. Precise
person owning or operating the pipeline. locations are determined by EPA/USCG re-
(f) Abandonment—In the case of an aban- gional agreements and identified in federal
doned vessel, onshore facility, deepwater regional contingency plans and area contin-
port, pipeline, or offshore facility, the person gency plans.
who would have been responsible parties im- Spill of national significance (SONS) means
mediately prior to the abandonment of the a spill which due to its severity, size, loca-
vessel or facility. tion, actual or potential impact on the pub-
Sinking agents means those additives ap- lic health and welfare or the environment, or
plied to oil discharges to sink floating pol- the necessary response effort, is so complex
lutants below the water surface. that it requires extraordinary coordination
Size classes of discharges refers to the fol- of federal, state, local, and responsible party
lowing size classes of oil discharges which resources to contain and cleanup the dis-
are provided as guidance to the OSC and charge.
serve as the criteria for the actions delin- State means the several states of the
eated in subpart D. They are not meant to United States, the District of Columbia, the
imply associated degrees of hazard to public Commonwealth of Puerto Rico, Guam, Amer-
health or welfare, nor are they a measure of ican Samoa, the U.S. Virgin Islands, the
environmental injury. Any oil discharge that Commonwealth of the Northern Marianas,
poses a substantial threat to public health or and any other territory or possession over
welfare or the environment or results in sig- which the United States has jurisdiction.
nificant public concern shall be classified as For purposes of the NCP, the term includes
a major discharge regardless of the following Indian tribes as defined in the NCP except
quantitative measures: where specifically noted.
(a) Minor discharge means a discharge in Surface collecting agents means those chem-
inland waters of less than 1,000 gallons of oil ical agents that form a surface film to con-
or a discharge to the coastal waters of less trol the layer thickness of oil.
than 10,000 gallons of oil. Surface washing agent is any product that
(b) Medium discharge means a discharge of removes oil from solid surfaces, such as
1,000 to 10,000 gallons of oil to the inland wa- beaches and rocks, through a detergency
ters or a discharge of 10,000 to 100,000 gallons mechanism and does not involve dispersing
of oil to the coastal waters. or solubilizing the oil into the water column.
(c) Major discharge means a discharge of
Tank vessel as defined by section 1001 of
more than 10,000 gallons of oil to the inland
OPA means a vessel that is constructed or
waters or more than 100,000 gallons of oil to
adapted to carry, or that carries, oil or haz-
the coastal waters.
ardous material in bulk as cargo or cargo
Sorbents means essentially inert and insol-
residue, and that: (1) is a vessel of the United
uble materials that are used to remove oil
States; (2) operates on the navigable waters;
and hazardous substances from water
or (3) transfers oil or hazardous material in
through adsorption, in which the oil or haz-
a place subject to the jurisdiction of the
ardous substance is attracted to the sorbent
United States.
surface and then adheres to it, absorption, in
Threat of discharge, see definition for dis-
which the oil or hazardous substance pene-
charge.
trates the pores of the sorbent material, or a
Trustee means an official of a federal nat-
combination of the two. Sorbents are gen-
ural resources management agency des-
erally manufactured in particulate form for
ignated in subpart G of the NCP or a des-
spreading over an oil slick or as sheets, rolls,
ignated state official or Indian tribe or, in
pillows, or booms. The sorbent material may
the case of discharges covered by the OPA, a
consist of, but is not limited to, the fol-
foreign government official, who may pursue
lowing materials:
(a) Organic products— claims for damages under section 1006 of the
(1) Peat moss or straw; OPA.
(2) Cellulose fibers or cork; United States when used in relation to sec-
(3) Corn cobs; tion 311(a)(5) of the CWA, mean the states,
(4) Chicken or duck feathers. the District of Columbia, the Commonwealth
(b) Mineral compounds— of Puerto Rico, the Northern Mariana Is-
(1) Volcanic ash or perlite; lands, Guam, American Samoa, the U.S. Vir-
(2) Vermiculite or zeolite. gin Islands, and the Pacific Island Govern-
(c) Synthetic products— ments.
(1) Polypropylene; Vessel as defined by section 311(a)(3) of the
(2) Polyethylene; CWA means every description of watercraft
(3) Polyurethane; or other artificial contrivance used, or capa-
(4) Polyester. ble of being used, as a means of transpor-
Specified ports and harbors means those tation on water other than a public vessel.
ports and harbor areas on inland rivers, and Volunteer means any individual accepted to
land areas immediately adjacent to those perform services by the lead agency which
waters, where the USCG acts as has authority to accept volunteer services
253
(for examples, see 16 U.S.C. 742f(c)). A volun- 2.3 Responsibility. (a) The predesignated
teer is subject to the provisions of the au- OSC has the responsibility to direct response
thorizing statute and the NCP. actions and coordinate all other response ef-
Worst case discharge as defined by section forts at the scene of an oil discharge or
311(a)(24) of the CWA means, in the case of a threatened discharge. The OSC monitors or
vessel, a discharge in adverse weather condi- directs all federal, state, local, and private
tions of its entire cargo, and in the case of removal actions, or arranges for the removal
an offshore facility or onshore facility, the of an actual or threatened oil discharge, re-
largest foreseeable discharge in adverse moving and if necessary, requesting author-
weather conditions. ity to destroy a vessel. Additionally, the
CWA requires the OSC to direct all federal,
2.0 National response system. state, local, and private removal actions to
2.1 Overview. The national response sys- any incident that poses a substantial threat
tem (NRS) is the mechanism for coordi- to the public health or welfare.
nating response actions by all levels of gov- (b) Cleanup responsibility for an oil dis-
ernment in support of the OSC. The NRS is charge immediately falls on the responsible
composed of the National Response Team party, unless the discharge poses a substan-
(NRT), Regional Response Teams (RRTs), tial threat to public health or welfare. In a
On-scene coordinator (OSC), Area Commit- large percentage of oil discharges, the re-
tees, and Special Teams and related support sponsible party shall conduct the cleanup. If
entities. The NRS functions as an incident the responsible party does conduct the re-
command system (ICS) under the direction moval, the OSC shall ensure adequate sur-
of the OSC. Typical of an ICS, the NRS is ca- veillance over whatever actions are initi-
pable of expanding or contracting to accom- ated.
modate the response effort required by the (1) If effective actions are not being taken
size or complexity of the discharge. to eliminate the threat, or if removal is not
2.2 Priorities. (a) Safety of human life being properly done, the OSC should, to the
must be given the highest priority during extent practicable under the circumstances,
every response action. This includes any so advise the responsible party. If the re-
search and rescue efforts in the general prox- sponsible party does not respond properly,
imity of the discharge and the insurance of the OSC shall take appropriate response ac-
safety of response personnel. tions and should notify the responsible party
(b) Stabilizing the situation to preclude of the potential liability for federal response
the event from worsening is the next pri- costs incurred by the OSC pursuant to the
ority. All efforts must be focused on saving OPA and CWA. Where practicable, con-
a vessel that has been involved in a ground- tinuing efforts should be made to encourage
ing, collision, fire or explosion, so that it response by responsible parties.
does not compound the problem. Comparable (2) If the Administrator of EPA or the Sec-
measures should be taken to stabilize a situ- retary of the department in which the USCG
ation involving a facility, pipeline, or other is operating determines that there may be an
source of pollution. Stabilizing the situation imminent and substantial threat to the pub-
includes securing the source of the spill and/ lic health or welfare or the environment of
or removing the remaining oil from the con- the United States (including fish, shellfish,
tainer (vessel, tank, or pipeline) to prevent and wildlife, public and private property,
additional oil spillage, to reduce the need for shorelines, beaches, habitats, and other liv-
follow-up response action, and to minimize ing and nonliving natural resources under
adverse impact to the environment. the jurisdiction or control of the United
(c) The response must use all necessary States, because of an actual or threatened
containment and removal tactics in a coordi- discharge of oil from any vessel or offshore
nated manner to ensure a timely, effective or onshore facility into or upon the navi-
response that minimizes adverse impact to gable waters of the United States), the Ad-
the environment. ministrator or Secretary may request the
(d) All parts of this national response U.S. Attorney General to secure the relief
strategy should be addressed concurrently, from any person, including the owner or op-
but safety and stabilization are the highest erator of the vessel or facility necessary to
priorities. The OSC should not delay con- abate a threat or, after notice to the affected
tainment and removal decisions unneces- state, take any other action authorized by
sarily and should take actions to minimize section 311 of the CWA including administra-
adverse impact to the environment that be- tive orders, that may be necessary to protect
gins as soon as a discharge occurs, as well as the public health or welfare.
actions to minimize further adverse environ- (3) The responsible party is liable for costs
mental impact from additional discharges. of federal removal and damages in accord-
(e) The priorities set forth in this section ance with section 311(f) of the CWA, section
are broad in nature, and should not be inter- 1002 of the OPA, and other federal laws.
preted to preclude the consideration of other (c) In those incidents where a discharge or
priorities that may arise on a site-specific threat of discharge poses a substantial

basis. threat to the public health or welfare of the
254
United States, the OSC shall direct all fed- Department of Defense (DOD), Department
eral, state, or private actions to remove the of Energy (DOE), Department of Agriculture
discharge or to mitigate or prevent the (DOA), Department of Commerce (DOC), De-
threat of such a discharge, as appropriate. partment of Health and Human Services
The OSC shall also request immediate acti- (HHS), Department of the Interior (DOI), De-
vation of the RRT. partment of Justice (DOJ), Department of
(d) During responses to any discharge the Labor (DOL), Department of Transportation
OSC may request advice or support from the (DOT), Department of State (DOS), Nuclear
Special Teams and any local support units Regulatory Commission, and General Serv-
identified by the Area Committee. Examples ices Administration (GSA). Each agency
include scientific advice from the Scientific shall designate a member to the team and
Support Coordinator (SSC), technical guid- sufficient alternates to ensure representa-
ance or prepositioned equipment from the tion, as agency resources permit. The NRT
District Response Group (DRG), or public in- will consider requests for membership on the
formation assistance from the National NRT from other agencies. Other agencies
Strike Force (NSF). may request membership by forwarding such
(e) When an oil discharge exceeds the re- requests to the chair of the NRT (see Figure
sponse capability of the region in which it
1).
occurs, transects regional boundaries, or in-
volves a substantial threat to the public (b) The chair of the NRT shall be the rep-
health or welfare, substantial amounts of resentative of the EPA and the vice chair
property, or substantial threats to the nat- shall be the representative of the USCG,
ural resources, the NRT should be activated with the exception of periods of activation
as an emergency response team. If appro- because of response action. During activa-
priate the RRT Chairman may contact the tion, the chair shall be the member agency
NRT Chairman and request the NRT activa- providing the OSC. The vice chair shall
tion. maintain records of NRT activities along
with national, regional, and area plans for
3.0 Components of national response system response actions.
and responsibilities. (c) While the NRT desires to achieve a con-
The NRS is the mechanism for coordi- sensus on all matters brought before it, cer-
nating response actions by all levels of gov- tain matters may prove unresolvable by this
ernment in support of the OSC. The NRS or- means. In such cases, each agency serving as
ganization is divided into national, regional, a participating agency on the NRT may be
and area levels. The national level comprises accorded one vote in NRT proceedings.
the NRT, the National Strike Force Coordi- (d) The NRT may establish such bylaws,
nation Center (NSFCC), and the National Re- procedures, and committees as it deems ap-
sponse Center (NRC). The regional level is propriate to further the purposes for which it
comprised of the RRT. The area level is is established.
made up of the OSC, Special Teams, and (e) The NRT shall evaluate methods of re-
Area Committees. The basic framework for sponding to discharges, shall recommend any
the response management structure is a sys- changes needed in the response organization,
tem (e.g., a unified command system), that and shall recommend to the Administrator
brings together the functions of the federal of EPA changes to the NCP designed to im-
government, the state government, and the prove the effectiveness of the national re-
responsible party to achieve an effective and sponse system, including drafting of regu-
efficient response, where the OSC retains au- latory language.
thority. (f) The NRT shall provide policy and pro-
gram direction to the RRTs.
3.1 National.
(g) The NRT may consider and make rec-
3.1.1 National response team. (a) National ommendations to appropriate agencies on
planning and coordination is accomplished the training, equipping, and protection of re-
through the NRT. The NRT consists of rep- sponse teams and necessary research, devel-
resentatives from the USCG, EPA, Federal opment, demonstration, and evaluation to
Emergency Management Agency (FEMA), improve response capabilities.
255
(h) Direct planning and preparedness re- (5) Monitoring response-related research
sponsibilities of the NRT include: and development, testing, and evaluation ac-
(1) Maintaining national preparedness to tivities of NRT agencies to enhance coordi-
respond to a major discharge of oil that is nation, avoid duplication of effort, and fa-
beyond regional capabilities; cilitate research in support of response ac-
(2) Monitoring incoming reports from all tivities;
RRTs and activating for a response action, (6) Developing recommendations for re-
when necessary; sponse training and for enhancing the co-
(3) Coordinating a national program to as- ordination of available resources among
sist member agencies in preparedness plan- agencies with training responsibilities under
ning and response, and enhancing coordina- the NCP;
tion of member agency preparedness pro- (7) Reviewing regional responses to oil dis-
grams; charges, including an evaluation of equip-
(4) Developing procedures, in coordination ment readiness and coordination among re-
with the NSFCC, as appropriate, to ensure sponsible public agencies and private organi-
the coordination of federal, state, and local zations; and
governments, and private response to oil dis- (8) Assisting in developing a national exer-
charges; cise program, in coordination with the
256
EC02AU92.018</GPH>
NSFCC to ensure preparedness and coordina- (a) Technical assistance, equipment, and
tion nationwide. other resources to augment the OSC staff
(i) The NRT shall consider matters referred during spill response;
to it for advice or resolution by an RRT. (b) Assistance in coordinating the use of
(j) The NRT should be activated as an private and public resources in support of
emergency response team: the OSC during a response to or a threat of
(1) When an oil discharge: a worst case discharge of oil;
(A) Exceeds the response capability of the (c) Review of the area contingency plan,
region in which it occurs; including an evaluation of equipment readi-
(B) Transects regional boundaries; or ness and coordination among responsible
(C) Involves a substantial threat to the public agencies and private organizations;
public health or welfare, substantial (d) Assistance in locating spill response re-
amounts of property, or substantial threats sources for both response and planning,
to natural resources; using the NSFCC’s national and inter-
(2) If requested by any NRT member. national computerized inventory of spill re-
(k) When activated for a response action, sponse resources;
the NRT will meet at the call of the chair (e) Coordination and evaluation of pollu-
and may: tion response exercises; and
(1) Monitor and evaluate reports from the (f) Inspection of district prepositioned pol-
OSC and recommend to the OSC, through the lution response equipment.
RRT, actions to combat the discharge; 3.2 Regional. (a) Regional planning and co-
(2) Request other federal, state and local ordination of preparedness and response ac-
governments, or private agencies, to provide tions is accomplished through the RRT. In
resources under their existing authorities to the case of a discharge of oil, preparedness
combat a discharge, or to monitor response activities shall be carried out in conjunction
operations; and with Area Committees as appropriate. The
(3) Coordinate the supply of equipment, RRT agency membership parallels that of
personnel, or technical advice to the affected the NRT, but also includes state and local
region from other regions or districts. representation. The RRT provides: (1) the ap-
3.1.2 National response center. (a) The NRC, propriate regional mechanism for develop-
located at USCG Headquarters, is the na- ment and coordination of preparedness ac-
tional communications center, continuously tivities before a response action is taken and
manned for handling activities related to re- for coordination of assistance and advice to
sponse actions, including those involving dis- the OSC during such response actions; and
charges of oil. The NRC acts as the single (2) guidance to Area Committees, as appro-
point of contact for all pollution incident re- priate, to ensure inter-area consistency and
porting, and as the NRT communications consistency of individual ACPs with the RCP
center. Notice of discharges must be made by and NCP.
telephone through a toll free number or a (b) The two principal components of the
special number (Telecommunication Device RRT mechanism are a standing team, which
for the Deaf (TDD) and collect calls accept- consists of designated representatives from
ed). Upon receipt of a notification of dis- each participating federal agency, state gov-
charge, the NRC shall promptly notify the ernments, and local governments (as agreed
OSC. The telephone report is distributed to upon by the states); and incident-specific
any interested NRT member agency or fed- teams formed from the standing team when
eral entity that has established a written the RRT is activated for a response. On inci-
agreement or understanding with the NRC. dent-specific teams, participation by the
(b) The Commandant, USCG, in conjunc- RRT member agencies will relate to the
tion with other NRT agencies, provides the technical nature of the incident and its geo-
necessary personnel, communications, plot- graphic location.
ting facilities, and equipment for the NRC. (1) The standing team’s jurisdiction cor-
(c) Notice of an oil discharge in an amount responds to the standard federal regions, ex-
equal to or greater than the reportable quan- cept for Alaska, Oceania in the Pacific, and
tity must be made immediately in accord- the Caribbean area, each of which has a sepa-
ance with 33 CFR part 153, subpart B. Notifi- rate standing RRT. The role of the standing
cation will be made to the NRC Duty Officer, RRT includes communications systems and
HQ USCG, Washington, DC, telephone (800) procedures, planning, coordination, training,
424–8802 or (202) 267–2675. All notices of dis- evaluation, preparedness, and related mat-
charges received at the NRC will be relayed ters on a regionwide basis. It also includes
immediately by telephone to the OSC. coordination of Area Committees for these
3.1.3 National strike force coordination cen- functions in areas within their respective re-
ter. NSFCC, located in Elizabeth City, North gions, as appropriate.
Carolina, may assist the OSC by providing (2) The role of the incident-specific team is
information on available spill removal re- determined by the operational requirements
sources, personnel, and equipment. The of the response to a specific discharge. Ap-
NSFCC can provide the following support to propriate levels of activation and/or notifica-
the OSC: tion of the incident-specific RRT, including
257
participation by state and local govern- (i) The standing RRT shall recommend
ments, shall be determined by the designated changes in the regional response organiza-
RRT chair for the incident, based on the tion as needed, revise the RCP as needed,
RCP. The incident-specific RRT supports the evaluate the preparedness of the partici-
designated OSC. The designated OSC man- pating agencies and the effectiveness of
ages response efforts and coordinates all ACPs for the federal response to discharges,
other efforts at the scene of a discharge. and provide technical assistance for pre-
(c) The representatives of EPA and the paredness to the response community. The
USCG shall act as co-chairs of the RRTs ex- RRT should:
cept when the RRT is activated. When the (1) Review and comment, to the extent
RRT is activated for response actions, the practicable, on local emergency response
chair is the member agency providing the plans or other issues related to the prepara-
OSC. tion, implementation, or exercise of such
(d) Each participating agency should des- plans upon request of a local emergency
ignate one member and at least one alter- planning committee;
nate member to the RRT. Agencies whose re- (2) Evaluate regional and local responses to
gional subdivisions do not correspond to the discharges on a continuing basis, considering
standard federal regions may designate addi- available legal remedies, equipment readi-
tional representatives to the standing RRT ness, and coordination among responsible
to ensure appropriate coverage of the stand- public agencies and private organizations,
ard federal region. Participating states may and recommend improvements;
also designate one member and at least one (3) Recommend revisions of the NCP to the
alternate member to the RRT. Indian tribal NRT, based on observations of response oper-
governments may arrange with the RRT for ations;
representation appropriate to their geo- (4) Review OSC actions to ensure that
graphical location. All agencies and states RCPs and ACPs are effective;
may also provide additional representatives (5) Encourage the state and local response
as observers to meetings of the RRT. community to improve its preparedness for
(e) RRT members should designate rep- response;
resentatives and alternates from their agen- (6) In coordination with the Area Com-
cies as resource personnel for RRT activities, mittee and in accordance with any applica-
including RRT work planning, and member- ble laws, regulations, or requirements, con-
ship on incident-specific teams in support of duct advance planning for use of dispersants,
the OSCs. surface washing agents, surface collecting
(f) Federal RRT members or their rep- agents, burning agents, bioremediation
resentatives should provide OSCs with as- agents, or other chemical agents in accord-
sistance from their respective federal agen- ance with subpart J of this part;
cies commensurate with agency responsibil- (7) Be prepared to provide response re-
ities, resources, and capabilities within the sources to major discharges or releases out-
region. During a response action, the mem- side the region;
bers of the RRT should seek to make avail- (8) Conduct or participate in training and
able the resources of their agencies to the exercises as necessary to encourage pre-
OSC as specified in the RCP and ACP. paredness activities of the response commu-
(g) RRT members should nominate appro- nity within the region;
priately qualified representatives from their (9) Meet at least semiannually to review
agencies to work with OSCs in developing response actions carried out during the pre-
and maintaining ACPs. ceding period, consider changes in RCPs, and
(h) Affected states are encouraged to par- recommend changes in ACPs;
ticipate actively in all RRT activities. Each (10) Provide letter reports on RRT activi-
state Governor is requested to assign an of- ties to the NRT twice a year, no later than
fice or agency to represent the state on the January 31 and July 31; and
appropriate RRT; to designate representa- (11) Ensure maximum participation in the
tives to work with the RRT in developing national exercise program for announced and
RCPs; to plan for, make available, and co- unannounced exercises.
ordinate state resources for use in response (j)(1) The RRT may be activated by the
actions; and to serve as the contact point for chair as an incident-specific response team
coordination of response with local govern- when a discharge:
ment agencies, whether or not represented (A) Exceeds the response capability avail-
on the RRT. The state’s RRT representative able to the OSC in the place where it occurs;
should keep the State Emergency Response (B) Transects state boundaries;
Commission (SERC) apprised of RRT activi- (C) May pose a substantial threat to the
ties and coordinate RRT activities with the public health or welfare, or to regionally sig-
SERC. Local governments are invited to par- nificant amounts of property; or
ticipate in activities on the appropriate RRT (D) Is a worst case discharge, as defined in
as provided by state law or as arranged by section 1.5 of this appendix.
the state’s representative. Indian tribes are (2) The RRT shall be activated during any
also invited to participate in such activities. discharge upon a request from the OSC, or
258
from any RRT representative, to the chair of 3.3 Area.
the RRT. Requests for RRT activation shall
3.3.1 On-scene coordinator. The OSC is the
later be confirmed in writing. Each rep-
federal official predesignated by EPA or the
resentative, or an appropriate alternate,
USCG to coordinate and direct federal re-
should be notified immediately when the
sponses under subpart D of the NCP. The
RRT is activated.
USCG shall provide OSCs for oil discharges,
(3) During prolonged removal or remedial
including discharges from facilities and ves-
action, the RRT may not need to be acti-
sels under the jurisdiction of another federal
vated or may need to be activated only in a
agency, within or threatening the coastal
limited sense, or may need to have available
zone. EPA shall provide OSCs for discharges
only those member agencies of the RRT who
into or threatening the inland zone. In car-
are directly affected or who can provide di-
rying out a response, the OSC may direct or
rect response assistance.
monitor all federal, state, and private ac-
(4) When the RRT is activated for a dis- tions to remove a discharge. In contingency
charge or release, agency representatives planning and removal, the OSC coordinates,
will meet at the call of the chair and may: directs, and reviews the work of other agen-
(A) Monitor and evaluate reports from the cies, Area Committees, responsible parties,
OSC, advise the OSC on the duration and ex- and contractors to assure compliance with
tent of response, and recommend to the OSC the NCP, decision document, consent decree,
specific actions to respond to the discharge; administrative order, and lead agency-ap-
(B) Request other federal, state, or local proved plans applicable to the response.
governments, or private agencies, to provide 3.3.2 Area committees. (a) Area Committees
resources under their existing authorities to shall be responsible for: (1) preparing an ACP
respond to a discharge or to monitor re- for their areas; (2) working with appropriate
sponse operations; federal, state, and local officials to enhance
(C) Help the OSC prepare information re- the contingency planning of those officials
leases for the public and for communication and to assure pre-planning of joint response
with the NRT; efforts, including appropriate procedures for
(D) If the circumstances warrant, make mechanical recovery, dispersal, shoreline
recommendations to the regional or district cleanup, protection of sensitive environ-
head of the agency providing the OSC that a mental areas, and protection, rescue, and re-
different OSC should be designated; and habilitation of fisheries and wildlife; and (3)
(E) Submit pollution reports to the NRC as working with appropriate federal, state, and
significant developments occur. local officials to expedite decisions for the
(5) RCPs shall specify detailed criteria for use of dispersants and other mitigating sub-
activation of RRTs. stances and devices.
(6) At the regional level, a Regional Re- (b) The OSC is responsible for overseeing
sponse Center (RRC) may provide facilities development of the ACP in the area of the
and personnel for communications, informa- OSC’s responsibility. The ACP, when imple-
tion storage, and other requirements for co- mented in conjunction with other provisions
ordinating response. The location of each of the NCP, shall be adequate to remove a
RRC should be provided in the RCP. worst case discharge, and to mitigate and
(7) When the RRT is activated, affected prevent a substantial threat of such a dis-
states may participate in all RRT delibera- charge, from a vessel, offshore facility, or
tions. State government representatives par- onshore facility operating in or near the
ticipating in the RRT have the same status area.
as any federal member of the RRT. 3.3.3 Special teams. (a) Special teams in-
(8) The RRT can be deactivated when the clude: NOAA/EPA’s SSCs; EPA’s Environ-
incident-specific RRT chair determines that mental Response Team (ERT); and USCG’s
the OSC no longer requires RRT assistance. NSF; DRGs; and NPFC (see Figure 2).
(9) Notification of the RRT may be appro- (b) SSCs may be designated by the OSC as
priate when full activation is not necessary, the principal advisors for scientific issues,
with systematic communication of pollution communication with the scientific commu-
reports or other means to keep RRT mem- nity, and coordination of requests for assist-
bers informed as to actions of potential con- ance from state and federal agencies regard-
cern to a particular agency, or to assist in ing scientific studies. The SSC strives for a
later RRT evaluation of regionwide response consensus on scientific issues affecting the
effectiveness. response, but ensures that differing opinions
(k) Whenever there is insufficient national within the community are communicated to
policy guidance on a matter before the RRT, the OSC.
a technical matter requiring solution, a (1) Generally, SSCs are provided by NOAA
question concerning interpretation of the in the coastal zones, and by EPA in the in-
NCP, or a disagreement on discretionary ac- land zone. OSC requests for SSC support may
tions among RRT members that cannot be be made directly to the SSC assigned to the
resolved at the regional level, it may be re- area or to the agency member of the RRT.
ferred to the NRT for advice. NOAA SSCs may also be requested through
259
NOAA’s SSC program office in Seattle, WA. ant transport modeling, natural resources at
NOAA SSCs are assigned to USCG Districts risk, environmental tradeoffs of counter-
and are supported by a scientific support measures and cleanup, and information man-
team that includes expertise in environ- agement.
mental chemistry, oil slick tracking, pollut-
260
EC02AU92.019</GPH>
(2) During a response, the SSC serves on Strike Teams, the Public Information Assist
the federal OSC’s staff and may, at the re- Team (PIAT), and the NSFCC. The NSF is
quest of the OSC, lead the scientific team available to assist OSCs in their prepared-
and be responsible for providing scientific ness and response duties.
support for operational decisions and for co- (1) The three Strike Teams (Atlantic, Gulf,
ordinating on-scene scientific activity. De- and Pacific) provide trained personnel and
pending on the nature and location of the in- specialized equipment to assist the OSC in
cident, the SSC integrates expertise from training for spill response, stabilizing and
governmental agencies, universities, commu- containing the spill, and in monitoring or di-
nity representatives, and industry to assist recting the response actions of the respon-
the OSC in evaluating the hazards and poten- sible parties and/or contractors. The OSC has
tial effects of releases and in developing re- a specific team designated for initial contact
sponse strategies. and may contact that team directly for any
(3) At the request of the OSC, the SSC may assistance.
facilitate the OSC’s work with the lead ad- (2) The NSFCC can provide the following
ministrative trustee for natural resources to support to the OSC:
ensure coordination between damage assess- —Technical assistance, equipment and
ment data collection efforts and data col- other resources to augment the OSC staff
lected in support of response operations. during spill response;
(4) SSCs support the RRTs and the Area —Assistance in coordinating the use of pri-
Committees in preparing regional and area vate and public resources in support of the
contingency plans and in conducting spill OSC during a response to or a threat of a
training and exercises. For area plans, the worst case discharge of oil;
SSC provides leadership for the synthesis —Review of the ACP, including an evalua-
and integration of environmental information of equipment readiness and coordination
tion required for spill response decisions in among responsible public agencies and pri-
support of the OSC. vate organizations;
(c)(1) SUPSALV has an extensive salvage/ —Assistance in locating spill response re-
search and recovery equipment inventory sources for both response and planning,
with the requisite knowledge and expertise using the NSFCC’s national and inter-
to support these operations, including spe- national computerized inventory of spill re-
cialized salvage, firefighting, and petroleum, sponse resources;
oil and lubricants offloading capability. —Coordination and evaluation of pollution
(2) When possible, SUPSALV will provide response exercises; and
equipment for training exercises in support —Inspection of district prepositioned pol-
of national and regional contingency plan- lution response equipment.
ning objectives. (3) PIAT is an element of the NSFCC staff
(3) The OSC/RPM may request assistance which is available to assist OSCs to meet the
directly from SUPSALV. Formal requests demands for public information during a re-
are routed through the Chief of Naval Oper- sponse or exercise. Its use is encouraged any
ations (N312). time the OSC requires outside public affairs
(d) The ERT is established by the EPA in support. Requests for PIAT assistance may
accordance with its disaster and emergency be made through the NSFCC or NRC.
responsibilities. The ERT has expertise in (f)(1) The DRG assists the OSC by pro-
treatment technology, biology, chemistry, viding technical assistance, personnel, and
hydrology, geology and engineering. equipment, including pre-positioned equip-
(1) The ERT can provide access to special ment. Each DRG consists of all Coast Guard
decontamination equipment and advice to personnel and equipment, including marine
the OSC in hazard evaluation; risk assess- firefighting equipment, in its district, addi-
ment; multimedia sampling and analysis tional pre-positioned equipment, and a Dis-
program; on-site safety, including develop- trict Response Advisory Team (DRAT) that
ment and implementation plans; cleanup is available to provide support to the OSC in
techniques and priorities; water supply de- the event that a spill exceeds local response
contamination and protection; application of capabilities. Each DRG:
dispersants; environmental assessment; de- (A) Shall provide technical assistance,
gree of cleanup required; and disposal of con- equipment, and other resources as available
taminated material. The ERT also provides when requested by an OSC through the USCG
both introductory and intermediate level representative to the RRT;
training courses to prepare response per- (B) Shall ensure maintenance of all USCG
sonnel. response equipment within its district;
(2) OSC or RRT requests for ERT support (C) May provide technical assistance in the
should be made to the EPA representative on preparation of the ACP; and
the RRT; EPA Headquarters, Director, (D) Shall review each of those plans that
Emergency Response Division; or the appro- affect its area of geographic responsibility.
priate EPA regional emergency coordinator. (2) In deciding where to locate personnel
(e) The NSF is a special team established and pre-positioned equipment, the USCG
by the USCG, including the three USCG shall give priority emphasis to:
261
(A) The availability of facilities for loading (4) Recovers monies from persons liable for
and unloading heavy or bulky equipment by costs and damages resulting from oil dis-
barge; charges to the full extent of liability under
(B) The proximity to an airport capable of the law; and
supporting large military transport aircraft; (5) Provides funds to initiate natural re-
(C) The flight time to provide response to sources damage assessment.
oil spills in all areas of the Coast Guard dis- (h) The organizational concepts of the na-
trict with the potential for marine casual-
tional response system discussed above are
ties;
depicted in Figure 3.
(D) The availability of trained local per-
sonnel capable of responding in an oil spill 4.0 Preparedness activities.
emergency; and
(E) Areas where large quantities of petro- 4.1 Federal contingency plans. This section
leum products are transported. summarizes emergency preparedness activi-
(g) The NPFC is responsible for imple- ties relating to discharges of oil and de-
menting those portions of Title I of the OPA scribes the three levels of contingency plan-
that have been delegated to the Secretary of ning under the national response system.
the department in which the Coast Guard is 4.1.1 National contingency plan. (a) The
operating. The NPFC is responsible for ad- NCP provides for efficient, coordinated, and
dressing funding issues arising from dis- effective response to discharges of oil in ac-
charges and threats of discharges of oil. The cordance with the authorities of the CWA. It
NPFC: provides for:
(1) Issues Certificates of Financial Respon-
(1) The national response organization that
sibility to owners and operators of vessels to
pay for costs and damages that are incurred may be activated in response actions and
by their vessels as a result of oil discharges; specifies responsibilities among the federal,
(2) Provides funding for various response or- state, and local governments and describes
ganizations for timely abatement and re- resources that are available for response;
moval actions related to oil discharges; (2) The establishment of requirements for
(3) Provides equitable compensation to federal, regional, and area contingency
claimants who sustain costs and damages plans;
from oil discharges when the responsible (3) Procedures for undertaking removal ac-
party fails to do so; tions pursuant to section 311 of the CWA;
262
(4) Procedures for involving state govern- be consulted, as appropriate, prior to taking
ments in the initiation, development, selec- action which may affect its activities.
tion, and implementation of response ac- 4.1.2 Regional contingency plans. The
tions; RRTs, working with the states, shall develop
(5) Listing of federal trustees for natural federal RCPs for each standard federal re-
resources for purposes of the CWA; gion, Alaska, Oceania in the Pacific, and the
(6) Procedures for the participation of Caribbean to coordinate timely, effective re-
other persons in response actions; and sponse by various federal agencies and other
(7) National procedures for the use of organizations to discharges of oil. RCPs
dispersants and other chemicals in removals shall, as appropriate, include information on
under the CWA. all useful facilities and resources in the re-
(b) In implementing the NCP, consider- gion, from government, commercial, aca-
ation shall be given to international assist- demic, and other sources. To the greatest ex-
ance plans and agreements, security regula- tent possible, RCPs shall follow the format
tions and responsibilities based on inter- of the NCP and be coordinated with state
national agreements, federal statutes, and emergency response plans, ACPs, and Title
executive orders. Actions taken pursuant to III local emergency response plans. Such co-
the provisions of any applicable inter- ordination should be accomplished by work-
national joint contingency plans shall be ing with the SERCs in the region covered by
consistent with the NCP, to the greatest ex- the RCP. RCPs shall contain lines of demar-
tent possible. The Department of State shall cation between the inland and coastal zones,
263
EC02AU92.020</GPH>
as mutually agreed upon by the USCG and shall be prepared in consultation with the
the EPA. U.S. Fish and Wildlife Service (FWS) and
4.1.3 Area contingency plans. (a) Under the NOAA and other interested natural resource
direction of an OSC and subject to approval management agencies and parties. It shall
by the lead agency, each Area Committee, in address fish and wildlife resources and their
consultation with the appropriate RRTs, habitat, and shall include other areas consid-
DRGs, the NSFCC, SSCs, Local Emergency ered sensitive environments in a separate
Planning Committees (LEPCs), and SERCs, section of the annex, based upon Area Com-
shall develop an ACP for its designated area. mittee recommendations. The annex shall
This plan, when implemented in conjunction provide the necessary information and proce-
with other provisions of the NCP, shall be dures to immediately and effectively respond
adequate to remove a worst case discharge, to discharges that may adversely affect fish
and to mitigate or prevent a substantial and wildlife and their habitat and sensitive
threat of such a discharge, from a vessel, off- environments, including provisions for a re-
shore facility, or onshore facility operating sponse to a worst case discharge. Such infor-
in or near the area. mation shall include the identification of ap-
(b) The areas of responsibility may include propriate agencies and their responsibilities,
several Title III local planning districts, or procedures to notify these agencies following
parts of such districts. In developing the a discharge or threat of a discharge; proto-
ACP, the OSC shall coordinate with affected cols for obtaining required fish and wildlife
SERCs and LEPCs. The ACP shall provide permits and other necessary permits, and
for a well coordinated response that is inte- provisions to ensure compatibility of annex-
grated and compatible to the greatest extent related activities with removal operations.
possible with all appropriate response plans (b) The annex shall:
of state, local, and non-federal entities, and (1) Identify and establish priorities for fish
especially with Title III local emergency re- and wildlife resources and their habitats and
sponse plans. other important sensitive areas requiring
(c) The ACP shall include the following: protection from any direct or indirect effects
(1) A description of the area covered by the from discharges that may occur. These ef-
plan, including the areas of special economic fects include, but are not limited to, any sea-
or environmental importance that might be sonal or historical use, as well as all critical,
impacted by a discharge; special, significant or otherwise designated
(2) A description in detail of the respon- protected areas.
sibilities of an owner or operator and of fed- (2) Provide a mechanism to be used during
eral, state, and local agencies in removing a a spill response for timely identification of
discharge, and in mitigating or preventing a protection priorities of those fish and wild-
substantial threat of a discharge; life resources and habitats and sensitive en-
(3) A list of equipment (including fire- vironmental areas that may be threatened or
fighting equipment), dispersants, or other injured by a discharge. These include as ap-
mitigating substances and devices, and per- propriate, not only marine and freshwater
sonnel available to an owner or operator and species, habitats, and their food sources, but
federal, state, and local agencies, to ensure also terrestrial wildlife and their habitats
an effective and immediate removal of a dis- that may be affected directly by onshore oil
charge, and to ensure mitigation or preven- or indirectly by oil-related factors, such as
tion of a substantial threat of a discharge loss or contamination of forage. The mecha-
(this may be provided in an appendix or by nism shall also provide for expeditious eval-
reference to other relevant emergency plans uation and appropriate consultations on the
(e.g., state or LEPC plans), which may in- effects to fish and wildlife, their habitat, and
clude such equipment lists); other sensitive environments from the appli-
(4) A description of procedures to be fol- cation of chemical countermeasures or other
lowed for obtaining an expedited decision re- countermeasures not addressed under para-
garding the use of dispersants; and graph (3) of this section.
(5) A detailed description of how the plan is (3) Identify potential environmental effects
integrated into other ACPs and tank vessel, on fish and wildlife, their habitat, and other
offshore facility, and onshore facility re- sensitive environments resulting from re-
sponse plans approved by the President, and moval actions or countermeasures, including
into operating procedures of the NSFCC. the option of no removal. Based on this eval-
4.1.4 Fish and Wildlife and sensitive environ- uation of potential environmental effects,
ments plan annex. (a) In order to provide for the annex should establish priorities for ap-
coordinated, immediate and effective protec- plication of countermeasure and removal ac-
tion, rescue, and rehabilitation of, and mini- tions to habitats within the geographic re-
mization of risk of injury to, fish and wild- gion of the ACP. The annex should establish
life resources and habitat, Area Committees methods to minimize the identified effects
shall incorporate into each ACP a detailed on fish and wildlife because of response ac-
annex containing a Fish and Wildlife and tivities, including, but not limited to, dis-
Sensitive Environments Plan that is con- turbance of sensitive areas and habitats; ille-
sistent with the RCP and NCP. The annex gal or inadvertent taking or disturbance of
264
fish and wildlife or specimens by response tion (OSHA) training for volunteers, includ-
personnel; and fish and wildlife, their habi- ing those who assist with injured wildlife.
tat, and environmentally sensitive areas (9) Evaluate the compatibility between
coming in contact with various cleaning or this annex and non-federal response plans
bioremediation agents. Furthermore, the (including those of vessels, facilities and
annex should identify the areas where the pipelines) on issues affecting fish and wild-
movement of oiled debris may pose a risk to life, their habitat, and sensitive environ-
resident, transient, or migratory fish and ments.
wildlife, and other sensitive environments
and should discuss measures to be considered 4.2 OPA facility and vessel response plans
for removing such oiled debris in a timely
fashion to reduce such risk. This section describes and cross-references
(4) Provide for pre-approval of application the regulations that implement section
of specific countermeasures or removal ac- 311(j)(5) of the CWA. A tank vessel, as defined
tions that, if expeditiously applied, will min- under section 2101 of title 46, U.S. Code, an
imize adverse spill-induced impacts to fish offshore facility, and an onshore facility
and wildlife resources, their habitat, and that, because of its location, could reason-
other sensitive environments. Such pre-ap- ably expect to cause substantial harm to the
proval plans must be consistent with para- environment by discharging into or on the
graphs (2) and (3) of this section and subpart navigable waters, adjoining shorelines, or ex-
J requirements of the NCP, and must have clusive economic zone must prepare and sub-
the concurrence of the natural resource mit a plan for responding, to the maximum
trustees.
extent practicable, to a worst case discharge,
(5) Provide monitoring plan(s) to evaluate
and to a substantial threat of such a dis-
the effectiveness of different counter-
measures or removal actions in protecting charge, of oil or a hazardous substance.
the environment. Monitoring should include These response plans are required to be con-
‘‘set-aside’’ or ‘‘control’’ areas, where no sistent with applicable Area Contingency
mitigative actions are taken. Plans. These regulations are codified as fol-
(6) Identify and plan for the acquisition lows:
and utilization of necessary response capa- (a) For tank vessels, these regulations are
bilities for protection, rescue, and rehabili- codified in 33 CFR part 155;
tation of fish and wildlife resources and habi- (b) For offshore facilities, these regula-
tat. This may include appropriately per- tions are codified in 30 CFR part 254;
mitted private organizations and individuals (c) For non-transportation related onshore
with appropriate expertise and experience. facilities, these regulations are codified in 40
The suitable organizations should be identi- CFR part 112.20;
fied in cooperation with natural resource law
(d) For transportation-related onshore fa-
enforcement agencies. Such capabilities
cilities, these regulations are cofidied in 33
shall include, but not be limited to, identi-
fication of facilities and equipment nec- CFR part 154;
essary for deterring sensitive fish and wild- (e) For pipeline facilities, these regulations
life from entering oiled areas, and for cap- are codified in 49 CFR part 194; and
turing, holding, cleaning, and releasing in- (f) For rolling stock, these regulations are
jured wildlife. Plans for the provision of such codified in 49 CFR part 106 et al.
capabilities shall ensure that there is no in-
terference with other OSC removal oper- 4.3 Relation to others plans.
ations. 4.3.1 Federal response plans. In the event of
(7) Identify appropriate federal and state a declaration of a major disaster by the
agency contacts and alternates responsible President, the FEMA may activate the Fed-
for coordination of fish and wildlife rescue
eral Response Plan (FRP). A Federal Coordi-
and rehabilitation and protection of sen-
nating Officer (FCO), designated by the
sitive environments; identify and provide for
President, may implement the FRP and co-
required fish and wildlife handling and reha-
bilitation permits necessary under federal ordinate and direct emergency assistance
and state laws; and provide guidance on the and disaster relief of impacted individuals,
implementation of law enforcement require- business, and public services under the Rob-
ments included under current federal and ert T. Stafford Disaster Relief Act. Delivery
state laws and corresponding regulations. of federal assistance is facilitated through
Requirements include, but are not limited to twelve functional annexes to the FRP known
procedures regarding the capture, transport, as Emergency Support Functions (ESFs).
rehabilitation, release of wildlife exposed to EPA coordinates activities under ESF #10—
or threatened by oil, and disposal of con- Hazardous Materials, which addresses pre-
taminated carcasses of wildlife. paredness and response to hazardous mate-
(8) Identify and secure the means for pro- rials and oil incidents caused by a natural
viding, if needed, the minimum required Oc- disaster or other catastrophic event. In such
cupational Safety and Health Administra- cases, the OSC should coordinate response
265
activities with the FCO, through the inci- oped pursuant to paragraph (a) of this sec-
dent-specific ESF #10 Chair, to ensure con- tion, the OSC, with the concurrence of the
sistency with federal disaster assistance ac- EPA representative to the RRT and, as ap-
tivities. propriate, the concurrence of the RRT rep-
4.3.2 Tank Vessel and Facility Response resentatives from the states with jurisdic-
Plans. (a) Under CWA section 311(j)(5), tank tion over the navigable waters threatened by
vessels, offshore facilities, and certain on- the discharge, and in consultation with the
shore facilities are required to prepare and DOC and DOI natural resource trustees,
submit response plans for review and ap- when practicable, may authorize the use of
proval by the President for the carriage,
dispersants, surface washing agents, surface
storage, and transportation of oil and haz-
collecting agents, bioremediation agents, or
ardous substances. Separate regulations pub-
lished by the appropriate federal agencies miscellaneous oil spill control agents on the
provide for required response plan develop- oil discharge, provided that the products are
ment and/or approval. listed on the NCP Product Schedule.
(b) These plans shall be developed to co- (c) The OSC, with the concurrence of the
ordinate responsible party actions with the EPA representative to the RRT and, as ap-
OSC and the ACP response strategies, for re- propriate, the concurrence of the RRT rep-
sponse to oil discharges within the inland resentatives from the states with jurisdic-
and coastal zones of the United States. tion over the navigable waters threatened by
the discharge, and in consultation with the
4.4 Pre-approval authority. DOC and DOI natural resource trustees,
(a) RRTs and Area Committees shall ad- when practicable, may authorize the use of
dress, as part of their planning activities, burning agents on a case-by-case basis.
the desirability of using appropriate (d) The OSC may authorize the use of any
dispersants, surface washing agents, surface dispersant, surface washing agent, surface
collecting agents, bioremediation agents, or collecting agent, other chemical agent, burn-
miscellaneous oil spill control agents listed ing agent, bioremediation agent, or miscella-
on the NCP Product Schedule, and the desir- neous oil spill control agent, including prod-
ability of using appropriate burning agents. ucts not listed on the NCP Product Schedule,
RCPs and ACPs shall, as appropriate, include without obtaining the concurrence of the
applicable preauthorization plans and ad- EPA representative to the RRT and, as ap-
dress the specific contexts in which such
propriate, the RRT representatives from the
products should and should not be used. In
states with jurisdiction over the navigable
meeting the provisions of this paragraph,
preauthorization plans may address factors waters threatened by the discharge, when, in
such as the potential sources and types of oil the judgment of the OSC, the use of the prod-
that might be spilled, the existence and loca- uct is necessary to prevent or substantially
tion of environmentally sensitive resources reduce a hazard to human life. Whenever the
that might be impacted by spilled oil, avail- OSC authorizes the use of a product pursuant
able product and storage locations, available to this paragraph, the OSC is to inform the
equipment and adequately trained operators, EPA RRT representative and, as appropriate,
and the available means to monitor product the RRT representatives from the affected
application and effectiveness. The RRT rep- states and, when practicable, the DOC/DOI
resentatives from EPA and the states with natural resource trustees of the use of a
jurisdiction over the waters of the area to product, including products not on the
which a preauthorization plan applies and Schedule, as soon as possible. Once the
the DOC and DOI natural resource trustees threat to human life has subsided, the con-
shall review and either approve, disapprove, tinued use of a product shall be in accord-
or approve with modification the ance with paragraphs (a), (b), and (c) of this
preauthorization plans developed by Area section.
Committees, as appropriate. Approved (e) Sinking agents shall not be authorized
preauthorization plans shall be included in for application to oil discharges.
the appropriate RCPs and ACPs. If the RRT
(f) When developing preauthorization
representatives from EPA and the states
plans, RRTs may require the performance of
with jurisdiction over the waters of the area
supplementary toxicity and effectiveness
to which a preauthorization plan applies and
the DOC and DOI natural resource trustees testing of products, in addition to the test
approve in advance the use of certain prod- methods specified in § 300.915 and described in
ucts under specified circumstances as de- appendix C to part 300, due to existing site-
scribed in the preauthorization plan, the specific or area-specific concerns.
OSC may authorize the use of the products 4.5 Area response drills. The OSC periodi-
without obtaining the specific concurrences cally shall conduct drills of removal capa-
described in paragraphs (b) and (c) of this bility (including fish and wildlife response),
section. without prior notice, in areas for which
(b) For spill situations that are not ad- ACPs are required and under relevant tank
dressed by the preauthorization plans devel- vessel and facility response plans.
266
5.0 Response operations. (i) All federal agencies should plan for
emergencies and develop procedures for deal-
(a) The OSC shall direct response efforts
ing with oil discharges and releases of haz-
and coordinate all other efforts at the scene
ardous substances, pollutants, or contami-
of a discharge. As part of the planning and
nants from vessels and facilities under their
preparation for response, OSCs shall be
jurisdiction. All federal agencies, therefore,
predesignated by the regional or district
are responsible for designating the office
head of the lead agency.
that coordinates response to such incidents
(b) The first federal official affiliated with
in accordance with the NCP and applicable
an NRT member agency to arrive at the
federal regulations and guidelines.
scene of a discharge should coordinate ac- (j)(1) The OSC shall ensure that the nat-
tivities under the NCP and is authorized to ural resource trustees are promptly notified
initiate, in consultation with the OSC, any of discharges.
necessary actions normally carried out by (2) The OSC shall coordinate all response
the OSC until the arrival of the activities with the affected natural resource
predesignated OSC. This official may initiate trustees and shall consult with the affected
federal OSLTF-financed actions only as au- trustees on the appropriate removal action
thorized by the OSC or, if the OSC is un- to be taken.
available, the authorized representative of (3) Where the OSC becomes aware that a
the lead agency. discharge may affect any endangered or
(c) The OSC shall, to the extent prac- threatened species, or their habitat, the OSC
ticable, collect pertinent facts about the dis- shall consult with DOI, DOC/NOAA, and, if
charge, such as its source and cause; the appropriate, the cognizant federal land man-
identification of responsible parties; the na- aging agency.
ture, amount, and location of discharged ma- (k) The OSC shall submit pollution reports
terials; the probable direction and time of (POLREPs) to the RRT and other appro-
travel of discharged materials; whether the priate agencies as significant developments
discharge is a worst case discharge; the path- occur during response actions, through com-
ways to human and environmental exposure; munications networks or procedures agreed
the potential impact on human health, wel- to by the RRT and covered in the RCP.
fare, and safety and the environment; wheth- (l) The OSC should ensure that all appro-
er the discharge poses a substantial threat to priate public and private interests are kept
the public health or welfare; the potential informed and that their concerns are consid-
impact on natural resources and property ered throughout a response, to the extent
which may be affected; priorities for pro- practicable.
tecting human health and welfare and the 5.1 Phase I—Discovery or notification. (a) A
environment; and appropriate cost docu- discharge of oil may be discovered through:
mentation. (1) A report submitted by the person in
(d) The OSC’s efforts shall be coordinated charge of a vessel or facility, in accordance
with other appropriate federal, state, local, with statutory requirements;
and private response agencies. OSCs may (2) Deliberate search by patrols;
designate capable persons from federal, (3) Random or incidental observation by
state, or local agencies to act as their on- government agencies or the public; or
scene representatives. State and local gov- (4) Other sources.
ernments, however, are not authorized to (b) Any person in charge of a vessel or a fa-
take actions under subpart D of the NCP cility shall, as soon as he or she has knowl-
that involve expenditures of the OSLTF un- edge of any discharge from such vessel or fa-
less an appropriate contract or cooperative cility in violation of section 311(b)(3) of the
agreement has been established. CWA, immediately notify the NRC. Notifica-
(e) The OSC should consult regularly with tion shall be made to the NRC Duty Officer,
the RRT and NSFCC, as appropriate, in car- HQ USCG, Washington, DC, telephone (800)
rying out the NCP and keep the RRT and 424–8802 or (202) 267–2675. If direct reporting
NSFCC, as appropriate, informed of activi- to the NRC is not practicable, reports may
ties under the NCP. be made to the USCG or EPA predesignated
(f) The OSC should evaluate incoming in- OSC for the geographic area where the dis-
formation and immediately advise FEMA of charge occurs. The EPA predesignated OSC
potential major disaster situations. may also be contacted through the regional
(g) The OSC is responsible for addressing 24-hour emergency response telephone num-
worker health and safety concerns at a re- ber. All such reports shall be promptly re-
sponse scene. layed to the NRC. If it is not possible to no-
(h) In those instances where a possible pub- tify the NRC or predesignated OSC imme-
lic health emergency exists, the OSC should diately, reports may be made immediately to
notify the HHS representative to the RRT. the nearest Coast Guard unit. In any event,
Throughout response actions, the OSC may such person in charge of the vessel or facility
call upon the OSHA and HHS representative shall notify the NRC as soon as possible.
for assistance on worker health and safety (c) Any other person shall, as appropriate,
issues. notify the NRC of a discharge of oil.
267
(d) Upon receipt of a notification of dis- (C) Remove and, if necessary, destroy a
charge, the NRC shall promptly notify the vessel discharging, or threatening to dis-
OSC. The OSC shall ensure notification of charge, by whatever means are available.
the appropriate state agency of any state (2) If the discharge results in a substantial
which is, or may reasonably be expected to threat to the public health or welfare of the
be, affected by the discharge. The OSC shall United States (including, but not limited to
then proceed with the following phases as fish, shellfish, wildlife, other natural re-
outlined in the RCP and ACP. sources, and the public and private beaches
5.2 Phase II—Preliminary assessment and and shorelines of the United States), the OSC
initiation of action must direct all response efforts, as provided
(a) The OSC is responsible for promptly in section 5.3.4 of this appendix. The OSC
initiating a preliminary assessment. should declare as expeditiously as prac-
(b) The preliminary assessment shall be ticable to spill response participants that
conducted using available information, sup- the federal government will direct the re-
plemented where necessary and possible by sponse. The OSC may act without regard to
an on-scene inspection. The OSC shall under- any other provision of the law governing
take actions to: contracting procedures or employment of
(1) Evaluate the magnitude and severity of personnel by the federal government in re-
the discharge or threat to public health or moving or arranging for the removal of such
welfare or the environment; a discharge.
(2) Assess the feasibility of removal; and (e) The OSC shall ensure that the natural
(3) To the extent practicable, identify po- resource trustees are promptly notified in
tentially responsible parties. the event of any discharge of oil, to the max-
(c) Where practicable, the framework for imum extent practicable as provided in the
the response management structure is a sys- Fish and Wildlife and Sensitive Environ-
tem (e.g., a unified command system), that ments Plan annex to the ACP for the area in
brings together the functions of the federal which the discharge occurs. The OSC and the
government, the state government, and the trustees shall coordinate assessments, eval-
responsible party to achieve an effective and uations, investigations, and planning with
efficient response, where the OSC maintains respect to appropriate removal actions. The
authority. OSC shall consult with the affected trustees
(d) Except in a case when the OSC is re- on the appropriate removal action to be
quired to direct the response to a discharge taken. The trustees will provide timely ad-
that may pose a substantial threat to the vice concerning recommended actions with
public health or welfare (including, but not regard to trustee resources potentially af-
limited to fish, shellfish, wildlife, other nat- fected. The trustees also will assure that the
ural resources, and the public and private OSC is informed of their activities in natural
beaches and shorelines of the United States), resource damage assessment that may affect
the OSC may allow the responsible party to response operations. The trustees shall as-
voluntarily and promptly perform removal sure, through the lead administrative trust-
actions, provided the OSC determines such ee, that all data from the natural resource
actions will ensure an effective and imme- damage assessment activities that may sup-
diate removal of the discharge or mitigation port more effective operational decisions are
or prevention of a substantial threat of a dis- provided in a timely manner to the OSC.
charge. If the responsible party does conduct When circumstances permit, the OSC shall
the removal, the OSC shall ensure adequate share the use of non-monetary response re-
surveillance over whatever actions are initi- sources (i.e., personnel and equipment) with
ated. If effective actions are not being taken the trustees, provided trustee activities do
to eliminate the threat, or if removal is not not interfere with response actions. The lead
being properly done, the OSC should, to the administrative trustee facilitates effective
extent practicable under the circumstances, and efficient communication between the
so advise the responsible party. If the re- OSC and the other trustees during response
sponsible party does not respond properly, operations and is responsible for applying to
the OSC shall take appropriate response ac- the OSC for non-monetary federal response
tions and should notify the responsible party resources on behalf of all trustees. The lead
of the potential liability for federal response administrative trustee is also responsible for
costs incurred by the OSC pursuant to the applying to the National Pollution Funds
OPA and CWA. Where practicable, con- Center for funding for initiation of damage
tinuing efforts should be made to encourage assessment for injuries to natural resources.
response by responsible parties.
5.3 Patterns of response.
(1) In carrying out a response under this
section, the OSC may: 5.3.1 Determinations to initiate response and
(A) Remove or arrange for the removal of special conditions.
a discharge, and mitigate or prevent a sub- (a) In accordance with the CWA, the Ad-
stantial threat of a discharge, at any time; ministrator of EPA or the Secretary of the
(B) Direct or monitor all federal, state, and department in which the USCG is operating,
private actions to remove a discharge; and as appropriate, is authorized to act for the
268
United States to take response measures 170) of the Atomic Energy Act are specifi-
deemed necessary to protect the public cally excluded from CERCLA and NCP re-
health or welfare or environment from dis- quirements.
charges of oil. (f) Removal actions involving nuclear
(b) The Administrator of EPA or the Sec- weapons should be conducted in accordance
retary of the department in which the USCG with the joint Department of Defense, De-
is operating, as appropriate, is authorized to partment of Energy, and FEMA Agreement
initiate and, in the case of a discharge posing for Response to Nuclear Incidents and Nu-
a substantial threat to public health or wel- clear Weapons Significant Incidents (Janu-
fare is required to initiate and direct, appro- ary 8, 1981).
priate response activities when the Adminis- (g) If the situation is beyond the capability
trator or Secretary determines that any oil of state and local governments and the stat-
is discharged or there is a substantial threat utory authority of federal agencies, the
of such discharge from any vessel or offshore President may, under the Disaster Relief Act
or onshore facility into or on the navigable of 1974, act upon a request by the Governor
waters of the United States, on the adjoining and declare a major disaster or emergency
shorelines to the navigable waters, into or and appoint a FCO to coordinate all federal
on the waters of the exclusive economic disaster assistance activities. In such cases,
zone, or that may affect natural resources the OSC would continue to carry out OSC re-
belonging to, appertaining to, or under ex- sponsibilities under the NCP, but would co-
clusive management authority of the United ordinate those activities with the FCO to en-
States. sure consistency with other federal disaster
(c) In addition to any actions taken by a assistance activities.
state or local government, the Adminis- (h) In the event of a declaration of a major
trator of EPA or the Secretary of the depart- disaster by the President, FEMA may acti-
ment in which the USCG is operating may vate the FRP. An FCO, designated by the
request the U.S. Attorney General to secure President, may implement the FRP and co-
the relief from any person, including the ordinate and direct emergency assistance
owner or operator of the vessel or facility and disaster relief of impacted individuals,
necessary to abate a threat or, after notice business, and public services under the Rob-
to the affected state, take any other action ert T. Stafford Disaster Relief Act. Delivery
authorized by section 311 of the CWA, includ- of federal assistance is facilitated through
ing issuing administrative orders, that may twelve functional annexes to the FRP known
be necessary to protect the public health or as ESFs. EPA coordinates activities under
welfare, if the Administrator or Secretary ESF #10—Hazardous Materials, which ad-
determines that there may be an imminent dresses preparedness and response to haz-
and substantial threat to the public health ardous materials and oil incidents caused by
or welfare or the environment of the United a natural disaster or other catastrophic
States, including fish, shellfish, and wildlife, event. In such cases, the OSC/RPM should
public and private property, shorelines, coordinate response activities with the FCO,
beaches, habitats, and other living and non- through the incident-specific ESF #10 Chair,
living natural resources under the jurisdic- to ensure consistency with federal disaster
tion or control of the United States, because assistance activities.
of an actual or threatened discharge of oil 5.3.2 General pattern of response. (a) When
from any vessel or offshore or onshore facil- the OSC receives a report of a discharge, ac-
ity into or upon the navigable waters of the tions normally should be taken in the fol-
United States. lowing sequence:
(d) Response actions to remove discharges (1) Investigate the report to determine per-
originating from operations conducted sub- tinent information such as the threat posed
ject to the Outer Continental Shelf Lands to public health or welfare or the environ-
Act shall be in accordance with the NCP. ment, the type and quantity of polluting ma-
(e) Where appropriate, when a discharge in- terial, and the source of the discharge.
volves radioactive materials, the lead or sup- (2) Officially classify the size (i.e., minor,
port federal agency shall act consistent with medium, major) and type (i.e., substantial
the notification and assistance procedures threat to the public health or welfare, worst
described in the appropriate Federal Radio- case discharge) of the discharge and deter-
logical Plan. For the purpose of the NCP, the mine the course of action to be followed to
Federal Radiological Emergency Response ensure effective and immediate removal,
Plan (FRERP) (50 FR 46542, November 8, 1985) mitigation, or prevention of the discharge.
is the appropriate plan. Most radiological Some discharges that are classified as a sub-
discharges and releases do not result in stantial threat to the public health or wel-
FRERP activation and should be handled in fare may be further classified as a spill of na-
accordance with the NCP. However, releases tional significance by the Administrator of
from nuclear incidents subject to require- EPA or the Commandant of the USCG. The
ments for financial protection established by appropriate course of action may be pre-
the Nuclear Regulatory Commission under scribed in 5.3.4, 5.3.5, and 5.3.6 of this appen-
the Price-Anderson amendments (section dix.
269
(A) When the reported discharge is an ac- the oil and mitigate its effects. The ACP
tual or potential major discharge, the OSC should be consulted for procedures to be fol-
shall immediately notify the RRT and the lowed for obtaining an expedited decision re-
NRC. garding the use of dispersants and other
(B) When the investigation shows that an products listed on the NCP Product Sched-
actual or potential medium discharge exists, ule.
the OSC shall recommend activation of the (b) As appropriate, actions shall be taken
RRT, if appropriate. to recover the oil or mitigate its effects. Of
(C) When the investigation shows that an the numerous chemical or physical methods
actual or potential minor discharge exists, that may be used, the chosen methods shall
the OSC shall monitor the situation to en- be the most consistent with protecting pub-
sure that proper removal action is being lic health and welfare and the environment.
taken. Sinking agents shall not be used.
(3) If the OSC determines that effective (c) Oil and contaminated materials recov-
and immediate removal, mitigation, or pre- ered in cleanup operations shall be disposed
vention of a discharge can be achieved by of in accordance with the RCP, ACP, and any
private party efforts, and where the dis- applicable laws, regulations, or require-
charge does not pose a substantial threat to ments. RRT and Area Committee guidelines
the public health or welfare, determine may identify the disposal options available
whether the responsible party or other per- during an oil spill response and may describe
son is properly carrying out removal. Re- what disposal requirements are mandatory
moval is being done properly when: or may not be waived by the OSC. ACP
(A) The responsible party is applying the guidelines should address: the sampling,
resources called for in its response plan to ef- testing, and classifying of recovered oil and
fectively and immediately remove, mini- oiled debris; the segregation and stockpiling
mize, or mitigate threat(s) to public health of recovered oil and oiled debris; prior state
and welfare and the environment; and disposal approvals and permits; and the
(B) The removal efforts are in accordance routes; methods (e.g. recycle/reuse, on-site
with applicable regulations, including the burning, incineration, landfilling, etc.); and
NCP. Even if the OSC supplements respon- sites for the disposal of collected oil, oiled
sible party resources with government re- debris, and animal carcasses; procedures for
sources, the spill response will not be consid- obtaining waivers, exemptions, or authoriza-
ered improper, unless specifically deter- tions associated with handling or trans-
mined by the OSC. porting waste materials. The ACPs may
(4) Where appropriate, determine whether a identify a hierachy of preferences for dis-
state or political subdivision thereof has the posal alternatives, with recycling (reprocess-
capability to carry out any or all removal ing) being the most preferred, and other al-
actions. If so, the OSC may arrange funding ternatives preferred based on priorities for
to support these actions. health or the environment.
(5) Ensure prompt notification of the trust- 5.3.4 Response to a substantial threat to the
ees of affected natural resources in accord- public health or welfare. (a) The OSC shall de-
ance with the applicable RCP and ACP. termine whether a discharge results in a sub-
(b) Removal shall be considered complete stantial threat to public health or welfare
when so determined by the OSC in consulta- (including, but not limited to, fish, shellfish,
tion with the Governor or Governors of the wildlife, other natural resources, the public
affected states. When the OSC considers re- and private beaches, and shorelines of the
moval complete, OSLTF removal funding United States). Factors to be considered by
shall end. This determination shall not pre- the OSC in making this determination in-
clude additional removal actions under ap- clude, but are not limited to, the size of the
plicable state law. discharge, the character of the discharge,
5.3.3 Containment, countermeasures, and and the nature of the threat to public health
cleanup. (a) Defensive actions shall begin as or welfare. Upon obtaining such information,
soon as possible to prevent, minimize, or the OSC shall conduct an evaluation of the
mitigate threat(s) to the public health or threat posed, based on the OSC’s experience
welfare or the environment. Actions may in- in assessing other discharges and consulta-
clude but are not limited to: analyzing water tion with senior lead agency officials and
samples to determine the source and spread readily available authorities on issues out-
of the oil; controlling the source of dis- side the OSC’s technical expertise.
charge; source and spread control or salvage (b) If the investigation by the OSC shows
operations; placement of physical barriers to that the discharge poses or may present a
deter the spread of the oil and to protect substantial threat to public health or wel-
natural resources and sensitive ecosystems; fare, the OSC shall direct all federal, state,
measuring and sampling; control of the or private actions to remove the discharge or
water discharged from upstream impound- to mitigate or prevent the threat of such a
ment; and the use of chemicals and other discharge, as appropriate. In directing the
materials in accordance with subpart J of response in such cases, the OSC may act
part 300 of the NCP to restrain the spread of without regard to any other provision of law
270
governing contracting procedures or employ- (2) Require, where applicable, implementa-
ment of personnel by the federal government tion of the worst case portion of an approved
to: tank vessel or facility response plan;
(1) Remove or arrange for the removal of (3) Implement the worst case portion of the
the discharge; ACP, if appropriate; and
(2) Mitigate or prevent the substantial (4) Take whatever additional response ac-
threat of the discharge; and tions are deemed appropriate.
(3) Remove and, if necessary, destroy a ves- (b) Under the direction of the OSC, the
sel discharging, or threatening to discharge, NSFCC shall coordinate use of private and
by whatever means are available. public personnel and equipment, including
(c) In the case of a substantial threat to strike teams, to remove a worst case dis-
the public health or welfare, the OSC shall: charge and mitigate or prevent a substantial
(1) Assess opportunities for the use of var- threat of such a discharge.
ious special teams and other assistance, in- 5.3.7 Multi-regional responses. (a) If a dis-
cluding the use of the services of the NSFCC, charge moves from the area covered by one
as appropriate; ACP or RCP into another area, the authority
(2) Request immediate activation of the for response actions should likewise shift. If
RRT; and a discharge affects areas covered by two or
(3) Take whatever additional response ac- more ACPs or RCPs, the response mecha-
tions are deemed appropriate, including but nisms of each applicable plan may be acti-
not limited to implementation of the ACP or vated. In this case, response actions of all re-
relevant tank vessel or facility response gions concerned shall be fully coordinated as
plan. detailed in the RCPs and ACPs.
(d) When requested by the OSC, the lead (b) There shall be only one OSC at any
agency or RRT shall dispatch appropriate time during the course of a response oper-
personnel to the scene of the discharge to as- ation. Should a discharge affect two or more
sist the OSC. This assistance may include areas, EPA, the USCG, DOD, DOE, or other
technical support in the agency’s areas of ex- lead agency, as appropriate, shall give prime
pertise and disseminating information to the consideration to the area vulnerable to the
public. The lead agency shall ensure that a greatest threat, in determining which agen-
contracting officer is available on scene, at cy should provide the OSC. The RRT shall
the request of the OSC. designate the OSC if the RRT member agen-
5.3.5 Enhanced activities during a spill of cies who have response authority within the
national significance. (a) A discharge may be affected areas are unable to agree on the des-
classified as an SONS by the Administrator ignation. The NRT shall designate the OSC if
of EPA for discharges occurring in the inland members of one RRT or two adjacent RRTs
zone and the Commandant of the USCG for are unable to agree on the designation.
discharges occurring in the coastal zone. 5.3.8 Worker health and safety. (a) Re-
(b) For an SONS in the inland zone, the sponse actions under the NCP shall comply
EPA Administrator may name a senior with the provisions for response action work-
Agency official to assist the OSC in: (1) Com- er safety and health in 29 CFR 1910.120. The
municating with affected parties and the national response system meets the require-
public; and (2) coordinating federal, state, ments of 29 CFR 1910.120 concerning use of an
local, and international resources at the na- incident command system.
tional level. This strategic coordination will (b) In a response action taken by a respon-
involve, as appropriate, the NRT, RRT(s), sible party, the responsible party must as-
the Governor(s) of affected state(s), and the sure that an occupational safety and health
mayor(s) or other chief executive(s) of local program consistent with 29 CFR 1910.120 is
government(s). made available for the protection of workers
(c) For an SONS in the coastal zone, the at the response site.
USCG Commandant may name a National (c) In a response taken under the NCP by a
Incident Commander (NIC) who will assume lead agency, an occupational safety and
the role of the OSC in: (1) Communicating health program should be made available for
with affected parties and the public; and (2) the protection of workers at the response
coordinating federal, state, local, and inter- site, consistent with, and to the extent re-
national resources at the national level. This quired by, 29 CFR 1910.120. Contracts relating
strategic coordination shall involve, as ap- to a response action under the NCP should
propriate, the NRT, RRT(s), the Governor(s) contain assurances that the contractor at
of affected state(s), and the mayor(s) or the response site will comply with this pro-
other chief executive(s) of local govern- gram and with any applicable provisions of
ment(s). the Occupational Safety and Health Act of
5.3.6 Response to worst case discharges. (a) 1970 (OSH Act) and state laws with plans ap-
If the investigation by the OSC shows that a proved under section 18 of the OSH Act.
discharge is a worst case discharge as defined (d) When a state, or political subdivision of
in the ACP, or there is a substantial threat a state, without an OSHA-approved state
of such a discharge, the OSC shall: plan is the lead agency for response, the
(1) Notify the NSFCC; state or political subdivision must comply
271
with standards in 40 CFR part 311, promul- to section 1006 of the OPA, are to take the
gated by the EPA pursuant to section 126(f) following actions:
of the Superfund Amendments and Reauthor- (1) In accordance with OPA section 1006(c),
ization Act of 1986 (SARA). determine the need for assessment of natural
(e) Requirements, standards, and regula- resource damages, collect data necessary for
tions of the OSH Act and of state OSH laws a potential damage assessment, and, where
not directly referenced in paragraphs (a) appropriate, assess damages to natural re-
through (d) of this section, must be complied sources under their trusteeship; and
with where applicable. Federal OSH Act re- (2) As appropriate, and subject to the pub-
quirements include, among other things, lic participation requirements of OPA sec-
Construction Standards (29 CFR part 1926), tion 1006(c), develop and implement a plan
General Industry Standards (29 CFR part for the restoration, rehabilitation, replace-
1910), and the general duty requirement of ment, or acquisition of the equivalent, of the
section 5(a)(1) of the OSH Act (29 U.S.C. natural resources under their trusteeship.
654(a)(1)). No action by the lead agency with (c)(1) The trustees, consistent with proce-
respect to response activities under the NCP dures specified in the Fish and Wildlife and
constitutes an exercise of statutory author- Sensitive Environments Annex to the Area
ity within the meaning of section 4(b)(1) of Contingency Plan, shall provide timely ad-
the OSH Act. All governmental agencies and vice on recommended actions concerning
private employers are directly responsible trustee resources that are potentially af-
for the health and safety of their own em- fected by a discharge of oil. This may in-
ployees. clude providing assistance to the OSC in
identifying/recommending pre-approved re-
5.4 Disposal sponse techniques and in predesignating
Oil recovered in cleanup operations shall shoreline types and areas in ACPs.
be disposed of in accordance with the RCP, (2) The trustees shall assure, through the
ACP, and any applicable laws, regulations, lead administrative trustee, that the OSC is
or requirements. RRT and ACP guidelines informed of their activities regarding nat-
may identify the disposal plans to be fol- ural resource damage assessment that may
lowed during an oil spill response and may affect response operations in order to assure
address: the sampling, testing, and coordination and minimize any interference
classifying of recovered oil and oiled debris; with such operations. The trustees shall as-
the segregation and stockpiling of recovered sure, through the lead administrative trust-
oil and oiled debris; prior state disposal ap- ee, that all data from the natural resource
provals and permits; and the routes; methods damage assessment activities that may sup-
(e.g., recycle/reuse, on-site burning, inciner- port more effective operational decisions are
ation, landfilling, etc.); and sites for the dis- provided in a timely manner to the OSC.
posal of collected oil, oiled debris, and ani- (3) The OSC deploys federal response re-
mal carcasses. sources, including but not limited to air-
craft, vessels, and booms to contain and re-
5.5 Natural Resource Trustees move discharged oil. When circumstances
5.5.1 Damage assessment. (a) Upon notifica- permit, the OSC shall share the use of fed-
tion or discovery of injury to, destruction of, eral response resources with the trustees,
loss of, or threat to natural resources, trust- providing trustee activities do not interfere
ees may, pursuant to section 1006 of the OPA, with response actions. The lead administra-
take the following actions as appropriate: tive trustee facilitates effective and efficient
(1) Conduct a preliminary survey of the communication between the OSC and the
area affected by the discharge to determine other trustees during response operations
if trust resources under their jurisdiction and is responsible for applying to the OSC
are, or potentially may be, affected; for non-monetary federal response resources
(2) Cooperate with the OSC in coordinating on behalf of all trustees. The lead adminis-
assessments, investigations, and planning; trative trustee is also responsible for apply-
(3) Carry out damage assessments; or ing to the National Pollution Funds Center
(4) Devise and carry out a plan for restora- for funding for initiation of damage assess-
tion, rehabilitation, replacement, or acquisi- ment for injuries to natural resources.
tion of equivalent natural resources. In as- (d) The authority of federal trustees in-
sessing damages to natural resources, the cludes, but is not limited to the following ac-
federal, state, and Indian tribe trustees have tions:
the option of following the procedures for (1) Requesting that the Attorney General
natural resource damage assessments lo- seek compensation from the responsible par-
cated at 43 CFR part 11. ties for the damages assessed and for the
(b) Upon notification or discovery of injury costs of an assessment and of restoration
to, destruction of, loss of, or loss of use of, planning;
natural resources, or the potential for such, (2) Participating in negotiations between
resulting from a discharge of oil occurring the United States and potentially respon-
after August 18, 1990, the trustees, pursuant sible parties (PRPs) to obtain PRP-financed
272
or PRP-conducted assessments and restora- concerns are considered throughout a re-
tions for injured resources or protection for sponse. They should coordinate with avail-
threatened resources and to agree to cov- able public affairs/community relations re-
enants not to sue, where appropriate; and sources to carry out this responsibility by
(3) Initiating damage assessments, as pro- establishing, as appropriate, a Joint Infor-
vided in OPA section 6002. mation Center bringing together resources
(e) Actions which may be taken by any from federal and state agencies and the re-
trustee pursuant to section 311(f)(5) of the sponsible party.
CWA or section 1006 of the OPA include, but (b) An on-scene news office may be estab-
are not limited to, any of the following: lished to coordinate media relations and to
(1) Requesting that an authorized agency issue official federal information on an inci-
issue an administrative order or pursue in- dent. Whenever possible, it will be headed by
junctive relief against the parties respon- a representative of the lead agency. The OSC
sible for the discharge; or determines the location of the on-scene news
(2) Requesting that the lead agency re- office, but every effort should be made to lo-
move, or arrange for the removal of any oil cate it near the scene of the incident. If a
from a contaminated medium pursuant to participating agency believes public interest
section 311 of the CWA. warrants the issuance of statements and an
5.5.2 Lead administrative trustee. The lead on-scene news office has not been estab-
administrative trustee is a natural resource lished, the affected agency should rec-
trustee who is designated on an incident-by- ommend its establishment. All federal news
incident basis and chosen by the other trust- releases or statements by participating agen-
ees whose natural resources are affected by cies should be cleared through the OSC. In-
the incident. The lead administrative trustee formation dissemination relating to natural
facilitates effective and efficient commu- resource damage assessment activities shall
nication between the OSC and the other be coordinated through the lead administra-
trustees during response operations and is tive trustee. The designated lead administra-
responsible for applying to the OSC for non- tive trustee may assist the OSC by dissemi-
monetary federal response resources on be- nating information on issues relating to
half of all trustees. The lead administrative damage assessment activities. Following ter-
trustee is also responsible for applying to the mination of the removal activity, informa-
National Pollution Funds Center for funding tion dissemination on damage assessment
for initiation of damage assessment for inju- activities shall be through the lead adminis-
ries to natural resources. trative trustee.
5.5.3 OSC coordination. (a) The OSC shall 5.5.5 Responsibilities of trustees. (a) Where
ensure that the natural resource trustees are there are multiple trustees, because of coex-
promptly notified in the event of any dis- isting or contiguous natural resources or
charge of oil, to the maximum extent prac- concurrent jurisdictions, they should coordi-
ticable, as provided in the Fish and Wildlife nate and cooperate in carrying out these re-
and Sensitive Environments Plan annex to sponsibilities.
the ACP for the area in which the discharge (b) Trustees are responsible for designating
occurs. The OSC and the trustees shall co- to the RRTs and the Area Committees, for
ordinate assessments, evaluations, investiga- inclusion in the RCP and the ACP, appro-
tions, and planning with respect to appropriate contacts to receive notifications from
priate removal actions. The OSC shall con- the OSCs of discharges.
sult with the affected trustees on the appro- (c)(1) Upon notification or discovery of in-
priate removal action to be taken. jury to, destruction of, loss of, or threat to
(b) The trustees will provide timely advice natural resources, trustees may, pursuant to
concerning recommended actions with re- section 311(f)(5) of the CWA, take the fol-
gard to trustee resources that are poten- lowing or other actions as appropriate:
tially affected. This may include providing (A) Conduct a preliminary survey of the
assistance to the OSC in identifying/recom- area affected by the discharge or release to
mending pre-approved response techniques, determine if trust resources under their ju-
and in predesignating shoreline types and risdiction are, or potentially may be, af-
areas in ACPs. fected;
(c) The trustees also will assure that the (B) Cooperate with the OSC in coordi-
OSC is informed of their activities regarding nating assessments, investigations, and plan-
natural resource damage assessment that ning;
may affect response operations. (C) Carry out damage assessments; or
5.5.4 Dissemination of information. (a) When (D) Devise and carry out a plan for restora-
an incident occurs, it is imperative to give tion, rehabilitation, replacement, or acquisi-
the public prompt, accurate information on tion of equivalent natural resources. In as-
the nature of the incident and the actions sessing damages to natural resources, the
underway to mitigate the damage. OSCs and federal, state, and Indian tribe trustees have
community relations personnel should en- the option of following the procedures for
sure that all appropriate public and private natural resource damage assessments lo-
interests are kept informed and that their cated at 43 CFR part 11.
273
(2) Upon notification or discovery of injury (2) Initiating damage assessments, as pro-
to, destruction of, loss of, or loss of use of, vided in OPA section 6002.
natural resources, or the potential for such, (e) Actions which may be taken by any
resulting from a discharge of oil occurring trustee pursuant to section 1006 of the OPA
after August 18, 1990, the trustees, pursuant include, but are not limited to, any of the
to section 1006 of the OPA, are to take the following:
following actions: (1) Requesting that an authorized agency
(A) In accordance with OPA section 1006(c), issue an administrative order or pursue in-
determine the need for assessment of natural junctive relief against the parties respon-
resource damages, collect data necessary for sible for the discharge or release; or
a potential damage assessment, and, where (2) Requesting that the lead agency re-
appropriate, assess damages to natural remove, or arrange for the removal of, or pro-
sources under their trusteeship; and vide for remedial action with respect to, any
(B) As appropriate, and subject to the pub- oil from a contaminated medium pursuant to
lic participation requirements of OPA sec- section 311 of CWA.
tion 1006(c), develop and implement a plan
for the restoration, rehabilitation, replace- 5.6 Oil spill liability trust fund.
ment, or acquisition of the equivalent, of the 5.6.1 Funding. (a) The OSLTF is available
natural resources under their trusteeship; under certain circumstances to fund removal
(3)(A) The trustees, consistent with proce- of oil performed under section 311 of the
dures specified in the Fish and Wildlife and CWA. Those circumstances and the proce-
Sensitive Environments Annex to the Area dures for accessing the OSLTF are described
Contingency Plan, shall provide timely ad- in 33 CFR subchapter M. The responsible
vice on recommended actions concerning party is liable for costs of federal removal
trustee resources that are potentially af- and damages in accordance with section
fected by a discharge of oil. This may in- 311(f) of the CWA, section 1002 of the OPA,
clude providing assistance to the OSC in and other federal laws.
identifying/recommending pre-approved re- (b) Response actions other than removal,
sponse techniques and in predesignating such as scientific investigations not in sup-
shoreline types and areas in ACPs. port of removal actions or law enforcement,
(B) The trustees shall assure, through the shall be provided by the agency with legal
lead administrative trustee, that the OSC is responsibility for those specific actions.
informed of their activities regarding nat- (c) The funding of a response to a discharge
ural resource damage assessment that may from a federally owned, operated, or super-
affect response operations in order to assure vised facility or vessel is the responsibility
coordination and minimize any interference of the owning, operating, or supervising
with such operations. The trustees shall as- agency if it is a responsible party.
sure, through the lead administrative trust- (d) The following agencies have funds
ee, that all data from the natural resource available for certain discharge removal ac-
damage assessment activities that may sup- tions:
port more effective operational decisions are (1) DOD has two specific sources of funds
provided in a timely manner to the OSC. that may be applicable to an oil discharge
(C) When circumstances permit, the OSC under appropriate circumstances. This does
shall share the use of federal response re- not consider military resources that might
sources (including but not limited to air- be made available under specific conditions.
craft, vessels, and booms to contain and re- (i) Funds required for removal of a sunken
move discharged oil) with the trustees, pro- vessel or similar obstruction of navigation
viding trustee activities do not interfere are available to the Corps of Engineers
with response actions. The lead administra- through Civil Works Appropriations, Oper-
tive trustee facilitates effective and efficient ations and Maintenance, General.
communication between the OSC and the (ii) The U.S. Navy (USN) may conduct sal-
other trustees during response operations vage operations contingent on defense oper-
and is responsible for applying to the OSC ational commitments, when funded by the
for non-monetary federal response resources requesting agency. Such funding may be re-
on behalf of all trustees. The lead adminis- quested on a direct cite basis.
trative trustee also is responsible for apply- (2) Pursuant to Title I of the OPA, the
ing to the National Pollution Funds Center state or states affected by a discharge of oil
for funding for initiation of damage assess- may act where necessary to remove such dis-
ment for injuries to natural resources. charge. Pursuant to 33 CFR subchapter M,
(d) The authority of federal trustees in- states may be reimbursed from the OSLTF
cludes, but is not limited to the following ac- for the reasonable costs incurred in such a
tions: removal.
(1) Requesting that the Attorney General 5.6.2 Claims. (a) Claims are authorized to
seek compensation from the responsible par- be presented to the OSLTF under section
ties for the damages assessed and for the 1013 of the OPA of 1990, for certain uncom-
costs of an assessment and of restoration pensated removal costs or uncompensated

planning; and damages resulting from the discharge, or
274
substantial threat of discharge, of oil from a ority. All efforts must be focused on saving
vessel or facility into or upon the navigable a vessel that has been involved in a ground-
waters, adjoining shorelines, or exclusive ing, collision, fire, or explosion, so that it
economic zone of the United States. does not compound the problem. Comparable
(b) Anyone desiring to file a claim against measures should be taken to stabilize a situ-
the OSLTF may obtain general information ation involving a facility, pipeline, or other
on the procedure for filing a claim from the source of pollution. Stabilizing the situation
Director, National Pollution Funds Center, includes securing the source of the spill and/
Suite 1000, 4200 Wilson Boulevard, Arlington, or removing the remaining oil from the con-
Virginia, 22203–1804, (703) 235–4756. tainer (vessel, tank, or pipeline) to prevent
additional oil spillage, to reduce the need for
5.7 Documentation and Cost Recovery. follow-up response action, and to minimize
(a) All OSLTF users need to collect and adverse impact to the environment.
maintain documentation to support all ac- (c) The response must use all necessary
tions taken under the CWA. In general, docu- containment and removal tactics in a coordi-
mentation shall be sufficient to support full nated manner to ensure a timely, effective
cost recovery for resources utilized and shall response that minimizes adverse impact to
identify the source and circumstances of the the environment.
(d) All parts of this national response
incident, the responsible party or parties,
strategy should be addressed concurrently,
and impacts and potential impacts to public
but safety and stabilization are the highest
health and welfare and the environment.
priorities. The OSC should not delay con-
Documentation procedures are contained in
tainment and removal decisions unneces-
33 CFR subchapter M.
sarily and should take actions to minimize
(b) When appropriate, documentation shall
adverse impact to the environment that
also be collected for scientific understanding
begin as soon as a discharge occurs, as well
of the environment and for research and de-
as actions to minimize further adverse envi-
velopment of improved response methods
ronmental impact from additional dis-
and technology. Funding for these actions is charges.
restricted by section 6002 of the OPA. (e) The priorities set forth in this section
(c) As requested by the NRT or RRT, the are broad in nature, and should not be inter-
OSC shall submit to the NRT or RRT a com- preted to preclude the consideration of other
plete report on the removal operation and priorities that may arise on a site-specific
the actions taken. The OSC report shall basis.
record the situation as it developed, the ac-
tions taken, the resources committed, and 6.0 Response coordination
the problems encountered. The RRT shall re-
view the OSC report with its comments or 6.1 Nongovernmental participation. (a) In-
dustry groups, academic organizations, and
recommendations within 30 days after the
others are encouraged to commit resources
RRT has received the OSC report.
for response operations. Specific commit-
(d) OSCs shall ensure the necessary collec-
ments should be listed in the RCP and ACP.
tion and safeguarding of information, sam-
Those entities required to develop tank ves-
ples, and reports. Samples and information
sel and facility response plans under CWA
shall be gathered expeditiously during the
section 311(j) must be able to respond to a
response to ensure an accurate record of the
worst case discharge to the maximum extent
impacts incurred. Documentation materials
practicable, and should commit sufficient re-
shall be made available to the trustees of af-
sources to implement other aspects of those
fected natural resources. The OSC shall
plans.
make available to the trustees of affected (b) The technical and scientific informa-
natural resources information and docu- tion generated by the local community,
mentation in the OSC’s possession that can along with information from federal, state,
assist the trustees in the determination of and local governments, should be used to as-
actual or potential natural resource injuries. sist the OSC in devising response strategies
(e) Information and reports obtained by where effective standard techniques are un-
the EPA or USCG OSC shall be transmitted available. Such information and strategies
to the appropriate offices responsible for fol- will be incorporated into the ACP, as appro-
low-up actions. priate. The SSC may act as liaison between
5.8 National response priorities the OSC and such interested organizations.
(c) ACPs shall establish procedures to
(a) Safety of human life must be given the allow for well organized, worthwhile, and
top priority during every response action. safe use of volunteers, including compliance
This includes any search and rescue efforts with requirements regarding worker health
in the general proximity of the discharge and and safety. ACPs should provide for the di-
the insurance of safety of response per- rection of volunteers by the OSC or by other
sonnel. federal, state, or local officials knowledge-
(b) Stabilizing the situation to preclude able in contingency operations and capable
the event from worsening is the next pri- of providing leadership. ACPs also should
275
identify specific areas in which volunteers retary’s trusteeship include the following
can be used, such as beach surveillance, natural resources and their supporting eco-
logistical support, and bird and wildlife systems: migratory birds; anadromous fish;
treatment. Unless specifically requested by endangered species and marine mammals;
the OSC, volunteers generally should not be federally owned minerals; and certain feder-
used for physical removal or remedial activi- ally managed water resources. The Secretary
ties. If, in the judgment of the OSC, dan- of the Interior shall also be trustee for those
gerous conditions exist, volunteers shall be natural resources for which an Indian tribe
restricted from on-scene operations. would otherwise act as trustee in those cases
(d) Nongovernmental participation must where the United States acts on behalf of the
be in compliance with the requirements of Indian tribe.
subpart H of the NCP if any recovery of costs (3) Secretary for the land managing agen-
will be sought. cy. For natural resources located on, over, or
under land administered by the United
6.2 Natural resource trustees. States, the trustee shall be the head of the
6.2.1 Federal agencies. (a) The President is department in which the land managing
required to designate in the NCP those fed- agency is found. The trustees for the prin-
eral officials who are to act on behalf of the cipal federal land managing agencies are the
public as trustees for natural resources. Secretaries of DOI, USDA, DOD, and DOE.
These designated federal officials shall act (4) Head of Authorized Agencies. For nat-
pursuant to section 1006 of the OPA. ‘‘Nat- ural resources located within the United
ural resources’’ means land, fish, wildlife, States but not otherwise described in this
biota, air, water, ground water, drinking section, the trustee is the head of the federal
water supplies, and other such resources be- agency or agencies authorized to manage or
longing to, managed by, held in trust by, ap- control those resources.
pertaining to, or otherwise controlled (here- 6.2.2 State. (a) State trustees shall act on
inafter referred to as ‘‘managed or con- behalf of the public as trustees for natural
trolled’’) by the United States, including the resources, including their supporting eco-
resources of the exclusive economic zone. systems, within the boundary of a state or
(b) The following individuals shall be the belonging to, managed by, controlled by, or
designated trustee(s) for general categories appertaining to such state. For the purposes
of natural resources, including their sup- of section 6.1, the definition of the term
porting ecosystems. They are authorized to ‘‘state’’ does not include Indian tribes.
act pursuant to section 1006 of the OPA when (b) The Governor of a state is encouraged
there is injury to, destruction of, loss of, or to designate a lead state trustee to coordi-
threat to natural resources, including their nate all state trustee responsibilities with
supporting ecosystems as a result of a dis- other trustee agencies and with response ac-
charge of oil. Notwithstanding the other des- tivities of the RRT and OSC. The state’s lead
ignations in this section, the Secretaries of trustee would designate a representative to
Commerce and the Interior shall act as serve as a contact with the OSC. This indi-
trustees of those resources subject to their vidual should have ready access to appro-
respective management or control. priate state officials with environmental
(1) The Secretary of Commerce shall act as protection, emergency response, and natural
trustee for natural resources managed or resource responsibilities. The EPA Adminis-
controlled by DOC and for natural resources trator or USCG Commandant or their des-
managed or controlled by other federal agen- ignees may appoint the lead state trustee as
cies and that are found in, under, or using a member of the Area Committee. Response
waters navigable by deep draft vessels, strategies should be coordinated between the
tidally influenced waters or waters of the state and other trustees and the OSC for spe-
contiguous zone, the exclusive economic cific natural resource locations in an inland
zone, and the outer continental shelf. How- or coastal zone, and should be included in
ever, before the Secretary takes an action the Fish and Wildlife and Sensitive Environ-
with respect to an affected resource under ments Plan annex of the ACP.
the management or control of another fed- 6.2.3 Indian tribes. The tribal chairmen (or
eral agency, he shall, whenever practicable, heads of the governing bodies) of Indian
seek to obtain concurrence of that other fed- tribes, as defined in section 1.5, or a person
eral agency. Examples of the Secretary’s designated by the tribal officials, shall act
trusteeship include the following natural re- on behalf of the Indian tribes as trustees for
sources and their supporting ecosystems: the natural resources, including their sup-
marine fishery resources; anadromous fish; porting ecosystems, belonging to, managed
endangered species and marine mammals; by, controlled by, or appertaining to such In-
and the resources of National Marine Sanc- dian tribe, or held in trust for the benefit of
tuaries and National Estuarine Research Re- such Indian tribe, or belonging to a member
serves. of such Indian tribe, if such resources are
(2) The Secretary of the Interior shall act subject to a trust restriction on alienation.
as trustee for natural resources managed or When the tribal chairman or head of the
controlled by DOI. Examples of the Sec- tribal governing body designates another
276
person as trustee, the tribal chairman or rine, coastal, and inland waters, and tide and
head of the tribal governing body shall no- circulation data for coastal and territorial
tify the President of such designation. waters and for the Great Lakes. In addition
6.2.4 Foreign trustees. Pursuant to section to this expertise, NOAA provides SSCs in the
1006 of the OPA, foreign trustees shall act on coastal zone, as described under section 3.3.3
behalf of the head of a foreign government as of this appendix, Special teams.
trustees for natural resources belonging to, 6.4.2 Department of Justice. The DOJ can
managed by, controlled by, or appertaining provide expert advice on complicated legal
to such foreign government. questions arising from discharges, and fed-
eral agency responses. In addition, the DOJ
6.3 Federal agencies. represents the federal government, including
(a) Federal agencies listed in this appendix its agencies, in litigation relating to such
have duties established by statute, executive discharges. Other legal issues or questions
order, or Presidential directive which may shall be directed to the federal agency coun-
apply to federal response actions following, sel for the agency providing the OSC for the
or in prevention of, the discharge of oil. response.
Some of these agencies also have duties re- 6.4.3 Department of Defense. The DOD has
responsibility to take all action necessary
lating to the restoration, rehabilitation, re-
with respect to discharges where either the
placement, or acquisition of equivalent nat-
discharge is on, or the sole source of a dis-
ural resources injured or lost as a result of
charge is from, any facility or vessel under
such discharge. The NRT, RRT, and Area
the jurisdiction, custody, or control of DOD.
Committee organizational structure, and the
In addition to those capabilities provided by
NCP, RCPs, and ACPs provide for agencies to
SUPSALV, DOD may also, consistent with
coordinate with each other in carrying out
its operational requirements and upon re-
these duties.
quest of the OSC, provide locally deployed
(b) Federal agencies may be called upon by
USN oil spill response equipment and pro-
an OSC during response planning and imple-
vide assistance to other federal agencies
mentation to provide assistance in their re- upon request. The following two branches of
spective areas of expertise, consistent with DOD have particularly relevant expertise:
the agencies’ capabilities and authorities. (a) The United States Army Corps of Engi-
(c) In addition to their general responsibil- neers has specialized equipment and per-
ities, federal agencies should: sonnel for maintaining navigation channels,
(1) Make necessary information available for removing navigation obstructions, for ac-
to the Secretary of the NRT, RRTs, Area complishing structural repairs, and for per-
Committees, and OSCs; forming maintenance to hydropower electric
(2) Provide representatives to the NRT and generating equipment. The Corps can also
RRTs and otherwise assist RRTs and OSCs, provide design services, perform construc-
as necessary, in formulating RCPs and ACPs; tion, and provide contract writing and con-
and tract administrative services for other fed-
(3) Inform the NRT, RRTs, and Area Com- eral agencies.
mittees consistent with national security (b) The U.S. Navy Supervisor of Salvage
considerations, of changes in the availability (SUPSLAV) is the branch of the service
of resources that would affect the operations within DOD most knowledgeable and experi-
implemented under the NCP. enced in ship salvage, shipboard damage con-
(d) All federal agencies must report dis- trol, and diving. The USN has an extensive
charges of oil, as required in 40 CFR part 110, array of specialized equipment and personnel
from vessels or facilities under their juris- available for use in these areas as well as
diction or control to the NRC. specialized containment, collection, and re-
moval equipment specifically designed for
6.4 Other Federal agencies.
salvage-related and open-sea pollution inci-
6.4.1 Department of Commerce. (a) The DOC, dents.
through NOAA, provides scientific support 6.4.4 Department of Health and Human Serv-
for response and contingency planning in ices. (a) The HHS assists with the assess-
coastal and marine areas, including assessment, preservation, and protection of human
ments of the hazards that may be involved, health and helps ensure the availability of
predictions of movement and dispersion of essential human services. HHS provides tech-
oil through trajectory modeling, and infor- nical and nontechnical assistance in the
mation on the sensitivity of coastal environ- form of advice, guidance, and resources to
ments to oil and associated cleanup and other federal agencies as well as state and
mitigation methods; provides expertise on local governments.
living marine resources and their habitats, (b) The principal HHS response comes from
including endangered species, marine mam- the U.S. Public Health Service and is coordi-
mals and National Marine Sanctuary eco- nated from the Office of the Assistant Sec-
systems; and provides information on actual retary for Health, and various Public Health
and predicted meteorological, hydrological, Service regional offices. Within the Public
ice, and oceanographic conditions for ma- Health Service, the primary response to a
277
hazardous materials emergency comes from fish hatcheries, the public lands, and certain
the Agency for Toxic Substances and Disease water projects in western states. In addition,
Registry (ATSDR) and the Centers for Dis- bureaus and offices have relevant expertise
ease Control (CDC). Both ATSDR and CDC as follows:
have a 24-hour emergency response capa- (a) United States Fish and Wildlife Service
bility wherein scientific and technical per- and other Bureaus: Anadromous and certain
sonnel are available to provide technical as- other fishes and wildlife, including endan-
sistance to the lead federal agency and state gered and threatened species, migratory
and local response agencies on human health birds, and certain marine mammals; waters
threat assessment and analysis, and expo- and wetlands; and effects on natural re-
sure prevention and mitigation. Such assist- sources.
ance is used for situations requiring evacu- (b) The National Biological Survey per-
ation of affected areas, human exposure to forms research in support of biological re-
hazardous materials, and technical advice on source management; inventories, monitors,
mitigation and prevention. CDC takes the and reports on the status and trends in the
lead during petroleum releases regulated Nation’s biotic resources; and transfers the
under the CWA and OPA while ATSDR takes information gained in research and moni-
the lead during chemical releases under toring to resource managers and others con-
CERCLA. Both agencies are mutually sup- cerned with the care, use, and conservation
portive. of the Nation’s natural resources. The Na-
(c) Other Public Health Service agencies tional Biological Survey has laboratory/re-
involved in support during hazardous mate- search facilities.
rials incidents either directly or through (c) Geological Survey: Geology, hydrology
ATSDR/CDC include the Food and Drug Ad- (ground water and surface water), and nat-
ministration, the Health Resources and ural hazards.
Services Administration, the Indian Health (d) Bureau of Land Management: Minerals,
Service, and the National Institutes of soils, vegetation, wildlife, habitat, archae-
Health. ology, and wilderness.
(d) Statutory authority for HHS/National (e) Minerals Management Service: Over-
Institutes for Environmental Health sight of offshore oil and gas exploration and
Sciences (NIEHS) involvement in hazardous production facilities and associated pipeline
materials accident prevention is non-regu- facilities under the Outer Continental Shelf
latory in nature and focused on two primary Lands Act and the CWA; oil spill response
areas for preventing community and worker technology research; and establishing oil dis-
exposure to hazardous materials releases: (1) charge contingency planning requirements
worker safety training and (2) basic research for offshore facilities.
activities. Under section 126 of the SARA, (f) Bureau of Mines: Analysis and identi-
NIEHS is given statutory authority for sup- fication of inorganic hazardous substances
porting development of curricula and model and technical expertise in metals and metal-
training programs for waste workers and lurgy relevant to site cleanup.
chemical emergency responders. Under sec- (g) Office of Surface Mining: Coal mine
tion 118(b) of the Hazardous Materials Trans- wastes and land reclamation.
portation and Uniform Safety Act, NIEHS (h) National Park Service: General biologi-
also administers the Hazmat Employee cal, natural, and cultural resource managers
Training Program to prepare curricula and to evaluate, measure, monitor, and contain
training for hazardous materials transpor- threats to park system lands and resources;
tation workers. In the basic research arena, archaeological and historical expertise in
NIEHS is authorized under section 311 of protection, preservation, evaluation, impact
SARA to conduct a hazardous substance mitigation, and restoration of cultural re-
basic research and training program to sources; emergency personnel.
evaluate toxic effects and assess human (i) Bureau of Reclamation: Operation and
health risks from accidental releases of haz- maintenance of water projects in the West;
ardous materials. Under Title IX, section engineering and hydrology; and reservoirs.
901(h) of the Clean Air Act Amendments, (j) Bureau of Indian Affairs: Coordination
NIEHS also is authorized to conduct basic of activities affecting Indian lands; assist-
research on air pollutants, as well as train ance in identifying Indian tribal government
physicians in environmental health. Federal officials.
research and training in hazardous materials (k) Office of Territorial Affairs: Assistance
release prevention represents an important in implementing the NCP in American
non-regulatory activity and supplements on- Somoa, Guam, the Pacific Island Govern-
going private sector programs. ments, the Northern Mariana Islands, and
6.4.5 Department of the Interior. The DOI the Virgin Islands.
may be contacted through Regional Environ- 6.4.6 Department of Justice. The DOJ can
mental Officers, who are the designated provide expert advice on complicated legal
members of RRTs. Department land man- questions arising from discharges, and fed-
agers have jurisdiction over the national eral agency responses. In addition, the DOJ
park system, national wildlife refuges and represents the federal government, including
278
its agencies, in litigation relating to such rect contact with the appropriate DOE Radi-
discharges. Other legal issues or questions ological Assistance Program Regional Office.
shall be directed to the federal agency coun- 6.4.10 Department of State. The DOS will
sel for the agency providing the OSC for the lead in the development of international
response. joint contingency plans. It will also help to
6.4.7 Department of Labor. The DOL, coordinate an international response when
through OSHA and the states operating discharges or releases cross international
plans approved under section 18 of the OSH boundaries or involve foreign flag vessels.
Act, has authority to conduct safety and Additionally, DOS will coordinate requests
health inspections of hazardous waste sites for assistance from foreign governments and
to assure that employees are being protected U.S. proposals for conducting research at in-
and to determine if the site is in compliance cidents that occur in waters of other coun-
with: tries.
(a) Safety and health standards and regula- 6.4.11 General Services Administration. The
tions promulgated by OSHA (or the states) GSA provides logistic and telecommuni-
in accordance with section 126 of SARA and cations support to federal agencies. During
all other applicable standards; and an emergency situation, GSA quickly re-
sponds to aid state and local governments as
(b) Regulations promulgated under the
directed by other Federal Agencies. The type
OSH Act and its general duty clause. OSHA
of support provided might include leasing
inspections may be self-generated, con-
and furnishing office space, setting up tele-
sistent with its program operations and ob-
communications and transportation services,
jectives, or may be conducted in response to
and advisory assistance.
requests from EPA or another lead agency,
6.4.12 Department of Transportation. DOT
or in response to accidents or employee com-
provides response expertise pertaining to
plaints. On request, OSHA shall provide ad- transportation of oil by all modes of trans-
vice and consultation to EPA and other NRT/ portation. DOT, through RSPA, establishes
RRT agencies as well as to the OSC regard- oil discharge contingency planning require-
ing hazards to persons engaged in response ments for pipelines, transport by rail and
activities. OSHA may also take any other containers or bulk transport of oil.
action necessary to assure that employees
are properly protected at such response ac- 6.5 States and local participation in
tivities. Any questions about occupational response.
safety and health at these sites may be re-
ferred to the OSHA Regional Office. (a) Each state Governor is requested to
designate one state office/representative to
6.4.8 Federal Emergency Management Agen-
represent the state on the appropriate RRT.
cy. FEMA provides guidance, policy and pro-
The state’s office/representative may partici-
gram advice, and technical assistance in haz-
pate fully in all activities of the appropriate
ardous materials, chemical, and radiological RRT. Each state Governor is also requested
emergency preparedness activities (including to designate a lead state agency that shall
planning, training, and exercising). FEMA’s direct state-lead response operations. This
primary point of contact for administering agency is responsible for designating the
financial and technical assistance to state OSC for state-lead response actions, and co-
and local governments to support their ef- ordinating/communicating with any other
forts to develop and maintain an effective state agencies, as appropriate. Local govern-
emergency management and response capa- ments are invited to participate in activities
bility is the Preparedness, Training, and Ex- on the appropriate RRT as may be provided
ercises Directorate. by state law or arranged by the state’s rep-
6.4.9 Department of Energy. The DOE gen- resentative. Indian tribes wishing to partici-
erally provides designated OSCs that are re- pate should assign one person or office to
sponsible for taking all response actions represent the tribal government on the ap-
with respect to releases where either the re- propriate RRT.
lease is on, or the sole source of the release (b) Appropriate state and local officials
is from, any facility or vessel under its juris- (including Indian tribes) shall participate as
diction, custody, or control, including ves- part of the response structure as provided in
sels bareboat-chartered and operated. In ad- the ACP.
dition, under the FRERP, DOE provides ad- (c) In addition to meeting the require-
vice and assistance to other OSCs/RPMs for ments for local emergency plans under
emergency actions essential for the control SARA section 303, state and local govern-
of immediate radiological hazards. Incidents ment agencies are encouraged to include
that qualify for DOE radiological advice and contingency planning for responses, con-
assistance are those believed to involve sistent with the NCP, RCP, and ACP in all
source, by-product, or special nuclear mate- emergency and disaster planning.
rial or other ionizing radiation sources, in- (d) For facilities not addressed under the
cluding radium, and other naturally occur- CWA for oil discharges, states are encour-
ring radionuclides, as well as particle accel- aged to undertake response actions them-
erators. Assistance is available through di- selves or to use their authorities to compel
279
Pt. 302 40 CFR Ch. I (7–1–08 Edition)
potentially responsible parties to undertake Administrator means the Adminis-
response actions. trator of the United States Environ-
(e) Because state and local public safety mental Protection Agency (‘‘EPA’’);
organizations would normally be the first
government representatives at the scene of a Consumer product shall have the
discharge or release, they are expected to meaning stated in 15 U.S.C. 2052;
initiate public safety measures that are nec- Environment means (1) the navigable
essary to protect the public health and wel- waters, the waters of the contiguous
fare and that are consistent with contain- zone, and the ocean waters of which
ment and cleanup requirements in the NCP,
the natural resources are under the ex-
and are responsible for directing evacuations
pursuant to existing state or local proce- clusive management authority of the
dures. United States under the Fishery Con-
servation and Management Act of 1976,
[59 FR 47473, Sept. 15, 1994]
and (2) any other surface water, ground
water, drinking water supply, land sur-
PART 302—DESIGNATION, REPORT- face or subsurface strata, or ambient
ABLE QUANTITIES, AND NOTIFI- air within the United States or under
CATION the jurisdiction of the United States;
Facility means (1) any building, struc-
Sec. ture, installation, equipment, pipe or
302.1 Applicability. pipeline (including any pipe into a
302.2 [Reserved] sewer or publicly owned treatment
302.3 Definitions. works), well, pit, pond, lagoon, im-
302.4 Designation of hazardous substances.
poundment, ditch, landfill, storage con-
302.5 Determination of reportable quan-
tities.
tainer, motor vehicle, rolling stock, or
302.6 Notification requirements. aircraft, or (2) any site or area where a
302.7 Penalties. hazardous substance has been depos-
302.8 Continuous releases. ited, stored, disposed of, or placed, or
otherwise come to be located; but does
AUTHORITY: 42 U.S.C. 9602, 9603, and 9604; 33
U.S.C. 1321 and 1361.
not include any consumer product in
consumer use or any vessel;
SOURCE: 50 FR 13474, Apr. 4, 1985, unless Hazardous substance means any sub-
otherwise noted.
stance designated pursuant to 40 CFR
§ 302.1 Applicability. part 302;
Hazardous waste shall have the mean-
This regulation designates under sec- ing provided in 40 CFR 261.3;
tion 102(a) of the Comprehensive Envi-
Navigable waters or navigable waters of
ronmental Response, Compensation,
the United States means waters of the
and Liability Act of 1980 (‘‘the Act’’)
United States, including the territorial
those substances in the statutes re-
seas;
ferred to in section 101(14) of the Act,
identifies reportable quantities for Offshore facility means any facility of
these substances, and sets forth the no- any kind located in, on, or under, any
tification requirements for releases of of the navigable waters of the United
these substances. This regulation also States, and any facility of any kind
sets forth reportable quantities for haz- which is subject to the jurisdiction of
ardous substances designated under the United States and is located in, on,
section 311(b)(2)(A) of the Clean Water or under any other waters, other than
Act. a vessel or a public vessel;
Onshore facility means any facility
§ 302.2 [Reserved] (including, but not limited to, motor
vehicles and rolling stock) of any kind
§ 302.3 Definitions. located in, on, or under, any land or
As used in this part, all terms shall non-navigable waters within the
have the meaning set forth below: United States;
The Act, CERCLA, or Superfund Person means an individual, firm,
means the Comprehensive Environ- corporation, association, partnership,
mental Response, Compensation, and consortium, joint venture, commercial

Liability Act of 1980 (Pub. L. 96–510); entity, United States Government,
280

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SUBCHAPTER J—SUPERFUND, EMERGENCY PLANNING, AND

COMMUNITY RIGHT-TO-KNOW PROGRAMS

PART 300—NATIONAL OIL AND Subpart D—Operational Response Phases

300.100 Duties of President delegated to fed- Subpart E—Hazardous Substance

Subpart I—Administrative Record for to discharges of oil and releases of haz-

discharges of oil and releases of haz- § 300.4 Abbreviations.

gency Support Functions (ESFs) are NRT—National Response Team

prepositioned response equipment; and charge also means substantial threat of

Dispersants means those chemical transporting oil. This term includes

Indians because of their status as Indi- ardous substance, pollutant, or con-

CERCLA section 105, of uncontrolled susceptible to use in interstate or for-

moval or remedial action under stock, aircraft, vessel, or pipeline

source, byproduct, or special nuclear lead agency to coordinate, monitor, or

Remedial project manager (RPM) tainment and removal of oil or haz-

amending the Internal Revenue Code is pollutant(s), or contaminant(s) that

maintenance of landfill caps and leach- surances before a federal-lead remedial

(3) The USCG District boundaries are

is accomplished through the NRT.

(a) The NRT consists of representa- (2) Publishing guidance documents

pollutant, or contaminant that is be- stantial threats to natural resources;

legal remedies, equipment readiness, detailed criteria for activation of

the coastal zone in accordance with De- shall, as appropriate, be accomplished

seeing development of the ACP in the sure orderly transition of responsibil-

local number (Telecommunication De- Secretary determines that any oil or

or there is a substantial threat of such public health or welfare of the United

impacted individuals, business, and § 300.322; the potential impact on nat-

threat to the public health or welfare leases of hazardous substances, pollut-

facilities under their jurisdiction. All of a response operation. Should a dis-

(2) When possible, SUPSALV will ment, including marine firefighting

(3) Provides equitable compensation requirement of section 5(a)(1) of the

1926), General Industry Standards (29 moval activity, information dissemina-

(c) Response actions undertaken by taminant. Some of these agencies also

rehabilitation, replacement, or acquisi- erating as an agency in the United

(1) USCG, as provided in 14 U.S.C. 1–

HHS provides technical and nontech- Materials Transportation and Uniform

seq.), NIEHS also administers the (v) Minerals Management Service:

habitat, archaeology, and wilderness; OSH Act, has authority to conduct

ducting research at incidents that wishing to participate should assign

tribal government on the appropriate ment other aspects of those plans in

§ 300.210 Federal contingency plans. Government Manual, issued annually,

es and telephone numbers for these of-

their responsibilities, procedures to no- specimens by response personnel; and

tats; illegal or inadvertent taking or protection of sensitive environments;

shore facilities, these regulations are or a facility shall, as soon as he or she

soon as possible to prevent, minimize, processing) being the most preferred,

in consultation with the Governor or to public health or welfare of the

(e) The funding of a response to a dis- respond will do so in a timely manner,

response actions authorized by EPA, or the appropriate federal agen-

including representatives, employees, who failed to consent that a court may

day for unreasonable failure to comply problems or situations sufficiently

response or enforcement action. This tion, except releases reported under

shall, as appropriate, be made to the § 300.410 Removal site evaluation.

[55 FR 8839, Mar. 8, 1990, as amended at 59 FR section 311(c)(1), as amended by OPA

(5) CERCLA fund-financed removal tial threat to public health or welfare

federal environmental or state environ- (m) OSCs/RPMs conducting removal

federal-lead Fund-financed responses at munity interviews and other relevant

relations activities that the lead agen- stances, pollutants, or contaminants.

shall use to collect data, as required, Such petitions shall be addressed to

by responsible parties is appropriate; reduce, or control risks to human

(C) EPA expects to use a combination vestigation/feasibility study (RI/FS) is

(2) Remedial investigation/feasibility lance requirements, standard operating

that conforms with 29 CFR 1910.120 (ii) Preparing a formal community